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FAAM

First Allied Asset Management Portfolio holdings

AUM $712M
1-Year Est. Return 9.35%
This Fund
S&P 500
This Quarter Est. Return
+4.45%
1 Year Est. Return
+9.35%
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$665M
AUM Growth
-$30.6M
Cap. Flow
-$53.1M
Cap. Flow %
-7.99%
Top 10 Hldgs %
26.64%
Holding
221
New
28
Increased
83
Reduced
50
Closed
57

Top Buys

Rank Stock Value
1
VTIP icon
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
+$10.1M
2
DXJ icon
WisdomTree Japan Hedged Equity Fund
DXJ
+$9.69M
3
VHT icon
Vanguard Health Care ETF
VHT
+$9.09M
4
RALS
ProShares RAFI Long/Short
RALS
+$7.12M
5
TRV icon
Travelers Companies
TRV
+$6.1M

Top Sells

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$17.2M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$15.7M
3
UWM icon
ProShares Ultra Russell2000
UWM
+$10.9M
4
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$10.2M
5
SSO icon
ProShares Ultra S&P500
SSO
+$8.87M

Sector Composition

Rank Sector Weight
1 Financials 8.87%
2 Technology 6.9%
3 Healthcare 6.56%
4 Energy 4.57%
5 Industrials 4.1%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SLB icon
201
SLB Ltd
SLB
$73.6B
– –
-35,154
Closed -$2.48M
SPY icon
202
State Street SPDR S&P 500 ETF Trust
SPY
$790B
– –
-4,638
Closed -$747K
SSO icon
203
ProShares Ultra S&P500
SSO
$7.87B
– –
-1,851,216
Closed -$8.87M
SYY icon
204
Sysco
SYY
$40.8B
– –
-7,444
Closed -$254K
TLT icon
205
iShares 20+ Year Treasury Bond ETF
TLT
$42.1B
– –
-24,749
Closed -$2.73M
UNH icon
206
UnitedHealth
UNH
$376B
– –
-6,738
Closed -$441K
VCIT icon
207
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
$66.2B
– –
-14,247
Closed -$1.2M
VCLT icon
208
Vanguard Long-Term Corporate Bond ETF
VCLT
$8.81B
– –
-3,437
Closed -$285K
VCSH icon
209
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
– –
-21,607
Closed -$1.72M
VOD icon
210
Vodafone
VOD
$36.3B
– –
-12,899
Closed -$377K
VPL icon
211
Vanguard FTSE Pacific ETF
VPL
$8.08B
– –
-5,279
Closed -$300K
XLU icon
212
State Street Utilities Select Sector SPDR ETF
XLU
$22.8B
– –
-274,894
Closed -$5.23M
AMJ
213
DELISTED
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
– –
-4,501
Closed -$211K
BBBY
214
DELISTED
Bed Bath & Beyond Inc
BBBY
– –
-37,170
Closed -$2.61M
WDR
215
DELISTED
Waddell & Reed Financial, Inc.
WDR
– –
-102,048
Closed -$4.47M
VAR
216
DELISTED
Varian Medical Systems, Inc.
VAR
– –
-42,034
Closed -$2.5M
COL
217
DELISTED
Rockwell Collins
COL
– –
-37,073
Closed -$2.31M
POT
218
DELISTED
Potash Corp Of Saskatchewan
POT
– –
-115,454
Closed -$4.41M
KMP
219
DELISTED
KINDER MORGAN ENER PNTRS L.P.
KMP
– –
-3,613
Closed -$309K
DELL
220
DELISTED
DELL INC
DELL
– –
-11,153
Closed -$149K
UN
221
DELISTED
Unilever NV New York Registry Shares
UN
– –
-5,416
Closed -$211K
5 6 7 8
9

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SAG
Sterne Agee Group Birmingham, Alabama $681M AUM 8.94% 1-Year Est. Return
ICM
ICC Capital Management Orlando, Florida $760M AUM 17.03% 1-Year Est. Return
GIM
Gyrus Investment Management Toronto, Ontario, Canada $604M AUM 14.24% 1-Year Est. Return
FAM
Fiduciary Asset Management St. Louis, Missouri $585M AUM 11.99% 1-Year Est. Return
PI
Panthera Investment Frankfurt, Germany $549M AUM 20.05% 1-Year Est. Return
RVP
Relative Value Partners Northbrook, Illinois $880M AUM 0.38% 1-Year Est. Return
SPG
Simon Property Group Indianapolis, Indiana $482M AUM
BOK
Bank of Kentucky Crestview Hills,, Kentucky $432M AUM 7.62% 1-Year Est. Return

First Allied Asset Management's Q3 2013 Portfolio in Review

As of Q3 2013, First Allied Asset Management held 221 positions worth $665M, down 4.4% from $696M the previous quarter. Its ten largest holdings account for 27% of the portfolio.

First Allied Asset Management withdrew a net $53.1M in Q3 2013, closing 57 positions and reducing 50 holdings. Its most notable exit was iShares Core S&P 500 ETF, an estimated $15.7M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8.9% of assets, up from 7.3% a quarter earlier, followed by Technology and Healthcare.

Against the trend, First Allied Asset Management opened a new position in Vanguard Short-Term Inflation-Protected Securities Index Fund worth $10M.

  • First Allied Asset Management's largest Q3 2013 buy was Vanguard Short-Term Inflation-Protected Securities Index Fund: 204,280 shares worth $10M.
  • First Allied Asset Management added most to IBM in Q3 2013, an estimated $5.66M increase.
  • First Allied Asset Management's biggest Q3 2013 reduction was iShares Russell 2000 ETF, cutting an estimated $17.2M.
  • First Allied Asset Management fully exited iShares Core S&P 500 ETF in Q3 2013, selling an estimated $15.7M.
  • First Allied Asset Management's ten largest holdings make up 27% of its $665M portfolio in Q3 2013.
  • First Allied Asset Management opened 28 new positions and closed 57 in Q3 2013.
  • First Allied Asset Management's portfolio value fell 4.4% quarter-over-quarter to $665M.

Based on First Allied Asset Management's 13F filing for Q3 2013, filed 7 Nov 2013.