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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 Miscellaneous 60.17%
2 Financials 8.97%
3 Technology 6.9%
4 Healthcare 6.56%
5 Energy 4.57%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MBB icon
1
iShares MBS ETF
MBB
$39B
$28M 4.21%
263,492
-40,585
-13% -$4.24M
LQD icon
2
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$29.3B
$26.3M 3.95%
231,426
-1,142
-0.5% -$129K
VEA icon
3
Vanguard FTSE Developed Markets ETF
VEA
$235B
$25.3M 3.81%
639,608
+30,827
+5% +$1.17M
ACWI icon
4
iShares MSCI ACWI ETF
ACWI
$33B
$18.3M 2.75%
338,900
+14,286
+4% +$751K
IGSB icon
5
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$23.5B
$17.5M 2.63%
332,630
+42,140
+15% +$2.21M
VWO icon
6
Vanguard FTSE Emerging Markets ETF
VWO
$126B
$16.5M 2.48%
410,453
+19,613
+5% +$776K
MUB icon
7
iShares National Muni Bond ETF
MUB
$44.6B
$12.4M 1.87%
118,933
-24,368
-17% -$2.52M
MDY icon
8
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$25.9B
$12.3M 1.85%
54,337
-29,850
-35% -$6.64M
GLD icon
9
SPDR Gold Trust
GLD
$147B
$10.5M 1.58%
81,086
-2,625
-3% -$337K
PGX icon
10
Invesco Preferred ETF
PGX
$3.68B
$10.1M 1.52%
741,336
+249,249
+51% +$3.46M
VTIP icon
11
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
$20.4B
$10M 1.51%
+204,280
New +$10.1M
DXJ icon
12
WisdomTree Japan Hedged Equity Fund
DXJ
$7.15B
$9.9M 1.49%
+206,548
New +$9.69M
CVX icon
13
Chevron
CVX
$414B
$9.56M 1.44%
78,629
-741
-0.9% -$91.1K
TYG
14
Tortoise Energy Infrastructure Corp
TYG
$891M
$9.33M 1.4%
50,833
+3,516
+7% +$634K
IEF icon
15
iShares 7-10 Year Treasury Bond ETF
IEF
$41.6B
$9.24M 1.39%
90,674
+3,021
+3% +$305K
VHT icon
16
Vanguard Health Care ETF
VHT
$19.1B
$9.22M 1.39%
+99,007
New +$9.09M
XLK icon
17
State Street Technology Select Sector SPDR ETF
XLK
$122B
$9.11M 1.37%
569,742
+27,454
+5% +$438K
UTF icon
18
Cohen & Steers Infrastructure Fund
UTF
$2.81B
$8.51M 1.28%
428,937
+39,653
+10% +$764K
BGR icon
19
BlackRock Energy and Resources Trust
BGR
$446M
$8.25M 1.24%
318,996
+32,726
+11% +$842K
PFF icon
20
iShares Preferred and Income Securities ETF
PFF
$12.8B
$8.23M 1.24%
217,046
-7,135
-3% -$273K
VNQ icon
21
Vanguard Real Estate ETF
VNQ
$37.1B
$7.69M 1.16%
116,010
+1,870
+2% +$127K
VUG icon
22
Vanguard Morningstar Growth ETF
VUG
$227B
$7.59M 1.14%
538,938
+38,310
+8% +$528K
PIM
23
Franklin Master Intermediate Income Trust
PIM
$147M
$7.04M 1.06%
1,435,736
+152,978
+12% +$754K
RALS
24
DELISTED
ProShares RAFI Long/Short
RALS
$7M 1.05%
+169,059
New +$7.12M
ELD icon
25
WisdomTree Emerging Markets Local Debt Fund
ELD
$141M
$6.95M 1.05%
147,726
-135,515
-48% -$6.4M
1
2 3 4 5

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ICM
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GIM
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FAM
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PI
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RVP
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SPG
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BOK
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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 Miscellaneous at 60% of assets, down from 65% a quarter earlier, followed by Financials and Technology.

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.