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NWAM LLC Portfolio holdings

AUM $2B
1-Year Est. Return 34.81%
This Fund
S&P 500
This Quarter Est. Return
+3.4%
1 Year Est. Return
+34.81%
3 Year Est. Return
+112.13%
5 Year Est. Return
+133.17%
10 Year Est. Return
+303.1%
AUM
$422M
AUM Growth
+$26.4M
Cap. Flow
+$13.2M
Cap. Flow %
3.12%
Top 10 Hldgs %
26.31%
Holding
375
New
33
Increased
113
Reduced
144
Closed
34

Top Buys

Rank Stock Value
1
MSFT icon
Microsoft
MSFT
+$8.71M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$2.4M
3
FXN icon
First Trust Energy AlphaDEX Fund
FXN
+$2.18M
4
IAI icon
iShares US Broker-Dealers & Securities Exchanges ETF
IAI
+$2.07M
5
KRE icon
State Street SPDR S&P Regional Banking ETF
KRE
+$2.05M

Top Sells

Rank Stock Value
1
USB icon
US Bancorp
USB
+$7.89M
2
HYLD
High Yield ETF
HYLD
+$1.56M
3
MZF
Managed Duration Inv Grd Muni Fd
MZF
+$1.3M
4
CRHM
CRH Medical Corporation
CRHM
+$938K
5
PFF icon
iShares Preferred and Income Securities ETF
PFF
+$829K

Sector Composition

Rank Sector Weight
1 Technology 11.51%
2 Industrials 4.99%
3 Financials 4.67%
4 Consumer Discretionary 4.63%
5 Healthcare 3.44%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HRZN icon
326
Horizon Technology Finance
HRZN
$311M
$112K 0.03%
11,069
-1,506
-12% -$15.4K
JPC icon
327
Nuveen Preferred & Income Opportunities Fund
JPC
$2.9B
$111K 0.03%
11,950
– –
ANFI
328
DELISTED
AMIRA NATURE FOODS LTD
ANFI
$101K 0.02%
45,650
+400
+0.9% +$1.22K
LEO
329
BNY Mellon Strategic Municipals
LEO
$387M
$100K 0.02%
13,000
– –
TTSH
330
DELISTED
Tile Shop Holdings
TTSH
$91K 0.02%
11,800
-5,000
-30% -$34.6K
BKT icon
331
BlackRock Income Trust
BKT
$341M
$76K 0.02%
4,333
– –
PIM
332
Franklin Master Intermediate Income Trust
PIM
$151M
$75K 0.02%
16,000
– –
PFX icon
333
PhenixFIN
PFX
$90M
$68K 0.02%
978
– –
WPRT
334
Westport Fuel Systems
WPRT
$35.7M
$68K 0.02%
2,670
– –
SCU
335
DELISTED
Sculptor Capital Management, Inc. Class A Common Stock
SCU
$66K 0.02%
3,435
+7
+0.2% +$149
WFT
336
DELISTED
Weatherford International plc
WFT
$52K 0.01%
15,730
+200
+1% +$623
AMTX icon
337
Aemetis
AMTX
$121M
$50K 0.01%
33,352
-5,550
-14% -$9.06K
IMH
338
DELISTED
Impac Mortgage Holdings Inc.
IMH
$47K 0.01%
+10,000
New +$89.4K
UQM
339
DELISTED
UQM Technologies, Inc.
UQM
$41K 0.01%
41,288
– –
RAD
340
DELISTED
Rite Aid Corporation
RAD
$33K 0.01%
950
-985
-51% -$33.4K
ARLZ
341
DELISTED
Aralez Pharmaceuticals Inc.
ARLZ
$7K ﹤0.01%
18,800
-1,200
-6% -$984
ALK icon
342
Alaska Air
ALK
$5.58B
– –
-3,414
Closed -$212K
AMZA icon
343
InfraCap MLP ETF
AMZA
$461M
– –
-1,035
Closed -$71K
AOR icon
344
iShares Core 60/40 Balanced Allocation ETF
AOR
$3.72B
– –
-6,000
Closed -$267K
APD icon
345
Air Products & Chemicals
APD
$67.6B
– –
-1,285
Closed -$204K
CL icon
346
Colgate-Palmolive
CL
$74.4B
– –
-2,811
Closed -$202K
DGS icon
347
WisdomTree Emerging Markets SmallCap Dividend Fund
DGS
$1.77B
– –
-3,963
Closed -$214K
DLTH icon
348
Duluth Holdings
DLTH
$159M
– –
-10,500
Closed -$197K
FNCL icon
349
Fidelity MSCI Financials Index ETF
FNCL
$2.4B
– –
-10,985
Closed -$444K
FTEC icon
350
Fidelity MSCI Information Technology Index ETF
FTEC
$21.3B
– –
-5,821
Closed -$302K
11 12 13
14
15

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NWAM LLC's Q2 2018 Portfolio in Review

As of Q2 2018, NWAM LLC held 375 positions worth $422M, up 6.7% from $396M the previous quarter. Its ten largest holdings account for 26% of the portfolio.

NWAM LLC deployed $13.2M of net new capital in Q2 2018, opening 33 new positions and adding to 113 existing holdings. Its largest new stake was First Trust Energy AlphaDEX Fund: 134,598 shares worth $2.28M.

By sector, the portfolio is most concentrated in Technology at 12% of assets, up from 9.5% a quarter earlier, followed by Industrials and Financials.

On the sell side, the largest reduction was iShares TIPS Bond ETF, an estimated $642K trimmed.

  • NWAM LLC's largest Q2 2018 buy was First Trust Energy AlphaDEX Fund: 134,598 shares worth $2.28M.
  • NWAM LLC added most to Microsoft in Q2 2018, an estimated $8.71M increase.
  • NWAM LLC's biggest Q2 2018 reduction was iShares TIPS Bond ETF, cutting an estimated $642K.
  • NWAM LLC fully exited US Bancorp in Q2 2018, selling an estimated $7.89M.
  • NWAM LLC's ten largest holdings make up 26% of its $422M portfolio in Q2 2018.
  • NWAM LLC opened 33 new positions and closed 34 in Q2 2018.
  • NWAM LLC's portfolio value rose 6.7% quarter-over-quarter to $422M.

Based on NWAM LLC's 13F filing for Q2 2018, filed 16 Jul 2018.