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NWAM LLC Portfolio holdings

AUM $1.74B
1-Year Est. Return 32.48%
This Fund
S&P 500
This Quarter Est. Return
+2.01%
1 Year Est. Return
+32.48%
3 Year Est. Return
+94.99%
5 Year Est. Return
+115.71%
10 Year Est. Return
+259.09%
AUM
$229M
AUM Growth
-$51.8M
Cap. Flow
-$60.6M
Cap. Flow %
-26.48%
Top 10 Hldgs %
27.41%
Holding
313
New
17
Increased
57
Reduced
143
Closed
72

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$959K
2
RDS.A
Royal Dutch Shell PLC ADS Class A
RDS.A
+$920K
3
BKK
Blackrock Municipal 2020 Term Trust
BKK
+$730K
4
SNR
NEW SENIOR INVESTMENT GROUP INC.
SNR
+$424K
5
ONIT
Onity Group
ONIT
+$390K

Top Sells

Rank Stock Value
1
SBUX icon
Starbucks
SBUX
+$7.43M
2
PG icon
Procter & Gamble
PG
+$3.78M
3
SPAB icon
State Street SPDR Portfolio Aggregate Bond ETF
SPAB
+$2.94M
4
PM icon
Philip Morris
PM
+$1.85M
5
MSFT icon
Microsoft
MSFT
+$1.7M

Sector Composition

Rank Sector Weight
1 Technology 8.32%
2 Financials 7.05%
3 Industrials 4.85%
4 Energy 4.02%
5 Real Estate 3.87%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PAAS icon
226
Pan American Silver
PAAS
$17.8B
$111K 0.05%
12,080
+1,958
+19% +$19.5K
BBEP
227
DELISTED
BREITBURN ENERGY PARTNERS LP COM UNITS RPTNG LTD PRTNRSHIP
BBEP
$108K 0.05%
15,446
+2,283
+17% +$31.3K
WPRT
228
Westport Fuel Systems
WPRT
$36.1M
$107K 0.05%
+2,873
New +$151K
LEO
229
BNY Mellon Strategic Municipals
LEO
$397M
$106K 0.05%
13,000
-18,094
-58% -$149K
DS
230
DELISTED
Drive Shack Inc.
DS
$100K 0.04%
22,245
-199,523
-90% -$917K
JMM icon
231
Nuveen Multi-Market Income Fund
JMM
$55M
$93K 0.04%
+12,077
New +$92K
EXEL icon
232
Exelixis
EXEL
$14B
$87K 0.04%
60,557
-5,359
-8% -$8.35K
PIM
233
Franklin Master Intermediate Income Trust
PIM
$152M
$80K 0.03%
16,598
– –
DSU icon
234
BlackRock Debt Strategies Fund
DSU
$599M
$79K 0.03%
7,090
+73
+1% +$821
LYG icon
235
Lloyds Banking Group
LYG
$85.4B
$51K 0.02%
11,070
-8,950
-45% -$43.3K
ANR
236
DELISTED
Alpha Natural Resources Inc
ANR
$41K 0.02%
24,350
+6,606
+37% +$13.4K
UQM
237
DELISTED
UQM Technologies, Inc.
UQM
$39K 0.02%
49,423
+20,369
+70% +$20.9K
FXEN
238
DELISTED
FX ENERGY INC
FXEN
$29K 0.01%
18,400
– –
PZG icon
239
Paramount Gold Nevada
PZG
$96.9M
$13K 0.01%
13,000
-129
-1% -$99
MCP
240
DELISTED
MOLYCORP INC COM STK
MCP
$11K ﹤0.01%
12,400
+196
+2% +$225
HTM
241
DELISTED
U.S. Geothermal Inc.
HTM
$5K ﹤0.01%
1,667
– –
ABBV icon
242
AbbVie
ABBV
$448B
– –
-8,501
Closed -$491K
AWRE icon
243
Aware
AWRE
$23.6M
– –
-19,312
Closed -$71K
BCE icon
244
BCE
BCE
$20.2B
– –
-5,129
Closed -$246K
BKT icon
245
BlackRock Income Trust
BKT
$337M
– –
-3,926
Closed -$75K
BYM
246
DELISTED
BlackRock Municipal Income Quality Trust
BYM
– –
-10,174
Closed -$141K
C icon
247
Citigroup
C
$216B
– –
-5,576
Closed -$289K
CAT icon
248
Caterpillar
CAT
$398B
– –
-3,312
Closed -$328K
CEF icon
249
Sprott Physical Gold and Silver Trust
CEF
$7.3B
– –
-66,454
Closed -$997K
CL icon
250
Colgate-Palmolive
CL
$73.6B
– –
-3,747
Closed -$244K
8 9
10
11 12

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VCM
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PAIM
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RIA
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SFI
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MAM
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GAM
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DF
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NWAM LLC's Q4 2014 Portfolio in Review

As of Q4 2014, NWAM LLC held 313 positions worth $229M, down 18% from $281M the previous quarter. Its ten largest holdings account for 27% of the portfolio.

NWAM LLC withdrew a net $60.6M in Q4 2014, closing 72 positions and reducing 143 holdings. Its most notable exit was State Street SPDR Portfolio Aggregate Bond ETF, an estimated $2.94M position sold in full.

By sector, the portfolio is most concentrated in Technology at 8.3% of assets, up from 8.2% a quarter earlier, followed by Financials and Industrials.

Against the trend, NWAM LLC opened a new position in Royal Dutch Shell PLC ADS Class A worth $890K.

  • NWAM LLC's largest Q4 2014 buy was Royal Dutch Shell PLC ADS Class A: 13,295 shares worth $890K.
  • NWAM LLC added most to Invesco QQQ Trust in Q4 2014, an estimated $959K increase.
  • NWAM LLC's biggest Q4 2014 reduction was Starbucks, cutting an estimated $7.43M.
  • NWAM LLC fully exited State Street SPDR Portfolio Aggregate Bond ETF in Q4 2014, selling an estimated $2.94M.
  • NWAM LLC's ten largest holdings make up 27% of its $229M portfolio in Q4 2014.
  • NWAM LLC opened 17 new positions and closed 72 in Q4 2014.
  • NWAM LLC's portfolio value fell 18% quarter-over-quarter to $229M.

Based on NWAM LLC's 13F filing for Q4 2014, filed 9 Sep 2016.