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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
+1.28%
1 Year Est. Return
+34.81%
3 Year Est. Return
+112.13%
5 Year Est. Return
+133.17%
10 Year Est. Return
+303.05%
AUM
$234M
AUM Growth
+$4.88M
Cap. Flow
+$3.42M
Cap. Flow %
1.46%
Top 10 Hldgs %
27.04%
Holding
265
New
24
Increased
109
Reduced
60
Closed
14

Top Buys

Rank Stock Value
1
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$2.29M
2
BWX icon
State Street SPDR Bloomberg International Treasury Bond ETF
BWX
+$1.83M
3
IWO icon
iShares Russell 2000 Growth ETF
IWO
+$774K
4
BND icon
Vanguard Total Bond Market
BND
+$731K
5
XOM icon
ExxonMobil
XOM
+$691K

Top Sells

Rank Stock Value
1
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$2.18M
2
IWD icon
iShares Russell 1000 Value ETF
IWD
+$2.03M
3
IBB icon
iShares Biotechnology ETF
IBB
+$1.42M
4
IAI icon
iShares US Broker-Dealers & Securities Exchanges ETF
IAI
+$1.25M
5
KRE icon
State Street SPDR S&P Regional Banking ETF
KRE
+$1.18M

Sector Composition

Rank Sector Weight
1 Technology 8.11%
2 Financials 6.56%
3 Industrials 5.19%
4 Energy 4.31%
5 Real Estate 4.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PMO
226
Franklin Municipal Opportunities Trust
PMO
$282M
$161K 0.07%
13,172
– –
ONIT
227
Onity Group
ONIT
$333M
$161K 0.07%
1,305
+107
+9% +$14.3K
EXEL icon
228
Exelixis
EXEL
$13.9B
$156K 0.07%
60,557
– –
MHG
229
DELISTED
Marine Harvest ASA
MHG
$152K 0.07%
13,345
+2,400
+22% +$30.8K
PAAS icon
230
Pan American Silver
PAAS
$18.6B
$144K 0.06%
16,449
+4,369
+36% +$44.9K
LINE
231
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
$124K 0.05%
+11,199
New +$128K
EAD
232
Allspring Income Opportunities Fund
EAD
$372M
$122K 0.05%
13,885
– –
FIG
233
DELISTED
Fortress Investment Group Llc
FIG
$121K 0.05%
15,000
-10,000
-40% -$77.6K
JPC icon
234
Nuveen Preferred & Income Opportunities Fund
JPC
$2.89B
$114K 0.05%
11,950
– –
LEO
235
BNY Mellon Strategic Municipals
LEO
$387M
$109K 0.05%
13,000
– –
WPRT
236
Westport Fuel Systems
WPRT
$36.5M
$109K 0.05%
2,778
-95
-3% -$4.2K
DS
237
DELISTED
Drive Shack Inc.
DS
$94K 0.04%
19,354
-2,891
-13% -$13.2K
JMM icon
238
Nuveen Multi-Market Income Fund
JMM
$54.1M
$92K 0.04%
12,108
+31
+0.3% +$238
RVLT
239
DELISTED
Revolution Lighting Technologies, Inc. - Class A
RVLT
$91K 0.04%
8,210
-250
-3% -$2.9K
PBR icon
240
Petrobras
PBR
$121B
$90K 0.04%
14,841
– –
RBBN icon
241
Ribbon Communications
RBBN
$354M
$90K 0.04%
11,460
-250
-2% -$4.12K
PIM
242
Franklin Master Intermediate Income Trust
PIM
$149M
$81K 0.03%
16,598
– –
DSU icon
243
BlackRock Debt Strategies Fund
DSU
$591M
$79K 0.03%
7,090
– –
BTU
244
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
$73K 0.03%
995
-44
-4% -$4.44K
UQM
245
DELISTED
UQM Technologies, Inc.
UQM
$54K 0.02%
48,663
-760
-2% -$775
LYG icon
246
Lloyds Banking Group
LYG
$87.4B
$52K 0.02%
11,070
– –
FXEN
247
DELISTED
FX ENERGY INC
FXEN
$24K 0.01%
19,400
+1,000
+5% +$1.59K
ANR
248
DELISTED
Alpha Natural Resources Inc
ANR
$14K 0.01%
14,200
-10,150
-42% -$11.6K
PZG icon
249
Paramount Gold Nevada
PZG
$94.4M
$13K 0.01%
13,000
– –
HTM
250
DELISTED
U.S. Geothermal Inc.
HTM
$5K ﹤0.01%
1,667
– –
7 8 9
10
11

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NWAM LLC's Q1 2015 Portfolio in Review

As of Q1 2015, NWAM LLC held 265 positions worth $234M, up 2.1% from $229M the previous quarter. Its ten largest holdings account for 27% of the portfolio.

NWAM LLC's Q1 2015 filing shows 24 new, 109 increased, 60 reduced and 14 closed positions. Its largest new stake was State Street SPDR S&P MIDCAP 400 ETF Trust: 8,503 shares worth $2.36M. The largest sale was iShares Russell 1000 Growth ETF, an estimated $2.18M.

By sector, the portfolio is most concentrated in Technology at 8.1% of assets, down from 8.3% a quarter earlier, followed by Financials and Industrials.

  • NWAM LLC's largest Q1 2015 buy was State Street SPDR S&P MIDCAP 400 ETF Trust: 8,503 shares worth $2.36M.
  • NWAM LLC added most to iShares Russell 2000 Growth ETF in Q1 2015, an estimated $774K increase.
  • NWAM LLC's biggest Q1 2015 reduction was iShares Russell 1000 Growth ETF, cutting an estimated $2.18M.
  • NWAM LLC fully exited iShares Biotechnology ETF in Q1 2015, selling an estimated $1.42M.
  • NWAM LLC's ten largest holdings make up 27% of its $234M portfolio in Q1 2015.
  • NWAM LLC opened 24 new positions and closed 14 in Q1 2015.
  • NWAM LLC's portfolio value rose 2.1% quarter-over-quarter to $234M.

Based on NWAM LLC's 13F filing for Q1 2015, filed 9 Sep 2016.