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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
-6.89%
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
$121M
AUM Growth
-$119M
Cap. Flow
-$107M
Cap. Flow %
-88.89%
Top 10 Hldgs %
43.77%
Holding
253
New
4
Increased
30
Reduced
42
Closed
109

Top Buys

Rank Stock Value
1
CRHM
CRH Medical Corporation
CRHM
+$937K
2
DAL icon
Delta Air Lines
DAL
+$404K
3
KHC icon
Kraft Heinz
KHC
+$226K
4
ANFI
AMIRA NATURE FOODS LTD
ANFI
+$157K
5
PG icon
Procter & Gamble
PG
+$150K

Top Sells

Rank Stock Value
1
BTZ icon
BlackRock Credit Allocation Income Trust
BTZ
+$8.7M
2
FLC
Flaherty & Crumrine Total Return Fund
FLC
+$6.63M
3
ERC
Allspring Multi-Sector Income Fund
ERC
+$5.71M
4
VNQ icon
Vanguard Real Estate ETF
VNQ
+$4.33M
5
BND icon
Vanguard Total Bond Market
BND
+$4.27M

Sector Composition

Rank Sector Weight
1 Technology 16.23%
2 Financials 9.91%
3 Industrials 9.83%
4 Consumer Discretionary 7.51%
5 Communication Services 6.75%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TEI
226
Templeton Emerging Markets Income Fund
TEI
$310M
– –
-28,000
Closed -$303K
TIP icon
227
iShares TIPS Bond ETF
TIP
$14.5B
– –
-11,000
Closed -$1.2M
TSI
228
TCW Strategic Income Fund
TSI
$212M
– –
-48,000
Closed -$249K
TSLA icon
229
Tesla
TSLA
$1.24T
– –
-15,000
Closed -$386K
TXN icon
230
Texas Instruments
TXN
$255B
– –
-4,000
Closed -$230K
VCSH icon
231
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
– –
-4,000
Closed -$346K
VGSH icon
232
Vanguard Short-Term Treasury ETF
VGSH
$29.3B
– –
-6,000
Closed -$350K
VNQ icon
233
Vanguard Real Estate ETF
VNQ
$39.9B
– –
-58,000
Closed -$4.33M
VTI icon
234
Vanguard Total Stock Market ETF
VTI
$654B
– –
-6,000
Closed -$323K
WMT icon
235
Walmart Inc
WMT
$871B
– –
-9,000
Closed -$218K
FLG
236
Flagstar Bank National Association
FLG
$5.77B
– –
-3,333
Closed -$191K
MUI
237
DELISTED
BlackRock Municipal Income Fund, Inc.
MUI
– –
-42,000
Closed -$574K
FAM
238
DELISTED
First Trust/abrdn Global Opportunity Income Fund
FAM
– –
-70,000
Closed -$767K
TWTR
239
DELISTED
Twitter, Inc.
TWTR
– –
-6,000
Closed -$221K
SNR
240
DELISTED
NEW SENIOR INVESTMENT GROUP INC.
SNR
– –
-20,000
Closed -$262K
NYH
241
DELISTED
Eaton Vance New York Municipal Bond Fund II
NYH
– –
-13,000
Closed -$160K
AGU
242
DELISTED
Agrium
AGU
– –
-2,000
Closed -$205K
CVC
243
DELISTED
CABLEVISION SYS CP NY GRP CL-A
CVC
– –
-13,000
Closed -$312K
NQU
244
DELISTED
NUVEEN QUALITY INCOME MUNI FD
NQU
– –
-12,000
Closed -$165K
LGL.WS
245
DELISTED
LGL GROUP INC WT EXP 08/06/2018
LGL.WS
– –
-13,000
Closed –
ANR
246
DELISTED
Alpha Natural Resources Inc
ANR
– –
-19,000
Closed -$6K
KRFT
247
DELISTED
KRAFT FOODS GROUP INC COM STK (VA)
KRFT
– –
-3,000
Closed -$269K
MNE
248
DELISTED
Blackrock MUNI New York Intermediate Duration Fund, Inc.
MNE
– –
-27,000
Closed -$379K
MUS
249
DELISTED
BLACKROCK MUNIHOLDINGS QUALITY FUND, INC.
MUS
– –
-11,000
Closed -$143K
BKK
250
DELISTED
Blackrock Municipal 2020 Term Trust
BKK
– –
-50,000
Closed -$778K
7 8 9
10
11

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NWAM LLC's Q3 2015 Portfolio in Review

As of Q3 2015, NWAM LLC held 253 positions worth $121M, down 50% from $239M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

NWAM LLC withdrew a net $107M in Q3 2015, closing 109 positions and reducing 42 holdings. Its most notable exit was BlackRock Credit Allocation Income Trust, an estimated $8.7M position sold in full.

By sector, the portfolio is most concentrated in Technology at 16% of assets, up from 9.8% a quarter earlier, followed by Financials and Industrials.

Against the trend, NWAM LLC opened a new position in CRH Medical Corporation worth $828K.

  • NWAM LLC's largest Q3 2015 buy was CRH Medical Corporation: 259,000 shares worth $828K.
  • NWAM LLC added most to Procter & Gamble in Q3 2015, an estimated $150K increase.
  • NWAM LLC's biggest Q3 2015 reduction was Apple, cutting an estimated $2.23M.
  • NWAM LLC fully exited BlackRock Credit Allocation Income Trust in Q3 2015, selling an estimated $8.7M.
  • NWAM LLC's ten largest holdings make up 44% of its $121M portfolio in Q3 2015.
  • NWAM LLC opened 4 new positions and closed 109 in Q3 2015.
  • NWAM LLC's portfolio value fell 50% quarter-over-quarter to $121M.

Based on NWAM LLC's 13F filing for Q3 2015, filed 17 Nov 2015.