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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
+3.04%
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
$301M
AUM Growth
-$1.02B
Cap. Flow
-$953M
Cap. Flow %
-315.99%
Top 10 Hldgs %
24.89%
Holding
316
New
36
Increased
102
Reduced
121
Closed
29

Top Buys

Rank Stock Value
1
FLC
Flaherty & Crumrine Total Return Fund
FLC
+$6.05M
2
DRA
Diversified Real Asset Income Fd
DRA
+$1.74M
3
AMZN icon
Amazon
AMZN
+$1.17M
4
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$1.06M
5
SDY icon
State Street SPDR S&P Dividend ETF
SDY
+$1.02M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$8.18M
2
RSP icon
Invesco S&P 500 Equal Weight ETF
RSP
+$1.37M
3
PGX icon
Invesco Preferred ETF
PGX
+$1.19M
4
PG icon
Procter & Gamble
PG
+$1.06M
5
ENBL
ENABLE MIDSTREAM PARTNERS, LP
ENBL
+$1.02M

Sector Composition

Rank Sector Weight
1 Financials 7.5%
2 Technology 6.3%
3 Industrials 4.75%
4 Communication Services 4.63%
5 Energy 4.61%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LUMN icon
226
Lumen
LUMN
$6.53B
$254K 0.08%
+10,664
New +$271K
MU icon
227
Micron Technology
MU
$1.04T
$252K 0.08%
11,480
-1,174
-9% -$22.1K
AGU
228
DELISTED
Agrium
AGU
$252K 0.08%
2,509
+60
+2% +$5.78K
EQNR icon
229
Equinor
EQNR
$95.9B
$250K 0.08%
13,680
-100
-0.7% -$1.71K
GD icon
230
General Dynamics
GD
$105B
$248K 0.08%
1,437
-302
-17% -$49.4K
PHYS icon
231
Sprott Physical Gold
PHYS
$14.6B
$248K 0.08%
26,375
-2,000
-7% -$20K
PFX icon
232
PhenixFIN
PFX
$246K 0.08%
1,635
– –
AGN.PRA
233
DELISTED
Allergan plc
AGN.PRA
$246K 0.08%
+322
New +$243K
MQY icon
234
BlackRock MuniYield Quality Fund
MQY
$807M
$245K 0.08%
16,650
– –
BRK.A icon
235
Berkshire Hathaway Class A
BRK.A
$1.07T
$244K 0.08%
1
– –
MMP
236
DELISTED
Magellan Midstream Partners, L.P.
MMP
$244K 0.08%
3,226
-155
-5% -$10.9K
RTX icon
237
RTX Corp
RTX
$287B
$240K 0.08%
3,477
-840
-19% -$55.7K
UPS icon
238
United Parcel Service
UPS
$97.6B
$239K 0.08%
2,088
-19
-0.9% -$2.14K
M icon
239
Macy's
M
$6.15B
$237K 0.08%
6,624
-615
-8% -$23.9K
SPE
240
Special Opportunities Fund
SPE
$140M
$237K 0.08%
+18,182
New +$245K
FTV icon
241
Fortive
FTV
$19B
$236K 0.08%
6,968
+198
+3% +$6.55K
CELG
242
DELISTED
Celgene Corp
CELG
$230K 0.08%
1,989
+36
+2% +$4.01K
CRM icon
243
Salesforce
CRM
$134B
$229K 0.08%
+3,344
New +$243K
HYG icon
244
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$16.3B
$228K 0.08%
+2,631
New +$227K
VTRS icon
245
Viatris
VTRS
$20.1B
$224K 0.07%
+5,872
New +$218K
KMB icon
246
Kimberly-Clark
KMB
$36.4B
$223K 0.07%
1,953
+304
+18% +$35.3K
AMTX icon
247
Aemetis
AMTX
$119M
$221K 0.07%
159,227
-2,200
-1% -$3.58K
GASS icon
248
StealthGas
GASS
$328M
$218K 0.07%
64,625
-11,900
-16% -$40.2K
PAA icon
249
Plains All American Pipeline
PAA
$17.4B
$217K 0.07%
6,724
-828
-11% -$26.2K
KHC icon
250
Kraft Heinz
KHC
$30.4B
$215K 0.07%
2,462
-342
-12% -$29.3K
8 9
10
11 12

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LBC
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CAM
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SC
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BGM
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NWAM LLC's Q4 2016 Portfolio in Review

As of Q4 2016, NWAM LLC held 316 positions worth $301M, down 77% from $1.32B the previous quarter. Its ten largest holdings account for 25% of the portfolio.

NWAM LLC withdrew a net $953M in Q4 2016, closing 29 positions and reducing 121 holdings. Its most notable exit was Apple, an estimated $8.18M position sold in full.

By sector, the portfolio is most concentrated in Financials at 7.5% of assets, up from 1.3% a quarter earlier, followed by Technology and Industrials.

Against the trend, NWAM LLC opened a new position in Flaherty & Crumrine Total Return Fund worth $5.95M.

  • NWAM LLC's largest Q4 2016 buy was Flaherty & Crumrine Total Return Fund: 299,205 shares worth $5.95M.
  • NWAM LLC added most to Amazon in Q4 2016, an estimated $1.17M increase.
  • NWAM LLC's biggest Q4 2016 reduction was Invesco S&P 500 Equal Weight ETF, cutting an estimated $1.37M.
  • NWAM LLC fully exited Apple in Q4 2016, selling an estimated $8.18M.
  • NWAM LLC's ten largest holdings make up 25% of its $301M portfolio in Q4 2016.
  • NWAM LLC opened 36 new positions and closed 29 in Q4 2016.
  • NWAM LLC's portfolio value fell 77% quarter-over-quarter to $301M.

Based on NWAM LLC's 13F filing for Q4 2016, filed 2 Feb 2017.