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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
+3.76%
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
$385M
AUM Growth
-$190M
Cap. Flow
-$201M
Cap. Flow %
-52.36%
Top 10 Hldgs %
24.13%
Holding
349
New
27
Increased
171
Reduced
79
Closed
22

Top Buys

Rank Stock Value
1
USB icon
US Bancorp
USB
+$2.98M
2
JRI icon
Nuveen Real Asset Income & Growth Fund
JRI
+$2.18M
3
PG icon
Procter & Gamble
PG
+$1.3M
4
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$876K
5
IVW icon
iShares S&P 500 Growth ETF
IVW
+$601K

Top Sells

Rank Stock Value
1
DRA
Diversified Real Asset Income Fd
DRA
+$1.87M
2
MSFT icon
Microsoft
MSFT
+$692K
3
BND icon
Vanguard Total Bond Market
BND
+$637K
4
DD
Du Pont De Nemours E I
DD
+$578K
5
VYM icon
Vanguard High Dividend Yield ETF
VYM
+$464K

Sector Composition

Rank Sector Weight
1 Technology 8.81%
2 Financials 7.29%
3 Industrials 5.21%
4 Healthcare 4.28%
5 Consumer Discretionary 4.01%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FTV icon
226
Fortive
FTV
$18.6B
$320K 0.08%
7,166
– –
BIP icon
227
Brookfield Infrastructure Partners
BIP
$18B
$319K 0.08%
12,432
-84
-0.7% -$2.11K
EQNR icon
228
Equinor
EQNR
$88.8B
$313K 0.08%
15,580
+400
+3% +$7.39K
PYPL icon
229
PayPal
PYPL
$50.1B
$313K 0.08%
4,890
+405
+9% +$24.3K
RY icon
230
Royal Bank of Canada
RY
$292B
$312K 0.08%
4,028
-1,300
-24% -$97K
ANFI
231
DELISTED
AMIRA NATURE FOODS LTD
ANFI
$310K 0.08%
51,500
+100
+0.2% +$571
SNLN
232
DELISTED
Highland/iBoxx Senior Loan ETF
SNLN
$306K 0.08%
16,725
+700
+4% +$12.9K
PARA
233
DELISTED
Paramount Global Class B
PARA
$303K 0.08%
5,227
+13
+0.2% +$821
HSY icon
234
Hershey
HSY
$34.8B
$302K 0.08%
2,766
+35
+1% +$3.73K
PDP icon
235
Invesco Dorsey Wright Momentum ETF
PDP
$1.47B
$302K 0.08%
6,217
– –
QDF icon
236
FlexShares Quality Dividend Index Fund
QDF
$2.2B
$301K 0.08%
7,099
– –
TWTR
237
DELISTED
Twitter, Inc.
TWTR
$299K 0.08%
17,748
-350
-2% -$6.11K
HTGC icon
238
Hercules Capital
HTGC
$3.01B
$296K 0.08%
+22,950
New +$294K
AGU
239
DELISTED
Agrium
AGU
$296K 0.08%
2,763
+386
+16% +$38.5K
IGR
240
CBRE Global Real Estate Income Fund
IGR
$709M
$295K 0.08%
37,362
+10,048
+37% +$78.2K
AVGO icon
241
Broadcom
AVGO
$1.8T
$292K 0.08%
12,050
+380
+3% +$9.39K
SCHV
242
Schwab US Large-Cap Value ETF
SCHV
$15.5B
$291K 0.08%
16,824
-90
-0.5% -$1.52K
CRM icon
243
Salesforce
CRM
$142B
$287K 0.07%
3,069
+180
+6% +$16.6K
HYG icon
244
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$16.4B
$280K 0.07%
3,153
– –
CHI
245
Calamos Convertible Opportunities and Income Fund
CHI
$1.04B
$278K 0.07%
24,141
+1,088
+5% +$12.4K
BRK.A icon
246
Berkshire Hathaway Class A
BRK.A
$1.06T
$275K 0.07%
1
– –
SPE
247
Special Opportunities Fund
SPE
$144M
$275K 0.07%
18,182
– –
TSI
248
TCW Strategic Income Fund
TSI
$215M
$272K 0.07%
46,850
– –
CIEN icon
249
Ciena
CIEN
$53.6B
$267K 0.07%
12,136
+805
+7% +$19.3K
MDT icon
250
Medtronic
MDT
$107B
$266K 0.07%
3,425
+397
+13% +$33K
8 9
10
11 12

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PAIM
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RIA
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SFI
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MAM
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NWAM LLC's Q3 2017 Portfolio in Review

As of Q3 2017, NWAM LLC held 349 positions worth $385M, down 33% from $575M the previous quarter. Its ten largest holdings account for 24% of the portfolio.

NWAM LLC withdrew a net $201M in Q3 2017, closing 22 positions and reducing 79 holdings. Its most notable exit was Diversified Real Asset Income Fd, an estimated $1.87M position sold in full.

By sector, the portfolio is most concentrated in Technology at 8.8% of assets, up from 5.4% a quarter earlier, followed by Financials and Industrials.

Against the trend, NWAM LLC opened a new position in Nuveen Real Asset Income & Growth Fund worth $2.18M.

  • NWAM LLC's largest Q3 2017 buy was Nuveen Real Asset Income & Growth Fund: 120,909 shares worth $2.18M.
  • NWAM LLC added most to US Bancorp in Q3 2017, an estimated $2.98M increase.
  • NWAM LLC's biggest Q3 2017 reduction was Microsoft, cutting an estimated $692K.
  • NWAM LLC fully exited Diversified Real Asset Income Fd in Q3 2017, selling an estimated $1.87M.
  • NWAM LLC's ten largest holdings make up 24% of its $385M portfolio in Q3 2017.
  • NWAM LLC opened 27 new positions and closed 22 in Q3 2017.
  • NWAM LLC's portfolio value fell 33% quarter-over-quarter to $385M.

Based on NWAM LLC's 13F filing for Q3 2017, filed 1 Nov 2017.