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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
+2.22%
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
$291M
AUM Growth
+$102M
Cap. Flow
+$119M
Cap. Flow %
41.06%
Top 10 Hldgs %
23.13%
Holding
299
New
121
Increased
110
Reduced
35
Closed
30

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$21.9M
2
BTZ icon
BlackRock Credit Allocation Income Trust
BTZ
+$6M
3
ERC
Allspring Multi-Sector Income Fund
ERC
+$5.29M
4
FLC
Flaherty & Crumrine Total Return Fund
FLC
+$5.22M
5
RSP icon
Invesco S&P 500 Equal Weight ETF
RSP
+$3.36M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$2.45M
2
DLS icon
WisdomTree International SmallCap Dividend Fund
DLS
+$2.21M
3
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$2.16M
4
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$2.15M
5
IJT icon
iShares S&P Small-Cap 600 Growth ETF
IJT
+$2M

Sector Composition

Rank Sector Weight
1 Technology 10.58%
2 Financials 8.79%
3 Industrials 6.42%
4 Consumer Discretionary 5.25%
5 Healthcare 5.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NQM
251
DELISTED
NUVEEN INVESTMENT QLTY MUNI FD
NQM
$152K 0.05%
+10,775
New +$152K
PMO
252
Franklin Municipal Opportunities Trust
PMO
$282M
$150K 0.05%
+13,172
New +$148K
WIN
253
DELISTED
Windstream Holdings Inc
WIN
$150K 0.05%
4,516
+3,237
+253% +$201K
BYM
254
DELISTED
BlackRock Municipal Income Quality Trust
BYM
$141K 0.05%
+10,392
New +$139K
EMD
255
Western Asset Emerging Markets Debt Fund
EMD
$609M
$124K 0.04%
+66,916
New +$1.14M
EAD
256
Allspring Income Opportunities Fund
EAD
$372M
$123K 0.04%
13,062
-1,423
-10% -$13.2K
PZE
257
DELISTED
Petrobras Argentina S A
PZE
$121K 0.04%
+21,762
New +$108K
PDLI
258
DELISTED
PDL BioPharma, Inc.
PDLI
$87K 0.03%
+10,465
New +$89.7K
PIM
259
Franklin Master Intermediate Income Trust
PIM
$149M
$85K 0.03%
+16,598
New +$84.1K
AWRE icon
260
Aware
AWRE
$23.6M
$71K 0.02%
+12,307
New +$74.6K
DSU icon
261
BlackRock Debt Strategies Fund
DSU
$591M
$71K 0.02%
+5,733
New +$69.8K
FXEN
262
DELISTED
FX ENERGY INC
FXEN
$53K 0.02%
16,000
– –
ANR
263
DELISTED
Alpha Natural Resources Inc
ANR
$44K 0.02%
10,354
-11,337
-52% -$60.8K
UQM
264
DELISTED
UQM Technologies, Inc.
UQM
$41K 0.01%
15,517
-33,396
-68% -$71.1K
EBIX
265
DELISTED
Ebix Inc
EBIX
$38K 0.01%
+20,132
New +$310K
SPRT
266
DELISTED
support.com, Inc.
SPRT
$33K 0.01%
+4,267
New +$35.6K
FPP.WS
267
DELISTED
FieldPoint Petroleum Corporation Common Stock Purchase Warrants
FPP.WS
$16K 0.01%
+16,800
New +$13.9K
HTM
268
DELISTED
U.S. Geothermal Inc.
HTM
$11K ﹤0.01%
2,500
– –
CLF icon
269
Cleveland-Cliffs
CLF
$6.81B
$7K ﹤0.01%
+15,227
New +$315K
AFB
270
AllianceBernstein National Municipal Income Fund
AFB
$312M
– –
-107,905
Closed -$1.54M
AMD icon
271
Advanced Micro Devices
AMD
$851B
– –
-10,090
Closed -$39K
DLS icon
272
WisdomTree International SmallCap Dividend Fund
DLS
$1.04B
– –
-35,011
Closed -$2.21M
DOC icon
273
Healthpeak Properties
DOC
$15.4B
– –
-36,687
Closed -$1.21M
EPC icon
274
Edgewell Personal Care
EPC
$1.27B
– –
-83,768
Closed -$12K
GSG icon
275
iShares S&P GSCI Commodity-Indexed Trust
GSG
$1.02B
– –
-21,775
Closed -$701K
8 9 10
11
12

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NWAM LLC's Q1 2014 Portfolio in Review

As of Q1 2014, NWAM LLC held 299 positions worth $291M, up 54% from $188M the previous quarter. Its ten largest holdings account for 23% of the portfolio.

NWAM LLC deployed $119M of net new capital in Q1 2014, opening 121 new positions and adding to 110 existing holdings. Its largest new stake was BlackRock Credit Allocation Income Trust: 453,690 shares worth $6.13M.

By sector, the portfolio is most concentrated in Technology at 11% of assets, down from 11% a quarter earlier, followed by Financials and Industrials.

On the sell side, the largest reduction was Invesco QQQ Trust, an estimated $2.45M trimmed.

  • NWAM LLC's largest Q1 2014 buy was BlackRock Credit Allocation Income Trust: 453,690 shares worth $6.13M.
  • NWAM LLC added most to Apple in Q1 2014, an estimated $21.9M increase.
  • NWAM LLC's biggest Q1 2014 reduction was Invesco QQQ Trust, cutting an estimated $2.45M.
  • NWAM LLC fully exited WisdomTree International SmallCap Dividend Fund in Q1 2014, selling an estimated $2.21M.
  • NWAM LLC's ten largest holdings make up 23% of its $291M portfolio in Q1 2014.
  • NWAM LLC opened 121 new positions and closed 30 in Q1 2014.
  • NWAM LLC's portfolio value rose 54% quarter-over-quarter to $291M.

Based on NWAM LLC's 13F filing for Q1 2014, filed 9 Sep 2016.