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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
-6.89%
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
$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
MZF
251
DELISTED
Managed Duration Inv Grd Muni Fd
MZF
– –
-104,000
Closed -$1.38M
OB
252
DELISTED
Onebeacon Insurance Group Ltd
OB
– –
-10,000
Closed -$149K
MHG
253
DELISTED
Marine Harvest ASA
MHG
– –
-14,000
Closed -$156K
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.