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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
+1.8%
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
$252M
AUM Growth
+$7.28M
Cap. Flow
-$8.96M
Cap. Flow %
-3.55%
Top 10 Hldgs %
27.77%
Holding
282
New
23
Increased
80
Reduced
122
Closed
29

Top Buys

Rank Stock Value
1
VTV icon
Vanguard Value ETF
VTV
+$1.09M
2
VUG icon
Vanguard Growth ETF
VUG
+$1.05M
3
JQC icon
Nuveen Credit Strategies Income Fund
JQC
+$836K
4
BA icon
Boeing
BA
+$827K
5
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$746K

Top Sells

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$11.6M
2
PG icon
Procter & Gamble
PG
+$1.3M
3
FV icon
First Trust Dorsey Wright Focus 5 ETF
FV
+$754K
4
GE icon
GE Aerospace
GE
+$715K
5
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$642K

Sector Composition

Rank Sector Weight
1 Technology 8.83%
2 Financials 5.89%
3 Industrials 4.74%
4 Communication Services 4.29%
5 Consumer Discretionary 4.04%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
UQM
251
DELISTED
UQM Technologies, Inc.
UQM
$26K 0.01%
46,213
– –
SNOA icon
252
Sonoma Pharmaceuticals
SNOA
$5.46M
$23K 0.01%
27
– –
HTM
253
DELISTED
U.S. Geothermal Inc.
HTM
$7K ﹤0.01%
1,667
– –
BIDU icon
254
Baidu
BIDU
$35.8B
– –
-1,297
Closed -$245K
ENX
255
DELISTED
Eaton Vance New York Municipal Bond Fund
ENX
– –
-12,950
Closed -$170K
FV icon
256
First Trust Dorsey Wright Focus 5 ETF
FV
$3.61B
– –
-32,105
Closed -$754K
GD icon
257
General Dynamics
GD
$105B
– –
-1,995
Closed -$274K
GLD icon
258
SPDR Gold Trust
GLD
$131B
– –
-2,259
Closed -$256K
KMI icon
259
CALL
Kinder Morgan
KMI
$73.1B
– –
-18,000
Closed -$7K
LMT icon
260
Lockheed Martin
LMT
$134B
– –
-936
Closed -$203K
MDLZ icon
261
Mondelez International
MDLZ
$77.7B
– –
-4,473
Closed -$201K
MSFT icon
262
CALL
Microsoft
MSFT
$2.84T
– –
-13,100
Closed -$69K
NAN icon
263
Nuveen New York Quality Municipal Income Fund
NAN
$371M
– –
-15,131
Closed -$215K
OXY icon
264
Occidental Petroleum
OXY
$57B
– –
-3,211
Closed -$217K
RBBN icon
265
Ribbon Communications
RBBN
$354M
– –
-23,290
Closed -$166K
RY icon
266
Royal Bank of Canada
RY
$291B
– –
-3,788
Closed -$203K
SCHF icon
267
Schwab International Equity ETF
SCHF
$65.6B
– –
-18,006
Closed -$248K
SOR
268
Source Capital
SOR
$369M
– –
-4,965
Closed -$329K
VALE icon
269
Vale
VALE
$62.9B
– –
-7,900
Closed -$230K
WFC icon
270
Wells Fargo
WFC
$261B
– –
-4,370
Closed -$238K
DBGR
271
DELISTED
Xtrackers MSCI Germany Hedged Equity ETF
DBGR
– –
-9,460
Closed -$227K
MNDT
272
DELISTED
Mandiant, Inc. Common Stock
MNDT
– –
-19,980
Closed -$414K
ESRX
273
DELISTED
Express Scripts Holding Company
ESRX
– –
-2,505
Closed -$219K
NYH
274
DELISTED
Eaton Vance New York Municipal Bond Fund II
NYH
– –
-13,450
Closed -$168K
BBLU
275
DELISTED
BLUE EARTH, INC. COMMON STOCK
BBLU
– –
-597,238
Closed -$299K
8 9 10
11
12

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NWAM LLC's Q1 2016 Portfolio in Review

As of Q1 2016, NWAM LLC held 282 positions worth $252M, up 3% from $245M the previous quarter. Its ten largest holdings account for 28% of the portfolio.

NWAM LLC withdrew a net $8.96M in Q1 2016, closing 29 positions and reducing 122 holdings. Its most notable exit was First Trust Dorsey Wright Focus 5 ETF, an estimated $754K position sold in full.

By sector, the portfolio is most concentrated in Technology at 8.8% of assets, down from 9.3% a quarter earlier, followed by Financials and Industrials.

Against the trend, NWAM LLC opened a new position in Nuveen Credit Strategies Income Fund worth $874K.

  • NWAM LLC's largest Q1 2016 buy was Nuveen Credit Strategies Income Fund: 110,505 shares worth $874K.
  • NWAM LLC added most to Vanguard Value ETF in Q1 2016, an estimated $1.09M increase.
  • NWAM LLC's biggest Q1 2016 reduction was Alibaba, cutting an estimated $11.6M.
  • NWAM LLC fully exited First Trust Dorsey Wright Focus 5 ETF in Q1 2016, selling an estimated $754K.
  • NWAM LLC's ten largest holdings make up 28% of its $252M portfolio in Q1 2016.
  • NWAM LLC opened 23 new positions and closed 29 in Q1 2016.
  • NWAM LLC's portfolio value rose 3% quarter-over-quarter to $252M.

Based on NWAM LLC's 13F filing for Q1 2016, filed 16 May 2016.