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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
ETP
251
DELISTED
Energy Transfer Partners L.p.
ETP
$213K 0.07%
5,948
-319
-5% -$11.4K
MDT icon
252
Medtronic
MDT
$107B
$212K 0.07%
2,970
-214
-7% -$16.8K
LQD icon
253
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$34.7B
$210K 0.07%
+1,794
New +$213K
JHS
254
John Hancock Income Securities Trust
JHS
$126M
$209K 0.07%
14,925
– –
ARLZ
255
DELISTED
Aralez Pharmaceuticals Inc.
ARLZ
$208K 0.07%
47,100
– –
AVGO icon
256
Broadcom
AVGO
$1.82T
$204K 0.07%
+11,560
New +$200K
TWTR
257
DELISTED
Twitter, Inc.
TWTR
$204K 0.07%
12,523
-2,505
-17% -$45.9K
RTN
258
DELISTED
Raytheon Company
RTN
$201K 0.07%
+1,416
New +$201K
IVW icon
259
iShares S&P 500 Growth ETF
IVW
$72.5B
$200K 0.07%
+6,584
New +$199K
EVV
260
Eaton Vance Limited Duration Income Fund
EVV
$1.06B
$194K 0.06%
14,115
– –
PSEC icon
261
Prospect Capital
PSEC
$1.06B
$185K 0.06%
22,154
+3,488
+19% +$28K
VGM icon
262
Invesco Trust Investment Grade Municipals
VGM
$549M
$179K 0.06%
14,070
– –
CHI
263
Calamos Convertible Opportunities and Income Fund
CHI
$1.02B
$174K 0.06%
17,225
-1,782
-9% -$17.7K
PZE
264
DELISTED
Petrobras Argentina S A
PZE
$173K 0.06%
24,696
-2,222
-8% -$13.4K
TWI icon
265
Titan International
TWI
$516M
$170K 0.06%
15,205
-375
-2% -$4.1K
OB
266
DELISTED
Onebeacon Insurance Group Ltd
OB
$170K 0.06%
10,573
+510
+5% +$7.7K
RBBN icon
267
Ribbon Communications
RBBN
$354M
$168K 0.06%
26,636
-1,075
-4% -$7.06K
PMO
268
Franklin Municipal Opportunities Trust
PMO
$282M
$157K 0.05%
13,172
– –
NMFC icon
269
New Mountain Finance
NMFC
$646M
$155K 0.05%
11,000
– –
FTR
270
DELISTED
Frontier Communications Corp.
FTR
$153K 0.05%
3,018
-837
-22% -$45.9K
WFT
271
DELISTED
Weatherford International plc
WFT
$144K 0.05%
28,784
-6,865
-19% -$35.9K
TEI
272
Templeton Emerging Markets Income Fund
TEI
$310M
$132K 0.04%
12,136
-7,018
-37% -$75.3K
JPC icon
273
Nuveen Preferred & Income Opportunities Fund
JPC
$2.89B
$118K 0.04%
11,950
– –
CSQ icon
274
Calamos Strategic Total Return Fund
CSQ
$3.21B
$110K 0.04%
+10,700
New +$108K
LEO
275
BNY Mellon Strategic Municipals
LEO
$387M
$109K 0.04%
13,000
– –
9 10
11
12 13

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LBC
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CAM
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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.