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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
XLF icon
251
State Street Financial Select Sector SPDR ETF
XLF
$55.4B
$265K 0.07%
10,258
– –
ADI icon
252
Analog Devices
ADI
$183B
$263K 0.07%
+3,056
New +$246K
VTRS icon
253
Viatris
VTRS
$20B
$263K 0.07%
8,392
-25
-0.3% -$849
ITW icon
254
Illinois Tool Works
ITW
$78.1B
$258K 0.07%
+1,741
New +$248K
MQY icon
255
BlackRock MuniYield Quality Fund
MQY
$828M
$257K 0.07%
16,650
– –
SCHG icon
256
Schwab US Large-Cap Growth ETF
SCHG
$60B
$257K 0.07%
31,144
– –
TRQ
257
DELISTED
Turquoise Hill Resources Ltd
TRQ
$257K 0.07%
8,289
– –
BNS icon
258
Scotiabank
BNS
$107B
$255K 0.07%
3,970
+400
+11% +$24.9K
LUMN icon
259
Lumen
LUMN
$6.4B
$252K 0.07%
13,315
+16
+0.1% +$337
CSX icon
260
CSX Corp
CSX
$92.9B
$250K 0.07%
13,836
+42
+0.3% +$721
MMP
261
DELISTED
Magellan Midstream Partners, L.P.
MMP
$250K 0.07%
3,525
+238
+7% +$16.4K
ATVI
262
DELISTED
Activision Blizzard
ATVI
$250K 0.07%
+3,871
New +$242K
GD icon
263
General Dynamics
GD
$101B
$249K 0.06%
+1,211
New +$243K
VOE icon
264
Vanguard Mid-Cap Value ETF
VOE
$23.4B
$247K 0.06%
2,337
+49
+2% +$5.09K
APD icon
265
Air Products & Chemicals
APD
$66.1B
$246K 0.06%
+1,627
New +$238K
FAM
266
DELISTED
First Trust/abrdn Global Opportunity Income Fund
FAM
$246K 0.06%
20,865
– –
FISV
267
Fiserv Inc
FISV
$27.4B
$241K 0.06%
3,742
– –
PSX icon
268
Phillips 66
PSX
$84.5B
$240K 0.06%
2,622
-376
-13% -$31.8K
KG
269
Kestrel Group
KG
$73.2M
$239K 0.06%
1,501
+92
+7% +$16.3K
UPS icon
270
United Parcel Service
UPS
$96.5B
$235K 0.06%
1,959
+22
+1% +$2.5K
KHC icon
271
Kraft Heinz
KHC
$30.9B
$233K 0.06%
3,000
+203
+7% +$17K
PHD
272
DELISTED
Pioneer Floating Rate Fund
PHD
$232K 0.06%
19,401
– –
GSK icon
273
GSK
GSK
$101B
$231K 0.06%
+4,558
New +$231K
AMD icon
274
Advanced Micro Devices
AMD
$841B
$229K 0.06%
17,967
+2,350
+15% +$30.7K
ETP
275
DELISTED
Energy Transfer Partners, L.P.
ETP
$229K 0.06%
+12,527
New +$243K
9 10
11
12 13

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VCM
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PAIM
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RIA
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SFI
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MAM
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GAM
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DF
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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.