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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
+2.22%
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
$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
ICF icon
276
iShares Select U.S. REIT ETF
ICF
$2.11B
– –
-9,336
Closed -$349K
LGL icon
277
LGL Group
LGL
$44.7M
– –
-33,548
Closed -$1K
NAN icon
278
Nuveen New York Quality Municipal Income Fund
NAN
$381M
– –
-13,025
Closed -$131K
PIE icon
279
Invesco Dorsey Wright Emerging Markets Momentum ETF
PIE
$247M
– –
-93,443
Closed -$1.7M
PIZ icon
280
Invesco Dorsey Wright Developed Markets Momentum ETF
PIZ
$722M
– –
-59,639
Closed -$1.58M
PZG icon
281
Paramount Gold Nevada
PZG
$97.8M
– –
-30,000
Closed -$28K
TSN icon
282
Tyson Foods
TSN
$20.3B
– –
-6,016
Closed -$201K
VOT icon
283
Vanguard Mid-Cap Growth ETF
VOT
$19.1B
– –
-2,928
Closed -$264K
XLK icon
284
State Street Technology Select Sector SPDR ETF
XLK
$114B
– –
-68,774
Closed -$1.23M
AMJ
285
DELISTED
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
– –
-4,801
Closed -$223K
NKG
286
DELISTED
Nuveen Georgia Quality Municipal Income Fund
NKG
– –
-34,100
Closed -$341K
NMY
287
DELISTED
Nuveen Maryland Quality Municipal Income Fund
NMY
– –
-55,000
Closed -$551K
S
288
DELISTED
Sprint Corporation
S
– –
-89,698
Closed -$964K
NTC
289
DELISTED
Nuveen Connecticut Quality Municipal Income Fund
NTC
– –
-23,900
Closed -$239K
UWN
290
DELISTED
Nevada Gold & Casinos, Ltd.
UWN
– –
-17,000
Closed -$23K
RSO
291
DELISTED
Resource Capital Corp.
RSO
– –
-1,006
Closed -$270K
PCL
292
DELISTED
PLUM CREEK TIMBER CO (REIT)
PCL
– –
-8,533
Closed -$397K
MILL
293
DELISTED
MILLER ENERGY RESOURCES, INC COM STK
MILL
– –
-13,050
Closed -$313K
CIMT
294
DELISTED
CIMATRON LTD ORD SHS
CIMT
– –
-16,525
Closed -$149K
TIBX
295
DELISTED
TIBCO SOFTWARE INC
TIBX
– –
-10,500
Closed -$236K
KMP
296
DELISTED
KINDER MORGAN ENER PNTRS L.P.
KMP
– –
-3,842
Closed -$310K
NGX
297
DELISTED
NUVEEN MASS AMT-FREE MUNI INC FD
NGX
– –
-11,700
Closed -$117K
ACAS
298
DELISTED
American Capital Ltd
ACAS
– –
-11,657
Closed -$182K
OB
299
DELISTED
Onebeacon Insurance Group Ltd
OB
– –
-16,540
Closed -$262K
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.