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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
-1.19%
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
$281M
AUM Growth
-$40.6M
Cap. Flow
-$30.8M
Cap. Flow %
-10.95%
Top 10 Hldgs %
24.08%
Holding
324
New
24
Increased
147
Reduced
106
Closed
28

Top Buys

Rank Stock Value
1
SBUX icon
Starbucks
SBUX
+$4.72M
2
BBLU
BLUE EARTH, INC. COMMON STOCK
BBLU
+$1.85M
3
DRA
Diversified Real Asset Income Fd
DRA
+$1.77M
4
RDS.B
Royal Dutch Shell PLC ADS Class B
RDS.B
+$1.31M
5
MZF
Managed Duration Inv Grd Muni Fd
MZF
+$1.18M

Top Sells

Rank Stock Value
1
MSFT icon
Microsoft
MSFT
+$5.31M
2
BAC icon
Bank of America
BAC
+$3.26M
3
INTC icon
Intel
INTC
+$2.82M
4
O icon
Realty Income
O
+$2.36M
5
APU
AmeriGas Partners, L.P.
APU
+$2.18M

Sector Composition

Rank Sector Weight
1 Technology 8.17%
2 Financials 6.7%
3 Energy 5.79%
4 Industrials 5.51%
5 Consumer Staples 5.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PMO
276
Franklin Municipal Opportunities Trust
PMO
$282M
$154K 0.05%
13,172
– –
BYM
277
DELISTED
BlackRock Municipal Income Quality Trust
BYM
$141K 0.05%
+10,174
New +$140K
RVLT
278
DELISTED
Revolution Lighting Technologies, Inc. - Class A
RVLT
$137K 0.05%
8,160
-5,688
-41% -$120K
BTU
279
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
$136K 0.05%
+731
New +$166K
EAD
280
Allspring Income Opportunities Fund
EAD
$372M
$123K 0.04%
13,640
+728
+6% +$6.75K
PAAS icon
281
Pan American Silver
PAAS
$18.6B
$111K 0.04%
+10,122
New +$142K
JPC icon
282
Nuveen Preferred & Income Opportunities Fund
JPC
$2.89B
$110K 0.04%
11,950
– –
EXEL icon
283
Exelixis
EXEL
$13.9B
$101K 0.04%
+65,916
New +$212K
PDLI
284
DELISTED
PDL BioPharma, Inc.
PDLI
$87K 0.03%
+11,642
New +$108K
PIM
285
Franklin Master Intermediate Income Trust
PIM
$149M
$83K 0.03%
16,598
– –
DSU icon
286
BlackRock Debt Strategies Fund
DSU
$591M
$80K 0.03%
7,017
+184
+3% +$2.19K
BKT icon
287
BlackRock Income Trust
BKT
$330M
$75K 0.03%
+3,926
New +$76.3K
AWRE icon
288
Aware
AWRE
$23.6M
$71K 0.03%
19,312
+8,449
+78% +$40.7K
FXEN
289
DELISTED
FX ENERGY INC
FXEN
$56K 0.02%
18,400
– –
ANR
290
DELISTED
Alpha Natural Resources Inc
ANR
$44K 0.02%
17,744
+5,883
+50% +$20.3K
UQM
291
DELISTED
UQM Technologies, Inc.
UQM
$41K 0.01%
29,054
+11,142
+62% +$18.8K
EBIX
292
DELISTED
Ebix Inc
EBIX
$38K 0.01%
24,210
+153
+0.6% +$2.13K
SPRT
293
DELISTED
support.com, Inc.
SPRT
$33K 0.01%
5,038
+1,023
+25% +$7.4K
MCP
294
DELISTED
MOLYCORP INC COM STK
MCP
$15K 0.01%
+12,204
New +$22.9K
PZG icon
295
Paramount Gold Nevada
PZG
$94.4M
$13K ﹤0.01%
+13,129
New +$12.8K
HTM
296
DELISTED
U.S. Geothermal Inc.
HTM
$6K ﹤0.01%
1,667
– –
BDJ icon
297
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.7B
– –
-24,466
Closed -$205K
CSQ icon
298
Calamos Strategic Total Return Fund
CSQ
$3.21B
– –
-19,750
Closed -$237K
DUK icon
299
Duke Energy
DUK
$102B
– –
-12,352
Closed -$916K
FE icon
300
FirstEnergy
FE
$28.9B
– –
-8,513
Closed -$296K
9 10 11
12
13

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BGM
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NWAM LLC's Q3 2014 Portfolio in Review

As of Q3 2014, NWAM LLC held 324 positions worth $281M, down 13% from $321M the previous quarter. Its ten largest holdings account for 24% of the portfolio.

NWAM LLC withdrew a net $30.8M in Q3 2014, closing 28 positions and reducing 106 holdings. Its most notable exit was AMERN STRATEGIC INCM PORTF II, an estimated $1.22M position sold in full.

By sector, the portfolio is most concentrated in Technology at 8.2% of assets, down from 9.8% a quarter earlier, followed by Financials and Energy.

Against the trend, NWAM LLC opened a new position in BLUE EARTH, INC. COMMON STOCK worth $2.17M.

  • NWAM LLC's largest Q3 2014 buy was BLUE EARTH, INC. COMMON STOCK: 576,119 shares worth $2.17M.
  • NWAM LLC added most to Starbucks in Q3 2014, an estimated $4.72M increase.
  • NWAM LLC's biggest Q3 2014 reduction was Microsoft, cutting an estimated $5.31M.
  • NWAM LLC fully exited AMERN STRATEGIC INCM PORTF II in Q3 2014, selling an estimated $1.22M.
  • NWAM LLC's ten largest holdings make up 24% of its $281M portfolio in Q3 2014.
  • NWAM LLC opened 24 new positions and closed 28 in Q3 2014.
  • NWAM LLC's portfolio value fell 13% quarter-over-quarter to $281M.

Based on NWAM LLC's 13F filing for Q3 2014, filed 9 Sep 2016.