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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
+2.01%
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
$229M
AUM Growth
-$51.8M
Cap. Flow
-$60.6M
Cap. Flow %
-26.48%
Top 10 Hldgs %
27.41%
Holding
313
New
17
Increased
57
Reduced
143
Closed
72

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$959K
2
RDS.A
Royal Dutch Shell PLC ADS Class A
RDS.A
+$920K
3
BKK
Blackrock Municipal 2020 Term Trust
BKK
+$730K
4
SNR
NEW SENIOR INVESTMENT GROUP INC.
SNR
+$424K
5
ONIT
Onity Group
ONIT
+$390K

Top Sells

Rank Stock Value
1
SBUX icon
Starbucks
SBUX
+$7.43M
2
PG icon
Procter & Gamble
PG
+$3.78M
3
SPAB icon
State Street SPDR Portfolio Aggregate Bond ETF
SPAB
+$2.94M
4
PM icon
Philip Morris
PM
+$1.85M
5
MSFT icon
Microsoft
MSFT
+$1.7M

Sector Composition

Rank Sector Weight
1 Technology 8.32%
2 Financials 7.05%
3 Industrials 4.85%
4 Energy 4.02%
5 Real Estate 3.87%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PARAA
276
DELISTED
Paramount Global Class A
PARAA
– –
-4,810
Closed -$257K
PBR.A icon
277
Petrobras Class A
PBR.A
$105B
– –
-14,757
Closed -$220K
PDT
278
John Hancock Premium Dividend Fund
PDT
$634M
– –
-13,327
Closed -$175K
PEP icon
279
PepsiCo
PEP
$185B
– –
-2,959
Closed -$275K
PFF icon
280
iShares Preferred and Income Securities ETF
PFF
$13.3B
– –
-5,650
Closed -$223K
RQI icon
281
Cohen & Steers Quality Income Realty Fund
RQI
$1.67B
– –
-18,157
Closed -$193K
SJM icon
282
J.M. Smucker
SJM
$12B
– –
-2,048
Closed -$203K
SO icon
283
Southern Company
SO
$106B
– –
-12,182
Closed -$532K
SPAB icon
284
State Street SPDR Portfolio Aggregate Bond ETF
SPAB
$9.83B
– –
-101,754
Closed -$2.94M
SRE icon
285
Sempra
SRE
$59.3B
– –
-9,150
Closed -$482K
TEVA icon
286
Teva Pharmaceuticals
TEVA
$36.1B
– –
-4,163
Closed -$224K
TGS icon
287
Transportadora de Gas del Sur
TGS
$4.53B
– –
-174,762
Closed -$559K
TXN icon
288
Texas Instruments
TXN
$259B
– –
-4,253
Closed -$203K
UPS icon
289
United Parcel Service
UPS
$96.2B
– –
-3,448
Closed -$339K
VOT icon
290
Vanguard Mid-Cap Growth ETF
VOT
$19B
– –
-2,523
Closed -$243K
WFC icon
291
Wells Fargo
WFC
$261B
– –
-7,138
Closed -$370K
WM icon
292
Waste Management
WM
$96B
– –
-4,251
Closed -$202K
MRO
293
DELISTED
Marathon Oil Corporation
MRO
– –
-6,125
Closed -$230K
FEN
294
DELISTED
First Trust Energy Income and Growth Fund
FEN
– –
-12,524
Closed -$461K
MMP
295
DELISTED
Magellan Midstream Partners, L.P.
MMP
– –
-3,051
Closed -$257K
RDS.B
296
DELISTED
Royal Dutch Shell PLC ADS Class B
RDS.B
– –
-19,870
Closed -$1.53M
SPRT
297
DELISTED
support.com, Inc.
SPRT
– –
-5,038
Closed -$33K
CBL
298
DELISTED
CBL& Associates Properties, Inc.
CBL
– –
-13,642
Closed -$244K
RTN
299
DELISTED
Raytheon Company
RTN
– –
-2,190
Closed -$223K
ESRX
300
DELISTED
Express Scripts Holding Company
ESRX
– –
-4,871
Closed -$344K
9 10 11
12
13

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MCWS
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VCM
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PAIM
Punch & Associates Investment Management Edina, Minnesota $1.73B AUM 27.65% 1-Year Est. Return
RIA
Regal Investment Advisors Kentwood, Michigan $1.73B AUM 17.74% 1-Year Est. Return
SFI
Siemens Fonds Invest Munich, Germany $1.75B AUM 26.24% 1-Year Est. Return
MAM
Meeder Asset Management Dublin, Ohio $1.75B AUM 34.85% 1-Year Est. Return
GAM
GuardCap Asset Management London, United Kingdom $1.75B AUM 7.74% 1-Year Est. Return
DF
DNCA Finance Paris, France $1.75B AUM 38.18% 1-Year Est. Return

NWAM LLC's Q4 2014 Portfolio in Review

As of Q4 2014, NWAM LLC held 313 positions worth $229M, down 18% from $281M the previous quarter. Its ten largest holdings account for 27% of the portfolio.

NWAM LLC withdrew a net $60.6M in Q4 2014, closing 72 positions and reducing 143 holdings. Its most notable exit was State Street SPDR Portfolio Aggregate Bond ETF, an estimated $2.94M position sold in full.

By sector, the portfolio is most concentrated in Technology at 8.3% of assets, up from 8.2% a quarter earlier, followed by Financials and Industrials.

Against the trend, NWAM LLC opened a new position in Royal Dutch Shell PLC ADS Class A worth $890K.

  • NWAM LLC's largest Q4 2014 buy was Royal Dutch Shell PLC ADS Class A: 13,295 shares worth $890K.
  • NWAM LLC added most to Invesco QQQ Trust in Q4 2014, an estimated $959K increase.
  • NWAM LLC's biggest Q4 2014 reduction was Starbucks, cutting an estimated $7.43M.
  • NWAM LLC fully exited State Street SPDR Portfolio Aggregate Bond ETF in Q4 2014, selling an estimated $2.94M.
  • NWAM LLC's ten largest holdings make up 27% of its $229M portfolio in Q4 2014.
  • NWAM LLC opened 17 new positions and closed 72 in Q4 2014.
  • NWAM LLC's portfolio value fell 18% quarter-over-quarter to $229M.

Based on NWAM LLC's 13F filing for Q4 2014, filed 9 Sep 2016.