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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
+3.04%
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
$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
SCU
276
DELISTED
Sculptor Capital Management, Inc. Class A Common Stock
SCU
$100K 0.03%
3,009
-25
-0.8% -$798
SBI
277
Western Asset Intermediate Muni Fund
SBI
$110M
$97K 0.03%
+10,206
New +$101K
JMM icon
278
Nuveen Multi-Market Income Fund
JMM
$55M
$91K 0.03%
12,481
+65
+0.5% +$474
PIM
279
Franklin Master Intermediate Income Trust
PIM
$152M
$77K 0.03%
16,598
– –
ONIT
280
Onity Group
ONIT
$337M
$71K 0.02%
883
-67
-7% -$4.72K
FGP
281
DELISTED
Ferrellgas Partners, L.P.
FGP
$70K 0.02%
10,277
-1,900
-16% -$15.2K
GNW icon
282
Genworth Financial
GNW
$3.87B
$52K 0.02%
+13,600
New +$59.9K
MNKD icon
283
MannKind Corp
MNKD
$1.23B
$30K 0.01%
9,452
-308
-3% -$891
WPRT
284
Westport Fuel Systems
WPRT
$36.1M
$25K 0.01%
+2,190
New +$30.5K
UQM
285
DELISTED
UQM Technologies, Inc.
UQM
$19K 0.01%
43,378
-3,600
-8% -$1.86K
VNR
286
DELISTED
Vanguard Natural Resources, LLC
VNR
$18K 0.01%
26,122
+1,761
+7% +$1.27K
AAPL icon
287
Apple
AAPL
$4.8T
– –
-288,696
Closed -$8.18M
ACAD icon
288
Acadia Pharmaceuticals
ACAD
$4.3B
– –
-6,810
Closed -$217K
BHC icon
289
PUT
Bausch Health
BHC
$1.75B
– –
-10,000
Closed -$100M
CQP icon
290
PUT
Cheniere Energy
CQP
$30.9B
– –
-10,000
Closed -$300M
DDD icon
291
3D Systems Corp
DDD
$430M
– –
-36,284
Closed -$651K
DOC icon
292
Healthpeak Properties
DOC
$15.4B
– –
-7,101
Closed -$245K
DSU icon
293
BlackRock Debt Strategies Fund
DSU
$599M
– –
-6,440
Closed -$71K
FXB icon
294
CALL
Invesco CurrencyShares British Pound Sterling Trust
FXB
$77.5M
– –
-3,000
Closed -$390M
GSK icon
295
GSK
GSK
$100B
– –
-5,832
Closed -$314K
ITW icon
296
Illinois Tool Works
ITW
$78.2B
– –
-1,863
Closed -$223K
LOW icon
297
Lowe's Companies
LOW
$115B
– –
-2,851
Closed -$206K
MDLZ icon
298
Mondelez International
MDLZ
$77.4B
– –
-4,650
Closed -$204K
NXPI icon
299
NXP Semiconductors
NXPI
$67.5B
– –
-2,026
Closed -$207K
ODP
300
DELISTED
ODP
ODP
– –
-1,240
Closed -$44K
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 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.