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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
+10.07%
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
$606M
AUM Growth
-$108M
Cap. Flow
-$158M
Cap. Flow %
-26.11%
Top 10 Hldgs %
33.46%
Holding
446
New
26
Increased
70
Reduced
122
Closed
198

Top Buys

Rank Stock Value
1
VTIP icon
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
+$3.98M
2
SHOP icon
Shopify
SHOP
+$3.62M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.37M
4
ISTB icon
iShares Core 1-5 Year USD Bond ETF
ISTB
+$2.78M
5
MOS icon
The Mosaic Company
MOS
+$2.77M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$25.5M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.55M
3
GOVT icon
iShares US Treasury Bond ETF
GOVT
+$5.5M
4
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$4.62M
5
ESGU icon
iShares ESG Aware MSCI USA ETF
ESGU
+$3.63M

Sector Composition

Rank Sector Weight
1 Technology 18.93%
2 Consumer Discretionary 6.02%
3 Industrials 4.84%
4 Financials 4.11%
5 Healthcare 3.76%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CMI icon
276
Cummins
CMI
$88.5B
– –
-3,105
Closed -$538K
COLB icon
277
Columbia Banking Systems
COLB
$8.84B
– –
-9,222
Closed -$261K
COP icon
278
ConocoPhillips
COP
$139B
– –
-8,071
Closed -$339K
CRM icon
279
Salesforce
CRM
$149B
– –
-2,156
Closed -$404K
CSX icon
280
CSX Corp
CSX
$94.2B
– –
-18,684
Closed -$434K
D icon
281
Dominion Energy
D
$62.1B
– –
-4,788
Closed -$389K
DD icon
282
DuPont de Nemours
DD
$19B
– –
-5,213
Closed -$348K
DG icon
283
Dollar General
DG
$27.8B
– –
-1,826
Closed -$348K
DGS icon
284
WisdomTree Emerging Markets SmallCap Dividend Fund
DGS
$1.69B
– –
-5,221
Closed -$204K
DHR icon
285
Danaher
DHR
$140B
– –
-9,916
Closed -$1.55M
DIA icon
286
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$46B
– –
-1,684
Closed -$460K
DMO
287
Western Asset Mortgage Opportunity Fund
DMO
$119M
– –
-44,488
Closed -$653K
EFAV icon
288
iShares MSCI EAFE Min Vol Factor ETF
EFAV
$5.32B
– –
-15,832
Closed -$1.05M
EFG icon
289
iShares MSCI EAFE Growth ETF
EFG
$16.3B
– –
-34,517
Closed -$2.87M
EFX icon
290
Equifax
EFX
$22B
– –
-4,000
Closed -$688K
EPD icon
291
Enterprise Products Partners
EPD
$83.6B
– –
-20,389
Closed -$370K
EQNR icon
292
Equinor
EQNR
$90.9B
– –
-10,562
Closed -$153K
ESGE icon
293
iShares ESG Aware MSCI EM ETF
ESGE
$6.41B
– –
-62,506
Closed -$2M
ESGU icon
294
iShares ESG Aware MSCI USA ETF
ESGU
$17.8B
– –
-51,829
Closed -$3.63M
ETN icon
295
Eaton
ETN
$150B
– –
-18,321
Closed -$1.6M
EXPD icon
296
Expeditors International
EXPD
$22.4B
– –
-3,110
Closed -$236K
FIS icon
297
Fidelity National Information Services
FIS
$23.2B
– –
-1,905
Closed -$255K
FLOT icon
298
iShares Floating Rate Bond ETF
FLOT
$10.2B
– –
-3,974
Closed -$201K
FTEC icon
299
Fidelity MSCI Information Technology Index ETF
FTEC
$19.4B
– –
-12,806
Closed -$1.05M
GBIL icon
300
Goldman Sachs Access Treasury 0-1 Year ETF
GBIL
$7.64B
– –
-19,293
Closed -$1.94M
10 11
12
13 14

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NWAM LLC's Q3 2020 Portfolio in Review

As of Q3 2020, NWAM LLC held 446 positions worth $606M, down 15% from $714M the previous quarter. Its ten largest holdings account for 33% of the portfolio.

NWAM LLC withdrew a net $158M in Q3 2020, closing 198 positions and reducing 122 holdings. Its most notable exit was iShares US Treasury Bond ETF, an estimated $5.5M position sold in full.

By sector, the portfolio is most concentrated in Technology at 19% of assets, up from 19% a quarter earlier, followed by Consumer Discretionary and Industrials.

Against the trend, NWAM LLC opened a new position in Vanguard Short-Term Inflation-Protected Securities Index Fund worth $4.01M.

  • NWAM LLC's largest Q3 2020 buy was Vanguard Short-Term Inflation-Protected Securities Index Fund: 78,539 shares worth $4.01M.
  • NWAM LLC added most to Shopify in Q3 2020, an estimated $3.62M increase.
  • NWAM LLC's biggest Q3 2020 reduction was Apple, cutting an estimated $25.5M.
  • NWAM LLC fully exited iShares US Treasury Bond ETF in Q3 2020, selling an estimated $5.5M.
  • NWAM LLC's ten largest holdings make up 33% of its $606M portfolio in Q3 2020.
  • NWAM LLC opened 26 new positions and closed 198 in Q3 2020.
  • NWAM LLC's portfolio value fell 15% quarter-over-quarter to $606M.

Based on NWAM LLC's 13F filing for Q3 2020, filed 16 Oct 2020.