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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
-1.19%
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
$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
KYN icon
301
Kayne Anderson Energy Infrastructure Fund
KYN
$2.47B
– –
-6,797
Closed -$268K
MAS icon
302
Masco
MAS
$15.9B
– –
-11,893
Closed -$232K
MDY icon
303
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$27.3B
– –
-1,099
Closed -$286K
MLCO icon
304
Melco Resorts & Entertainment
MLCO
$2.12B
– –
-10,433
Closed -$315K
PARA
305
DELISTED
Paramount Global Class B
PARA
– –
-4,538
Closed -$282K
PMM
306
Franklin Managed Municipal Income Trust
PMM
$283M
– –
-28,172
Closed -$202K
RCS
307
PIMCO Strategic Income Fund
RCS
$250M
– –
-14,004
Closed -$150K
SBI
308
Western Asset Intermediate Muni Fund
SBI
$110M
– –
-27,769
Closed -$271K
SDY icon
309
State Street SPDR S&P Dividend ETF
SDY
$21.8B
– –
-3,463
Closed -$265K
SLF icon
310
Sun Life Financial
SLF
$45.3B
– –
-27,282
Closed -$1M
SNOA icon
311
Sonoma Pharmaceuticals
SNOA
$5.79M
– –
-42
Closed -$117K
SNY icon
312
Sanofi
SNY
$107B
– –
-5,167
Closed -$275K
WELL icon
313
Welltower
WELL
$172B
– –
-16,923
Closed -$1.06M
WY icon
314
Weyerhaeuser
WY
$17.7B
– –
-12,343
Closed -$408K
RDS.A
315
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
– –
-14,183
Closed -$1.17M
FGP
316
DELISTED
Ferrellgas Partners, L.P.
FGP
– –
-26,535
Closed -$726K
APC
317
DELISTED
Anadarko Petroleum
APC
– –
-116,577
Closed -$100K
FPP.WS
318
DELISTED
FieldPoint Petroleum Corporation Common Stock Purchase Warrants
FPP.WS
– –
-16,800
Closed -$27K
NQM
319
DELISTED
NUVEEN INVESTMENT QLTY MUNI FD
NQM
– –
-10,631
Closed -$156K
NPI
320
DELISTED
NUVEEN PREMIUN INC MUN FUND
NPI
– –
-13,253
Closed -$177K
XLS
321
DELISTED
EXELIS INC COM STK
XLS
– –
-68,248
Closed -$216K
ASP
322
DELISTED
AMERN STRATEGIC INCOME PORTFOL
ASP
– –
-28,533
Closed -$293K
BSP
323
DELISTED
AMERN STRATEGIC INCM PORTF II
BSP
– –
-139,323
Closed -$1.22M
BKK
324
DELISTED
Blackrock Municipal 2020 Term Trust
BKK
– –
-69,376
Closed -$1.13M
9 10 11 12
13

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MCWS
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VCM
Valiant Capital Management San Francisco, California $1.74B AUM 64.05% 1-Year Est. Return
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 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.