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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
+3.04%
1 Year Est. Return
+34.81%
3 Year Est. Return
+112.13%
5 Year Est. Return
+133.17%
10 Year Est. Return
–
AUM
$301M
AUM Growth
-$1.02B
Cap. Flow
+$9.5M
Cap. Flow %
3.15%
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 Miscellaneous 56.37%
2 Financials 7.5%
3 Technology 6.3%
4 Industrials 4.75%
5 Communication Services 4.63%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
OVV icon
301
PUT
Ovintiv
OVV
$17.9B
– –
-4,000
Closed -$100M
PAYX icon
302
Paychex
PAYX
$43.3B
– –
-3,532
Closed -$204K
PGX icon
303
Invesco Preferred ETF
PGX
$3.71B
– –
-78,932
Closed -$1.19M
REM icon
304
iShares Mortgage Real Estate ETF
REM
$540M
– –
-4,273
Closed -$180K
RIO icon
305
Rio Tinto
RIO
$168B
– –
-7,600
Closed -$254K
RXD icon
306
CALL
ProShares UltraShort Health Care
RXD
$2.92M
– –
-1,250
Closed -$80M
RY icon
307
Royal Bank of Canada
RY
$292B
– –
-6,128
Closed -$380K
SFL icon
308
SFL Corp
SFL
$1.78B
– –
-20,222
Closed -$298K
SYK icon
309
Stryker
SYK
$116B
– –
-1,919
Closed -$223K
TWLO icon
310
Twilio
TWLO
$35.8B
– –
-3,150
Closed -$203K
NSL
311
DELISTED
NUVEEN SENIOR INCM FD
NSL
– –
-13,340
Closed -$87K
ENBL
312
DELISTED
ENABLE MIDSTREAM PARTNERS, LP
ENBL
– –
-66,782
Closed -$1.02M
HTM
313
DELISTED
U.S. Geothermal Inc.
HTM
– –
-1,667
Closed -$7K
ABCO
314
DELISTED
Advisory Board Co
ABCO
– –
-4,676
Closed -$209K
LLTC
315
DELISTED
Linear Technology Corp
LLTC
– –
-4,085
Closed -$242K
9 10 11 12
13

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CC
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CC
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KOCAA
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JWA
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CAM
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FOF
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EFS
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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 deployed $9.5M of net new capital in Q4 2016, opening 36 new positions and adding to 102 existing holdings. Its largest new stake was Flaherty & Crumrine Total Return Fund: 299,205 shares worth $5.95M.

By sector, the portfolio is most concentrated in Miscellaneous at 56% of assets, down from 90% a quarter earlier, followed by Financials and Technology.

On the sell side, the largest reduction was Invesco S&P 500 Equal Weight ETF, an estimated $1.37M trimmed.

  • 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.