We are live on ! Find out more
NL

NWAM LLC Portfolio holdings

AUM $1.74B
1-Year Est. Return 32.48%
This Fund
S&P 500
This Quarter Est. Return
+3.76%
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
$385M
AUM Growth
-$190M
Cap. Flow
-$201M
Cap. Flow %
-52.36%
Top 10 Hldgs %
24.13%
Holding
349
New
27
Increased
171
Reduced
79
Closed
22

Top Buys

Rank Stock Value
1
USB icon
US Bancorp
USB
+$2.98M
2
JRI icon
Nuveen Real Asset Income & Growth Fund
JRI
+$2.18M
3
PG icon
Procter & Gamble
PG
+$1.3M
4
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$876K
5
IVW icon
iShares S&P 500 Growth ETF
IVW
+$601K

Top Sells

Rank Stock Value
1
DRA
Diversified Real Asset Income Fd
DRA
+$1.87M
2
MSFT icon
Microsoft
MSFT
+$692K
3
BND icon
Vanguard Total Bond Market
BND
+$637K
4
DD
Du Pont De Nemours E I
DD
+$578K
5
VYM icon
Vanguard High Dividend Yield ETF
VYM
+$464K

Sector Composition

Rank Sector Weight
1 Technology 8.81%
2 Financials 7.29%
3 Industrials 5.21%
4 Healthcare 4.28%
5 Consumer Discretionary 4.01%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JMM icon
301
Nuveen Multi-Market Income Fund
JMM
$54.9M
$179K 0.05%
23,614
+50
+0.2% +$376
RBBN icon
302
Ribbon Communications
RBBN
$373M
$178K 0.05%
23,290
+225
+1% +$1.61K
PMO
303
Franklin Municipal Opportunities Trust
PMO
$293M
$166K 0.04%
13,172
– –
JPC icon
304
Nuveen Preferred & Income Opportunities Fund
JPC
$2.92B
$154K 0.04%
14,611
– –
PFX icon
305
PhenixFIN
PFX
$83.1M
$150K 0.04%
1,255
– –
PHYS icon
306
Sprott Physical Gold
PHYS
$14.4B
$148K 0.04%
14,150
– –
TWI icon
307
Titan International
TWI
$486M
$146K 0.04%
14,355
– –
TEI
308
Templeton Emerging Markets Income Fund
TEI
$320M
$140K 0.04%
12,136
– –
CSQ icon
309
Calamos Strategic Total Return Fund
CSQ
$3.25B
$130K 0.03%
10,700
– –
PSEC icon
310
Prospect Capital
PSEC
$1.12B
$122K 0.03%
18,125
+1,300
+8% +$9.75K
HRZN icon
311
Horizon Technology Finance
HRZN
$312M
$118K 0.03%
10,650
– –
IMH
312
DELISTED
Impac Mortgage Holdings Inc.
IMH
$115K 0.03%
+15,500
New +$216K
LEO
313
BNY Mellon Strategic Municipals
LEO
$397M
$114K 0.03%
13,000
– –
WFT
314
DELISTED
Weatherford International plc
WFT
$111K 0.03%
24,184
-1,400
-5% -$5.79K
SCU
315
DELISTED
Sculptor Capital Management, Inc. Class A Common Stock
SCU
$110K 0.03%
3,423
+113
+3% +$3.34K
EAD
316
Allspring Income Opportunities Fund
EAD
$378M
$88K 0.02%
+10,005
New +$86K
BKT icon
317
BlackRock Income Trust
BKT
$337M
$82K 0.02%
+4,333
New +$82.1K
PIM
318
Franklin Master Intermediate Income Trust
PIM
$152M
$76K 0.02%
16,000
-598
-4% -$2.83K
WPRT
319
Westport Fuel Systems
WPRT
$35.1M
$74K 0.02%
2,270
+250
+12% +$5.62K
ARLZ
320
DELISTED
Aralez Pharmaceuticals Inc.
ARLZ
$62K 0.02%
27,000
– –
ERIC icon
321
Ericsson
ERIC
$31.8B
$60K 0.02%
10,490
– –
UQM
322
DELISTED
UQM Technologies, Inc.
UQM
$56K 0.01%
48,278
+5,500
+13% +$5.08K
GNW icon
323
Genworth Financial
GNW
$3.88B
$51K 0.01%
13,250
-600
-4% -$2.14K
AMTX icon
324
Aemetis
AMTX
$103M
$46K 0.01%
53,077
+25
+0% +$27
RAD
325
DELISTED
Rite Aid Corporation
RAD
$26K 0.01%
661
-165
-20% -$7.82K
10 11 12
13
14

Similar funds

MCWS
McKinley Carter Wealth Services Wheeling, West Virginia $1.73B AUM 17.28% 1-Year Est. Return
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 2017 Portfolio in Review

As of Q3 2017, NWAM LLC held 349 positions worth $385M, down 33% from $575M the previous quarter. Its ten largest holdings account for 24% of the portfolio.

NWAM LLC withdrew a net $201M in Q3 2017, closing 22 positions and reducing 79 holdings. Its most notable exit was Diversified Real Asset Income Fd, an estimated $1.87M position sold in full.

By sector, the portfolio is most concentrated in Technology at 8.8% of assets, up from 5.4% a quarter earlier, followed by Financials and Industrials.

Against the trend, NWAM LLC opened a new position in Nuveen Real Asset Income & Growth Fund worth $2.18M.

  • NWAM LLC's largest Q3 2017 buy was Nuveen Real Asset Income & Growth Fund: 120,909 shares worth $2.18M.
  • NWAM LLC added most to US Bancorp in Q3 2017, an estimated $2.98M increase.
  • NWAM LLC's biggest Q3 2017 reduction was Microsoft, cutting an estimated $692K.
  • NWAM LLC fully exited Diversified Real Asset Income Fd in Q3 2017, selling an estimated $1.87M.
  • NWAM LLC's ten largest holdings make up 24% of its $385M portfolio in Q3 2017.
  • NWAM LLC opened 27 new positions and closed 22 in Q3 2017.
  • NWAM LLC's portfolio value fell 33% quarter-over-quarter to $385M.

Based on NWAM LLC's 13F filing for Q3 2017, filed 1 Nov 2017.