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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
+3.76%
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
MNKD icon
326
MannKind Corp
MNKD
$1.25B
$25K 0.01%
11,728
+1,678
+17% +$2.63K
NVAX icon
327
Novavax
NVAX
$1.35B
$14K ﹤0.01%
600
– –
DD icon
328
CALL
DuPont de Nemours
DD
$18.3B
– –
-1,303
Closed -$215M
DIA icon
329
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$45B
– –
-1,008
Closed -$215K
DOC icon
330
Healthpeak Properties
DOC
$15.5B
– –
-6,804
Closed -$217K
ET icon
331
Energy Transfer Partners
ET
$69.9B
– –
-12,527
Closed -$255K
FNDC icon
332
Schwab Fundamental International Small Company Index ETF
FNDC
$3B
– –
-6,446
Closed -$211K
GAU
333
Galiano Gold
GAU
$449M
– –
-10,000
Closed -$15K
KMB icon
334
Kimberly-Clark
KMB
$36B
– –
-1,649
Closed -$213K
LQD icon
335
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$35.2B
– –
-1,676
Closed -$202K
MDLZ icon
336
Mondelez International
MDLZ
$78.3B
– –
-4,635
Closed -$200K
NMFC icon
337
New Mountain Finance
NMFC
$672M
– –
-13,000
Closed -$189K
PAA icon
338
Plains All American Pipeline
PAA
$16.8B
– –
-8,734
Closed -$229K
SPYD icon
339
State Street SPDR Portfolio S&P 500 High Dividend ETF
SPYD
$7.62B
– –
-7,699
Closed -$272K
XLK icon
340
State Street Technology Select Sector SPDR ETF
XLK
$114B
– –
-11,286
Closed -$309K
FPL
341
DELISTED
FIRST TRUST NEW OPPORTUNITIES MLP & ENERGY FUND
FPL
– –
-24,504
Closed -$322K
NATI
342
DELISTED
National Instruments Corp
NATI
– –
-5,348
Closed -$215K
MICR
343
DELISTED
Micron Solutions, Inc.
MICR
– –
-10,370
Closed -$310K
AGN.PRA
344
DELISTED
Allergan plc
AGN.PRA
– –
-255
Closed -$221K
DRA
345
DELISTED
Diversified Real Asset Income Fd
DRA
– –
-107,041
Closed -$1.87M
DD
346
DELISTED
Du Pont De Nemours E I
DD
– –
-7,159
Closed -$578K
RAI
347
DELISTED
Reynolds American Inc
RAI
– –
-3,475
Closed -$226K
VEDL
348
DELISTED
Vedanta Limited American Depostary Shares (Each representing four equity shares)
VEDL
– –
-11,555
Closed -$96K
FTR
349
DELISTED
Frontier Communications Corp.
FTR
– –
-1,611
Closed -$28K
10 11 12 13
14

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MCWS
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VCM
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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
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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.