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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
+6.05%
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
$445M
AUM Growth
+$22.7M
Cap. Flow
+$1.33M
Cap. Flow %
0.3%
Top 10 Hldgs %
27.73%
Holding
371
New
30
Increased
130
Reduced
136
Closed
26

Top Buys

Rank Stock Value
1
USB icon
US Bancorp
USB
+$6.74M
2
IJT icon
iShares S&P Small-Cap 600 Growth ETF
IJT
+$1.65M
3
HYLD
High Yield ETF
HYLD
+$1.49M
4
IVV icon
iShares Core S&P 500 ETF
IVV
+$879K
5
DMO
Western Asset Mortgage Opportunity Fund
DMO
+$858K

Top Sells

Rank Stock Value
1
FXN icon
First Trust Energy AlphaDEX Fund
FXN
+$2.28M
2
XOP icon
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
+$2.04M
3
KRE icon
State Street SPDR S&P Regional Banking ETF
KRE
+$2M
4
IAI icon
iShares US Broker-Dealers & Securities Exchanges ETF
IAI
+$1.99M
5
FDN icon
First Trust Dow Jones Internet Index Fund ETF
FDN
+$1.66M

Sector Composition

Rank Sector Weight
1 Technology 12.9%
2 Financials 6.65%
3 Industrials 5.22%
4 Consumer Discretionary 5.15%
5 Healthcare 3.66%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TRQ
326
DELISTED
Turquoise Hill Resources Ltd
TRQ
$167K 0.04%
7,876
+60
+0.8% +$1.5K
FAM
327
DELISTED
First Trust/abrdn Global Opportunity Income Fund
FAM
$157K 0.04%
16,388
-1,021
-6% -$10K
NAC icon
328
Nuveen California Quality Municipal Income Fund
NAC
$1.83B
$154K 0.03%
+11,901
New +$159K
GASS icon
329
StealthGas
GASS
$328M
$151K 0.03%
42,400
-2,000
-5% -$7.33K
TAHO
330
DELISTED
Tahoe Resources Inc
TAHO
$148K 0.03%
52,901
-3,517
-6% -$13.6K
HRZN icon
331
Horizon Technology Finance
HRZN
$294M
$126K 0.03%
11,069
– –
RBBN icon
332
Ribbon Communications
RBBN
$354M
$106K 0.02%
15,490
-4,200
-21% -$29.9K
TEI
333
Templeton Emerging Markets Income Fund
TEI
$310M
$101K 0.02%
10,136
-2,000
-16% -$20.5K
LEO
334
BNY Mellon Strategic Municipals
LEO
$387M
$98K 0.02%
13,000
– –
PIM
335
Franklin Master Intermediate Income Trust
PIM
$149M
$95K 0.02%
21,000
+5,000
+31% +$23K
TTSH
336
DELISTED
Tile Shop Holdings
TTSH
$84K 0.02%
11,800
– –
PFX icon
337
PhenixFIN
PFX
$75K 0.02%
978
– –
WPRT
338
Westport Fuel Systems
WPRT
$36.5M
$75K 0.02%
2,500
-170
-6% -$4.82K
BKT icon
339
BlackRock Income Trust
BKT
$330M
$74K 0.02%
4,333
– –
JMM icon
340
Nuveen Multi-Market Income Fund
JMM
$54.1M
$74K 0.02%
10,504
-13,253
-56% -$93K
ANFI
341
DELISTED
AMIRA NATURE FOODS LTD
ANFI
$71K 0.02%
42,050
-3,600
-8% -$6.67K
UQM
342
DELISTED
UQM Technologies, Inc.
UQM
$54K 0.01%
41,288
– –
SCU
343
DELISTED
Sculptor Capital Management, Inc. Class A Common Stock
SCU
$53K 0.01%
3,605
+170
+5% +$3.22K
WFT
344
DELISTED
Weatherford International plc
WFT
$41K 0.01%
15,080
-650
-4% -$1.91K
AMTX icon
345
Aemetis
AMTX
$119M
$34K 0.01%
33,352
– –
AIG icon
346
American International
AIG
$41.9B
– –
-3,814
Closed -$202K
BA icon
347
CALL
Boeing
BA
$165B
– –
-10
Closed -$343K
BA icon
348
PUT
Boeing
BA
$165B
– –
-15
Closed -$458K
CSQ icon
349
Calamos Strategic Total Return Fund
CSQ
$3.21B
– –
-10,700
Closed -$136K
DIA icon
350
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$45.8B
– –
-1,417
Closed -$344K
11 12 13
14
15

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NWAM LLC's Q3 2018 Portfolio in Review

As of Q3 2018, NWAM LLC held 371 positions worth $445M, up 5.4% from $422M the previous quarter. Its ten largest holdings account for 28% of the portfolio.

NWAM LLC's Q3 2018 filing shows 30 new, 130 increased, 136 reduced and 26 closed positions. Its largest new stake was US Bancorp: 127,273 shares worth $6.72M. The largest sale was First Trust Energy AlphaDEX Fund, an estimated $2.28M.

By sector, the portfolio is most concentrated in Technology at 13% of assets, up from 12% a quarter earlier, followed by Financials and Industrials.

  • NWAM LLC's largest Q3 2018 buy was US Bancorp: 127,273 shares worth $6.72M.
  • NWAM LLC added most to iShares S&P Small-Cap 600 Growth ETF in Q3 2018, an estimated $1.65M increase.
  • NWAM LLC's biggest Q3 2018 reduction was iShares Core MSCI Emerging Markets ETF, cutting an estimated $917K.
  • NWAM LLC fully exited First Trust Energy AlphaDEX Fund in Q3 2018, selling an estimated $2.28M.
  • NWAM LLC's ten largest holdings make up 28% of its $445M portfolio in Q3 2018.
  • NWAM LLC opened 30 new positions and closed 26 in Q3 2018.
  • NWAM LLC's portfolio value rose 5.4% quarter-over-quarter to $445M.

Based on NWAM LLC's 13F filing for Q3 2018, filed 9 Oct 2018.