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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
+6.05%
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
$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
EMLP icon
351
First Trust North American Energy Infrastructure Fund
EMLP
$4.12B
– –
-34,785
Closed -$808K
FDN icon
352
First Trust Dow Jones Internet Index Fund ETF
FDN
$5.06B
– –
-12,072
Closed -$1.66M
FXN icon
353
First Trust Energy AlphaDEX Fund
FXN
$393M
– –
-134,598
Closed -$2.28M
GOF icon
354
Guggenheim Strategic Opportunities Fund
GOF
$2.27B
– –
-38,857
Closed -$853K
IAI icon
355
iShares US Broker-Dealers & Securities Exchanges ETF
IAI
$1.42B
– –
-30,955
Closed -$1.99M
JPC icon
356
Nuveen Preferred & Income Opportunities Fund
JPC
$2.92B
– –
-11,950
Closed -$111K
KHC icon
357
Kraft Heinz
KHC
$30.7B
– –
-3,234
Closed -$203K
KRE icon
358
State Street SPDR S&P Regional Banking ETF
KRE
$4.97B
– –
-32,745
Closed -$2M
MEOH icon
359
Methanex
MEOH
$4.24B
– –
-5,480
Closed -$387K
TSLA icon
360
Tesla
TSLA
$1.43T
– –
-21,390
Closed -$489K
TWI icon
361
Titan International
TWI
$493M
– –
-10,515
Closed -$113K
USB.PRH icon
362
CALL
US Bancorp Series B Preferred Stock
USB.PRH
$751M
– –
-127,229
Closed -$6.36M
XLE icon
363
State Street Energy Select Sector SPDR ETF
XLE
$38.2B
– –
-5,570
Closed -$212K
XOP icon
364
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.48B
– –
-11,822
Closed -$2.04M
RAD
365
DELISTED
Rite Aid Corporation
RAD
– –
-950
Closed -$33K
MB
366
DELISTED
MINDBODY, Inc. Class A Common Stock
MB
– –
-5,300
Closed -$205K
BWP
367
DELISTED
Boardwalk Pipeline Partners
BWP
– –
-29,890
Closed -$347K
UFS
368
DELISTED
DOMTAR CORPORATION (New)
UFS
– –
-5,465
Closed -$261K
ARLZ
369
DELISTED
Aralez Pharmaceuticals Inc.
ARLZ
– –
-18,800
Closed -$7K
IMH
370
DELISTED
Impac Mortgage Holdings Inc.
IMH
– –
-10,000
Closed -$47K
GPM
371
DELISTED
Guggenheim Enhanced Equity Income Fund
GPM
– –
-13,704
Closed -$116K
11 12 13 14
15

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VCM
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PAIM
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RIA
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SFI
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MAM
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GAM
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DF
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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.