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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
+10.07%
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
$606M
AUM Growth
-$108M
Cap. Flow
-$158M
Cap. Flow %
-26.11%
Top 10 Hldgs %
33.46%
Holding
446
New
26
Increased
70
Reduced
122
Closed
198

Top Buys

Rank Stock Value
1
VTIP icon
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
+$3.98M
2
SHOP icon
Shopify
SHOP
+$3.62M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.37M
4
ISTB icon
iShares Core 1-5 Year USD Bond ETF
ISTB
+$2.78M
5
MOS icon
The Mosaic Company
MOS
+$2.77M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$25.5M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.55M
3
GOVT icon
iShares US Treasury Bond ETF
GOVT
+$5.5M
4
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$4.62M
5
ESGU icon
iShares ESG Aware MSCI USA ETF
ESGU
+$3.63M

Sector Composition

Rank Sector Weight
1 Technology 18.93%
2 Consumer Discretionary 6.02%
3 Industrials 4.84%
4 Financials 4.11%
5 Healthcare 3.76%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PDP icon
376
Invesco Dorsey Wright Momentum ETF
PDP
$1.42B
– –
-7,171
Closed -$483K
PEP icon
377
PepsiCo
PEP
$195B
– –
-9,175
Closed -$1.21M
PFX icon
378
PhenixFIN
PFX
$83M
– –
-758
Closed -$12K
PGR icon
379
Progressive
PGR
$128B
– –
-2,575
Closed -$206K
PH icon
380
Parker-Hannifin
PH
$125B
– –
-2,806
Closed -$514K
PM icon
381
Philip Morris
PM
$312B
– –
-3,545
Closed -$248K
PPL
382
PPL Corp
PPL
$27.3B
– –
-25,268
Closed -$653K
PTF icon
383
Invesco Dorsey Wright Technology Momentum ETF
PTF
$551M
– –
-74,637
Closed -$2.42M
QLD icon
384
ProShares Ultra QQQ
QLD
$12.2B
– –
-17,472
Closed -$323K
RCL icon
385
Royal Caribbean
RCL
$86.5B
– –
-7,667
Closed -$386K
RIO icon
386
Rio Tinto
RIO
$149B
– –
-6,923
Closed -$389K
RMM
387
RiverNorth Managed Duration Municipal Income Fund
RMM
$284M
– –
-31,811
Closed -$545K
RSPG icon
388
Invesco S&P 500 Equal Weight Energy ETF
RSPG
$543M
– –
-47,079
Closed -$1.32M
RY icon
389
Royal Bank of Canada
RY
$295B
– –
-3,571
Closed -$242K
SBRA icon
390
Sabra Healthcare REIT
SBRA
$5.61B
– –
-24,342
Closed -$351K
SCHA icon
391
Schwab U.S Small- Cap ETF
SCHA
$22.2B
– –
-18,528
Closed -$303K
SCHC icon
392
Schwab International Small-Cap Equity ETF
SCHC
$5.35B
– –
-6,903
Closed -$204K
SCHD icon
393
Schwab US Dividend Equity ETF
SCHD
$104B
– –
-15,798
Closed -$272K
SCHG icon
394
Schwab US Large-Cap Growth ETF
SCHG
$59.1B
– –
-76,080
Closed -$966K
SCHH icon
395
Schwab US REIT ETF
SCHH
$11.7B
– –
-13,924
Closed -$245K
SCHM icon
396
Schwab US Mid-Cap ETF
SCHM
$14.5B
– –
-13,428
Closed -$236K
SCHP icon
397
Schwab US TIPS ETF
SCHP
$16.4B
– –
-11,016
Closed -$331K
SCHX icon
398
Schwab US Large- Cap ETF
SCHX
$71.3B
– –
-27,432
Closed -$339K
SCZ icon
399
iShares MSCI EAFE Small-Cap ETF
SCZ
$13.2B
– –
-5,121
Closed -$275K
SHYG icon
400
iShares 0-5 Year High Yield Corporate Bond ETF
SHYG
$7.61B
– –
-46,375
Closed -$1.99M
14 15
16
17 18

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LBC
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CAM
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BGM
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NWAM LLC's Q3 2020 Portfolio in Review

As of Q3 2020, NWAM LLC held 446 positions worth $606M, down 15% from $714M the previous quarter. Its ten largest holdings account for 33% of the portfolio.

NWAM LLC withdrew a net $158M in Q3 2020, closing 198 positions and reducing 122 holdings. Its most notable exit was iShares US Treasury Bond ETF, an estimated $5.5M position sold in full.

By sector, the portfolio is most concentrated in Technology at 19% of assets, up from 19% a quarter earlier, followed by Consumer Discretionary and Industrials.

Against the trend, NWAM LLC opened a new position in Vanguard Short-Term Inflation-Protected Securities Index Fund worth $4.01M.

  • NWAM LLC's largest Q3 2020 buy was Vanguard Short-Term Inflation-Protected Securities Index Fund: 78,539 shares worth $4.01M.
  • NWAM LLC added most to Shopify in Q3 2020, an estimated $3.62M increase.
  • NWAM LLC's biggest Q3 2020 reduction was Apple, cutting an estimated $25.5M.
  • NWAM LLC fully exited iShares US Treasury Bond ETF in Q3 2020, selling an estimated $5.5M.
  • NWAM LLC's ten largest holdings make up 33% of its $606M portfolio in Q3 2020.
  • NWAM LLC opened 26 new positions and closed 198 in Q3 2020.
  • NWAM LLC's portfolio value fell 15% quarter-over-quarter to $606M.

Based on NWAM LLC's 13F filing for Q3 2020, filed 16 Oct 2020.