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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
VOE icon
426
Vanguard Mid-Cap Value ETF
VOE
$24.1B
– –
-4,678
Closed -$448K
VRTX icon
427
Vertex Pharmaceuticals
VRTX
$124B
– –
-1,169
Closed -$339K
WDFC icon
428
WD-40
WDFC
$3.08B
– –
-1,400
Closed -$278K
WELL icon
429
Welltower
WELL
$172B
– –
-3,875
Closed -$201K
XLK icon
430
State Street Technology Select Sector SPDR ETF
XLK
$112B
– –
-4,900
Closed -$256K
XLP icon
431
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.6B
– –
-3,709
Closed -$218K
XMLV icon
432
Invesco S&P MidCap Low Volatility ETF
XMLV
$766M
– –
-6,914
Closed -$286K
XSLV icon
433
Invesco S&P SmallCap Low Volatility ETF
XSLV
$250M
– –
-5,921
Closed -$200K
YPF icon
434
YPF
YPF
$19.5B
– –
-10,630
Closed -$61K
ZS icon
435
Zscaler
ZS
$24.5B
– –
-3,427
Closed -$375K
NARI
436
DELISTED
Inari Medical, Inc. Common Stock
NARI
– –
-8,000
Closed -$388K
SPLK
437
DELISTED
Splunk Inc
SPLK
– –
-1,390
Closed -$276K
SGEN
438
DELISTED
Seagen Inc. Common Stock
SGEN
– –
-1,604
Closed -$273K
NEX
439
DELISTED
NexTier Oilfield Solutions Inc.
NEX
– –
-11,415
Closed -$28K
TWTR
440
DELISTED
Twitter, Inc.
TWTR
– –
-8,383
Closed -$250K
OCSI
441
DELISTED
Oaktree Strategic Income Corporation
OCSI
– –
-51,835
Closed -$329K
CNXM
442
DELISTED
CNX Midstream Partners LP
CNXM
– –
-110,008
Closed -$732K
ZN
443
DELISTED
Zion Oil & Gas, Inc.
ZN
– –
-17,550
Closed -$5K
HCR
444
DELISTED
Hi-Crush Inc. Common Stock
HCR
– –
-75,518
Closed -$11K
ATVI
445
DELISTED
Activision Blizzard
ATVI
– –
-4,310
Closed -$327K
MBT
446
DELISTED
Mobile TeleSystems Public Joint Stock Company American Depositary Shares (Each representing 2 Shares
MBT
– –
-72,814
Closed -$669K
14 15 16 17
18

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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.