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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
+8.21%
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
$986M
AUM Growth
-$143M
Cap. Flow
-$209M
Cap. Flow %
-21.19%
Top 10 Hldgs %
31.33%
Holding
563
New
50
Increased
141
Reduced
263
Closed
84

Top Buys

Rank Stock Value
1
AVXL icon
Anavex Life Sciences
AVXL
+$5.47M
2
QUAL icon
iShares MSCI USA Quality Factor ETF
QUAL
+$4.03M
3
VTNR
Vertex Energy, Inc
VTNR
+$4.02M
4
EWJ icon
iShares MSCI Japan ETF
EWJ
+$3.89M
5
UNG icon
United States Natural Gas Fund
UNG
+$3.48M

Top Sells

Rank Stock Value
1
VTV icon
Vanguard Value ETF
VTV
+$13.1M
2
VYM icon
Vanguard High Dividend Yield ETF
VYM
+$12M
3
BSV icon
Vanguard Short-Term Bond ETF
BSV
+$10.2M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$6.24M
5
AAPL icon
Apple
AAPL
+$6.17M

Sector Composition

Rank Sector Weight
1 Technology 16.89%
2 Healthcare 5.83%
3 Industrials 5.31%
4 Energy 4.39%
5 Financials 3.82%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DFIV icon
501
Dimensional International Value ETF
DFIV
$20.9B
– –
-31,742
Closed -$965K
DFSI
502
Dimensional International Sustainability Core 1 ETF
DFSI
$1.13B
– –
-8,272
Closed -$230K
DFSU
503
Dimensional US Sustainability Core 1 ETF
DFSU
$2.28B
– –
-27,115
Closed -$676K
DIHP icon
504
Dimensional International High Profitability ETF
DIHP
$6.25B
– –
-35,244
Closed -$777K
DISV icon
505
Dimensional International Small Cap Value ETF
DISV
$4.88B
– –
-106,208
Closed -$2.36M
EELV icon
506
Invesco S&P Emerging Markets Low Volatility ETF
EELV
$431M
– –
-8,847
Closed -$204K
EEMV icon
507
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
$3.41B
– –
-45,114
Closed -$2.39M
EXC icon
508
Exelon
EXC
$48.4B
– –
-4,705
Closed -$203K
FAX
509
abrdn Asia-Pacific Income Fund
FAX
$595M
– –
-39,291
Closed -$620K
FNCL icon
510
Fidelity MSCI Financials Index ETF
FNCL
$2.4B
– –
-8,277
Closed -$397K
TDAY
511
USA Today Co
TDAY
$1.27B
– –
-13,942
Closed -$28.3K
GME icon
512
GameStop
GME
$9.94B
– –
-40,424
Closed -$746K
HASI icon
513
Hannon Armstrong Sustainable Infrastructure Capital
HASI
$4.95B
– –
-21,436
Closed -$621K
HIG icon
514
Hartford Financial Services
HIG
$39.3B
– –
-3,952
Closed -$300K
HSY icon
515
Hershey
HSY
$37.2B
– –
-1,712
Closed -$396K
HYMB icon
516
State Street SPDR Nuveen ICE High Yield Municipal Bond ETF
HYMB
$3.1B
– –
-8,494
Closed -$208K
IFF icon
517
International Flavors & Fragrances
IFF
$20.2B
– –
-2,048
Closed -$215K
INFY icon
518
Infosys
INFY
$50B
– –
-10,484
Closed -$189K
LEO
519
BNY Mellon Strategic Municipals
LEO
$386M
– –
-15,500
Closed -$94.7K
LIT icon
520
Global X Lithium & Battery Tech ETF
LIT
$1.46B
– –
-3,487
Closed -$204K
LUMN icon
521
Lumen
LUMN
$6.38B
– –
-10,615
Closed -$55.4K
MINT icon
522
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$16.9B
– –
-17,845
Closed -$1.76M
MNA icon
523
IQ ARB Merger Arbitrage ETF
MNA
$252M
– –
-8,593
Closed -$273K
NTR icon
524
Nutrien
NTR
$33.3B
– –
-6,797
Closed -$496K
NUE icon
525
Nucor
NUE
$60.5B
– –
-2,008
Closed -$265K
19 20
21
22 23

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NWAM LLC's Q1 2023 Portfolio in Review

As of Q1 2023, NWAM LLC held 563 positions worth $986M, down 13% from $1.13B the previous quarter. Its ten largest holdings account for 31% of the portfolio.

NWAM LLC withdrew a net $209M in Q1 2023, closing 84 positions and reducing 263 holdings. Its most notable exit was Vanguard International High Dividend Yield ETF, an estimated $4.32M position sold in full.

By sector, the portfolio is most concentrated in Technology at 17% of assets, up from 14% a quarter earlier, followed by Healthcare and Industrials.

Against the trend, NWAM LLC opened a new position in Anavex Life Sciences worth $4.7M.

  • NWAM LLC's largest Q1 2023 buy was Anavex Life Sciences: 548,237 shares worth $4.7M.
  • NWAM LLC added most to iShares MSCI USA Quality Factor ETF in Q1 2023, an estimated $4.03M increase.
  • NWAM LLC's biggest Q1 2023 reduction was Vanguard Value ETF, cutting an estimated $13.1M.
  • NWAM LLC fully exited Vanguard International High Dividend Yield ETF in Q1 2023, selling an estimated $4.32M.
  • NWAM LLC's ten largest holdings make up 31% of its $986M portfolio in Q1 2023.
  • NWAM LLC opened 50 new positions and closed 84 in Q1 2023.
  • NWAM LLC's portfolio value fell 13% quarter-over-quarter to $986M.

Based on NWAM LLC's 13F filing for Q1 2023, filed 12 May 2023.