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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
+7.47%
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
$188M
AUM Growth
-$17.5M
Cap. Flow
-$68.5M
Cap. Flow %
-36.35%
Top 10 Hldgs %
24.79%
Holding
225
New
18
Increased
30
Reduced
129
Closed
47

Top Buys

Rank Stock Value
1
RITM icon
Rithm Capital
RITM
+$1.51M
2
AFB
AllianceBernstein National Municipal Income Fund
AFB
+$1.36M
3
VB icon
Vanguard Small-Cap ETF
VB
+$675K
4
DS
Drive Shack Inc.
DS
+$634K
5
PFX icon
PhenixFIN
PFX
+$504K

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$23.5M
2
EPC icon
Edgewell Personal Care
EPC
+$9.76M
3
SBUX icon
Starbucks
SBUX
+$4.27M
4
MSFT icon
Microsoft
MSFT
+$1.9M
5
AWF
AllianceBernstein Global High Income Fund
AWF
+$1.63M

Sector Composition

Rank Sector Weight
1 Technology 11.4%
2 Financials 10.83%
3 Industrials 6.62%
4 Consumer Discretionary 6.28%
5 Energy 4.86%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
O icon
51
Realty Income
O
$61.3B
$1.37M 0.73%
37,880
+1,914
+5% +$73.5K
BP icon
52
BP
BP
$108B
$1.31M 0.7%
33,045
-8,769
-21% -$327K
PFE icon
53
Pfizer
PFE
$143B
$1.31M 0.7%
45,151
-26,376
-37% -$768K
XLK icon
54
State Street Technology Select Sector SPDR ETF
XLK
$114B
$1.23M 0.65%
68,774
-11,846
-15% -$201K
DOC icon
55
Healthpeak Properties
DOC
$15.5B
$1.21M 0.64%
36,687
+5,181
+16% +$185K
HFWA icon
56
Heritage Financial
HFWA
$1.26B
$1.05M 0.56%
61,654
-7,434
-11% -$122K
COP icon
57
ConocoPhillips
COP
$140B
$1.02M 0.54%
14,406
-3,465
-19% -$249K
QCOM icon
58
Qualcomm
QCOM
$181B
$998K 0.53%
13,439
-6,428
-32% -$453K
SPY icon
59
State Street SPDR S&P 500 ETF Trust
SPY
$774B
$986K 0.52%
5,340
-3,088
-37% -$547K
MO icon
60
Altria Group
MO
$124B
$969K 0.51%
25,245
-13,698
-35% -$506K
S
61
DELISTED
Sprint Corporation
S
$964K 0.51%
89,698
-65,461
-42% -$493K
SLF icon
62
Sun Life Financial
SLF
$45.3B
$943K 0.5%
25,139
-5,079
-17% -$173K
CHK
63
DELISTED
Chesapeake Energy Corporation
CHK
$919K 0.49%
179
-15
-8% -$76.2K
LUMN icon
64
Lumen
LUMN
$6.47B
$917K 0.49%
28,805
-3,275
-10% -$105K
KEY icon
65
KeyCorp
KEY
$25.4B
$839K 0.45%
62,541
-17,756
-22% -$225K
BKK
66
DELISTED
Blackrock Municipal 2020 Term Trust
BKK
$822K 0.44%
52,170
-3,139
-6% -$50K
VEU icon
67
Vanguard FTSE All-World ex-US ETF
VEU
$65.6B
$815K 0.43%
16,073
+382
+2% +$19K
PCP
68
DELISTED
PRECISION CASTPARTS CORP
PCP
$791K 0.42%
2,938
-1,458
-33% -$367K
TIP icon
69
iShares TIPS Bond ETF
TIP
$14.5B
$724K 0.38%
6,592
-6,372
-49% -$711K
FTR
70
DELISTED
Frontier Communications Corp.
FTR
$722K 0.38%
10,352
-597
-5% -$40.8K
GSG icon
71
iShares S&P GSCI Commodity-Indexed Trust
GSG
$978M
$701K 0.37%
21,775
-3,927
-15% -$125K
VB icon
72
Vanguard Small-Cap ETF
VB
$79.7B
$697K 0.37%
+6,343
New +$675K
JNJ icon
73
Johnson & Johnson
JNJ
$609B
$690K 0.37%
7,531
-1,612
-18% -$149K
F icon
74
Ford
F
$56.7B
$689K 0.37%
44,654
-1,263
-3% -$21.2K
EEM icon
75
iShares MSCI Emerging Markets ETF
EEM
$28B
$681K 0.36%
16,299
-1,487
-8% -$62.3K
1 2
3
4 5

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NWAM LLC's Q4 2013 Portfolio in Review

As of Q4 2013, NWAM LLC held 225 positions worth $188M, down 8.5% from $206M the previous quarter. Its ten largest holdings account for 25% of the portfolio.

NWAM LLC withdrew a net $68.5M in Q4 2013, closing 47 positions and reducing 129 holdings. Its most notable exit was AllianceBernstein Global High Income Fund, an estimated $1.63M position sold in full.

By sector, the portfolio is most concentrated in Technology at 11% of assets, down from 12% a quarter earlier, followed by Financials and Industrials.

Against the trend, NWAM LLC opened a new position in Rithm Capital worth $1.56M.

  • NWAM LLC's largest Q4 2013 buy was Rithm Capital: 117,120 shares worth $1.56M.
  • NWAM LLC added most to MannKind Corp in Q4 2013, an estimated $200K increase.
  • NWAM LLC's biggest Q4 2013 reduction was Apple, cutting an estimated $23.5M.
  • NWAM LLC fully exited AllianceBernstein Global High Income Fund in Q4 2013, selling an estimated $1.63M.
  • NWAM LLC's ten largest holdings make up 25% of its $188M portfolio in Q4 2013.
  • NWAM LLC opened 18 new positions and closed 47 in Q4 2013.
  • NWAM LLC's portfolio value fell 8.5% quarter-over-quarter to $188M.

Based on NWAM LLC's 13F filing for Q4 2013, filed 9 Sep 2016.