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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
+2.22%
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
$291M
AUM Growth
+$102M
Cap. Flow
+$119M
Cap. Flow %
41.06%
Top 10 Hldgs %
23.13%
Holding
299
New
121
Increased
110
Reduced
35
Closed
30

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$21.9M
2
BTZ icon
BlackRock Credit Allocation Income Trust
BTZ
+$6M
3
ERC
Allspring Multi-Sector Income Fund
ERC
+$5.29M
4
FLC
Flaherty & Crumrine Total Return Fund
FLC
+$5.22M
5
RSP icon
Invesco S&P 500 Equal Weight ETF
RSP
+$3.36M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$2.45M
2
DLS icon
WisdomTree International SmallCap Dividend Fund
DLS
+$2.21M
3
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$2.16M
4
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$2.15M
5
IJT icon
iShares S&P Small-Cap 600 Growth ETF
IJT
+$2M

Sector Composition

Rank Sector Weight
1 Technology 10.58%
2 Financials 8.79%
3 Industrials 6.42%
4 Consumer Discretionary 5.25%
5 Healthcare 5.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BSV icon
51
Vanguard Short-Term Bond ETF
BSV
$44.7B
$1.48M 0.51%
18,488
+592
+3% +$47.5K
IWN icon
52
iShares Russell 2000 Value ETF
IWN
$14.4B
$1.48M 0.51%
14,664
+11,337
+341% +$1.12M
IWO icon
53
iShares Russell 2000 Growth ETF
IWO
$14.7B
$1.46M 0.5%
+10,738
New +$1.47M
DS
54
DELISTED
Drive Shack Inc.
DS
$1.44M 0.49%
284,152
+157,892
+125% +$808K
HYLD
55
DELISTED
High Yield ETF
HYLD
$1.44M 0.49%
27,283
-3,493
-11% -$183K
LUMN icon
56
Lumen
LUMN
$6.47B
$1.42M 0.49%
43,115
+14,310
+50% +$438K
IBB icon
57
iShares Biotechnology ETF
IBB
$9.23B
$1.39M 0.48%
+17,691
New +$1.47M
QCOM icon
58
Qualcomm
QCOM
$181B
$1.34M 0.46%
16,948
+3,509
+26% +$264K
IWS icon
59
iShares Russell Mid-Cap Value ETF
IWS
$15.7B
$1.31M 0.45%
+19,127
New +$1.27M
IAI icon
60
iShares US Broker-Dealers & Securities Exchanges ETF
IAI
$1.42B
$1.28M 0.44%
+33,254
New +$1.27M
AWF
61
AllianceBernstein Global High Income Fund
AWF
$873M
$1.28M 0.44%
+86,721
New +$1.27M
XLU icon
62
State Street Utilities Select Sector SPDR ETF
XLU
$23.5B
$1.26M 0.43%
+60,602
New +$1.19M
PGX icon
63
Invesco Preferred ETF
PGX
$3.91B
$1.25M 0.43%
87,388
-18,003
-17% -$251K
UNP icon
64
Union Pacific
UNP
$179B
$1.24M 0.43%
13,200
+7,526
+133% +$668K
JNJ icon
65
Johnson & Johnson
JNJ
$609B
$1.24M 0.43%
12,588
+5,057
+67% +$469K
KRE icon
66
State Street SPDR S&P Regional Banking ETF
KRE
$4.97B
$1.21M 0.42%
+29,208
New +$1.16M
SPY icon
67
State Street SPDR S&P 500 ETF Trust
SPY
$774B
$1.21M 0.42%
6,463
+1,123
+21% +$206K
NLY icon
68
Annaly Capital Management
NLY
$16.9B
$1.21M 0.41%
27,486
+21,320
+346% +$921K
EMB icon
69
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$14.6B
$1.18M 0.4%
10,554
-4,525
-30% -$493K
HFWA icon
70
Heritage Financial
HFWA
$1.26B
$1.15M 0.4%
68,225
+6,571
+11% +$115K
BKK
71
DELISTED
Blackrock Municipal 2020 Term Trust
BKK
$1.13M 0.39%
69,037
+16,867
+32% +$274K
FTR
72
DELISTED
Frontier Communications Corp.
FTR
$1.1M 0.38%
12,879
+2,527
+24% +$185K
AMZN icon
73
Amazon
AMZN
$2.66T
$1.1M 0.38%
65,300
+32,120
+97% +$596K
KEY icon
74
KeyCorp
KEY
$25.4B
$1.09M 0.37%
76,332
+13,791
+22% +$185K
HPS
75
John Hancock Preferred Income Fund III
HPS
$461M
$1.06M 0.36%
+60,998
New +$1.02M
1 2
3
4 5

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NWAM LLC's Q1 2014 Portfolio in Review

As of Q1 2014, NWAM LLC held 299 positions worth $291M, up 54% from $188M the previous quarter. Its ten largest holdings account for 23% of the portfolio.

NWAM LLC deployed $119M of net new capital in Q1 2014, opening 121 new positions and adding to 110 existing holdings. Its largest new stake was BlackRock Credit Allocation Income Trust: 453,690 shares worth $6.13M.

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

On the sell side, the largest reduction was Invesco QQQ Trust, an estimated $2.45M trimmed.

  • NWAM LLC's largest Q1 2014 buy was BlackRock Credit Allocation Income Trust: 453,690 shares worth $6.13M.
  • NWAM LLC added most to Apple in Q1 2014, an estimated $21.9M increase.
  • NWAM LLC's biggest Q1 2014 reduction was Invesco QQQ Trust, cutting an estimated $2.45M.
  • NWAM LLC fully exited WisdomTree International SmallCap Dividend Fund in Q1 2014, selling an estimated $2.21M.
  • NWAM LLC's ten largest holdings make up 23% of its $291M portfolio in Q1 2014.
  • NWAM LLC opened 121 new positions and closed 30 in Q1 2014.
  • NWAM LLC's portfolio value rose 54% quarter-over-quarter to $291M.

Based on NWAM LLC's 13F filing for Q1 2014, filed 9 Sep 2016.