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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
+2.01%
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
$229M
AUM Growth
-$51.8M
Cap. Flow
-$60.6M
Cap. Flow %
-26.48%
Top 10 Hldgs %
27.41%
Holding
313
New
17
Increased
57
Reduced
143
Closed
72

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$959K
2
RDS.A
Royal Dutch Shell PLC ADS Class A
RDS.A
+$920K
3
BKK
Blackrock Municipal 2020 Term Trust
BKK
+$730K
4
SNR
NEW SENIOR INVESTMENT GROUP INC.
SNR
+$424K
5
ONIT
Onity Group
ONIT
+$390K

Top Sells

Rank Stock Value
1
SBUX icon
Starbucks
SBUX
+$7.43M
2
PG icon
Procter & Gamble
PG
+$3.78M
3
SPAB icon
State Street SPDR Portfolio Aggregate Bond ETF
SPAB
+$2.94M
4
PM icon
Philip Morris
PM
+$1.85M
5
MSFT icon
Microsoft
MSFT
+$1.7M

Sector Composition

Rank Sector Weight
1 Technology 8.32%
2 Financials 7.05%
3 Industrials 4.85%
4 Energy 4.02%
5 Real Estate 3.87%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HFWA icon
51
Heritage Financial
HFWA
$1.26B
$1.19M 0.52%
67,979
-6,656
-9% -$114K
T icon
52
AT&T
T
$152B
$1.19M 0.52%
47,039
-8,630
-16% -$224K
KRE icon
53
State Street SPDR S&P Regional Banking ETF
KRE
$4.97B
$1.18M 0.51%
28,902
-3,021
-9% -$119K
IWO icon
54
iShares Russell 2000 Growth ETF
IWO
$14.7B
$1.13M 0.49%
7,948
-3,318
-29% -$449K
IWS icon
55
iShares Russell Mid-Cap Value ETF
IWS
$15.7B
$1.08M 0.47%
14,690
-4,123
-22% -$296K
NLY icon
56
Annaly Capital Management
NLY
$16.9B
$1.05M 0.46%
24,237
-10,769
-31% -$487K
CIM
57
Chimera Investment
CIM
$1.08B
$1.04M 0.45%
21,713
– –
QCOM icon
58
Qualcomm
QCOM
$181B
$1M 0.44%
13,484
-4,193
-24% -$307K
EMB icon
59
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$14.6B
$971K 0.42%
8,849
-1,571
-15% -$177K
JQC icon
60
Nuveen Credit Strategies Income Fund
JQC
$702M
$962K 0.42%
109,667
+38
+0% +$333
PFE icon
61
Pfizer
PFE
$143B
$935K 0.41%
31,639
-37,201
-54% -$1.07M
FTF
62
Franklin Limited Duration Income Trust
FTF
$236M
$911K 0.4%
74,750
– –
SPY icon
63
State Street SPDR S&P 500 ETF Trust
SPY
$774B
$909K 0.4%
4,422
-138
-3% -$27.7K
BP icon
64
BP
BP
$108B
$895K 0.39%
28,290
+2,093
+8% +$70.3K
BMY icon
65
Bristol-Myers Squibb
BMY
$124B
$893K 0.39%
15,132
-10,690
-41% -$603K
RDS.A
66
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$890K 0.39%
+13,295
New +$920K
EWZ icon
67
iShares MSCI Brazil ETF
EWZ
$9.1B
$871K 0.38%
23,810
+3,026
+15% +$123K
EEM icon
68
iShares MSCI Emerging Markets ETF
EEM
$28B
$862K 0.38%
21,934
-920
-4% -$37.4K
FAM
69
DELISTED
First Trust/abrdn Global Opportunity Income Fund
FAM
$858K 0.37%
71,252
– –
KOL
70
DELISTED
VanEck Vectors Coal ETF
KOL
$857K 0.37%
5,839
+690
+13% +$111K
AMTX icon
71
Aemetis
AMTX
$110M
$836K 0.37%
144,345
-2,760
-2% -$18.1K
JPM icon
72
JPMorgan Chase
JPM
$907B
$818K 0.36%
13,072
-2,070
-14% -$125K
NBH
73
Neuberger Municipal Fund Inc
NBH
$309M
$813K 0.36%
52,065
– –
AMZN icon
74
Amazon
AMZN
$2.66T
$809K 0.35%
52,120
-33,520
-39% -$522K
JNJ icon
75
Johnson & Johnson
JNJ
$609B
$798K 0.35%
7,627
-3,853
-34% -$406K
1 2
3
4 5

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PAIM
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NWAM LLC's Q4 2014 Portfolio in Review

As of Q4 2014, NWAM LLC held 313 positions worth $229M, down 18% from $281M the previous quarter. Its ten largest holdings account for 27% of the portfolio.

NWAM LLC withdrew a net $60.6M in Q4 2014, closing 72 positions and reducing 143 holdings. Its most notable exit was State Street SPDR Portfolio Aggregate Bond ETF, an estimated $2.94M position sold in full.

By sector, the portfolio is most concentrated in Technology at 8.3% of assets, up from 8.2% a quarter earlier, followed by Financials and Industrials.

Against the trend, NWAM LLC opened a new position in Royal Dutch Shell PLC ADS Class A worth $890K.

  • NWAM LLC's largest Q4 2014 buy was Royal Dutch Shell PLC ADS Class A: 13,295 shares worth $890K.
  • NWAM LLC added most to Invesco QQQ Trust in Q4 2014, an estimated $959K increase.
  • NWAM LLC's biggest Q4 2014 reduction was Starbucks, cutting an estimated $7.43M.
  • NWAM LLC fully exited State Street SPDR Portfolio Aggregate Bond ETF in Q4 2014, selling an estimated $2.94M.
  • NWAM LLC's ten largest holdings make up 27% of its $229M portfolio in Q4 2014.
  • NWAM LLC opened 17 new positions and closed 72 in Q4 2014.
  • NWAM LLC's portfolio value fell 18% quarter-over-quarter to $229M.

Based on NWAM LLC's 13F filing for Q4 2014, filed 9 Sep 2016.