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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
+3.04%
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
$301M
AUM Growth
-$1.02B
Cap. Flow
-$953M
Cap. Flow %
-315.99%
Top 10 Hldgs %
24.89%
Holding
316
New
36
Increased
102
Reduced
121
Closed
29

Top Buys

Rank Stock Value
1
FLC
Flaherty & Crumrine Total Return Fund
FLC
+$6.05M
2
DRA
Diversified Real Asset Income Fd
DRA
+$1.74M
3
AMZN icon
Amazon
AMZN
+$1.17M
4
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$1.06M
5
SDY icon
State Street SPDR S&P Dividend ETF
SDY
+$1.02M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$8.18M
2
RSP icon
Invesco S&P 500 Equal Weight ETF
RSP
+$1.37M
3
PGX icon
Invesco Preferred ETF
PGX
+$1.19M
4
PG icon
Procter & Gamble
PG
+$1.06M
5
ENBL
ENABLE MIDSTREAM PARTNERS, LP
ENBL
+$1.02M

Sector Composition

Rank Sector Weight
1 Financials 7.5%
2 Technology 6.3%
3 Industrials 4.75%
4 Communication Services 4.63%
5 Energy 4.61%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MO icon
51
Altria Group
MO
$124B
$1.42M 0.47%
21,024
+328
+2% +$21.1K
HYLD
52
DELISTED
High Yield ETF
HYLD
$1.41M 0.47%
39,448
-2,009
-5% -$70.3K
JPM icon
53
JPMorgan Chase
JPM
$907B
$1.4M 0.46%
16,214
+114
+0.7% +$8.69K
INTC icon
54
Intel
INTC
$478B
$1.4M 0.46%
38,534
-453
-1% -$16.2K
JNJ icon
55
Johnson & Johnson
JNJ
$609B
$1.31M 0.43%
11,364
+533
+5% +$61.6K
VOT icon
56
Vanguard Mid-Cap Growth ETF
VOT
$19.1B
$1.3M 0.43%
12,270
+1,051
+9% +$110K
EMB icon
57
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$14.6B
$1.25M 0.41%
11,292
-81
-0.7% -$9.09K
HPS
58
John Hancock Preferred Income Fund III
HPS
$461M
$1.24M 0.41%
69,717
-6,425
-8% -$114K
BKLN icon
59
Invesco Senior Loan ETF
BKLN
$7.19B
$1.2M 0.4%
51,449
+1,142
+2% +$26.5K
IWO icon
60
iShares Russell 2000 Growth ETF
IWO
$14.7B
$1.18M 0.39%
7,679
-20
-0.3% -$2.98K
TIP icon
61
iShares TIPS Bond ETF
TIP
$14.5B
$1.17M 0.39%
10,329
+394
+4% +$45K
CMCSA icon
62
Comcast
CMCSA
$85B
$1.17M 0.39%
33,796
+318
+0.9% +$10.6K
NEA icon
63
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.44B
$1.16M 0.39%
87,002
– –
AWF
64
AllianceBernstein Global High Income Fund
AWF
$873M
$1.15M 0.38%
91,413
-3,375
-4% -$41.3K
IWP icon
65
iShares Russell Mid-Cap Growth ETF
IWP
$20.2B
$1.13M 0.38%
23,230
+1,520
+7% +$73.3K
FTF
66
Franklin Limited Duration Income Trust
FTF
$236M
$1.11M 0.37%
92,400
– –
JQC icon
67
Nuveen Credit Strategies Income Fund
JQC
$702M
$1.11M 0.37%
124,955
-12,600
-9% -$107K
OEF icon
68
iShares S&P 100 ETF
OEF
$20.1B
$1.07M 0.35%
10,776
+5,560
+107% +$539K
BP icon
69
BP
BP
$108B
$1.06M 0.35%
33,165
-6,003
-15% -$181K
GOOG icon
70
Alphabet (Google) Class C
GOOG
$4.22T
$1.05M 0.35%
27,240
+5,420
+25% +$211K
KOL
71
DELISTED
VanEck Vectors Coal ETF
KOL
$1.05M 0.35%
8,543
-71
-0.8% -$9.19K
SDY icon
72
State Street SPDR S&P Dividend ETF
SDY
$21.8B
$1.04M 0.34%
+12,149
New +$1.02M
EFA icon
73
iShares MSCI EAFE ETF
EFA
$76.5B
$1.02M 0.34%
17,710
-3,107
-15% -$179K
CSCO icon
74
Cisco
CSCO
$441B
$997K 0.33%
33,000
+3,372
+11% +$103K
PG icon
75
Procter & Gamble
PG
$349B
$993K 0.33%
11,810
-12,404
-51% -$1.06M
1 2
3
4 5

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VCM
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PAIM
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RIA
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SFI
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MAM
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NWAM LLC's Q4 2016 Portfolio in Review

As of Q4 2016, NWAM LLC held 316 positions worth $301M, down 77% from $1.32B the previous quarter. Its ten largest holdings account for 25% of the portfolio.

NWAM LLC withdrew a net $953M in Q4 2016, closing 29 positions and reducing 121 holdings. Its most notable exit was Apple, an estimated $8.18M position sold in full.

By sector, the portfolio is most concentrated in Financials at 7.5% of assets, up from 1.3% a quarter earlier, followed by Technology and Industrials.

Against the trend, NWAM LLC opened a new position in Flaherty & Crumrine Total Return Fund worth $5.95M.

  • NWAM LLC's largest Q4 2016 buy was Flaherty & Crumrine Total Return Fund: 299,205 shares worth $5.95M.
  • NWAM LLC added most to Amazon in Q4 2016, an estimated $1.17M increase.
  • NWAM LLC's biggest Q4 2016 reduction was Invesco S&P 500 Equal Weight ETF, cutting an estimated $1.37M.
  • NWAM LLC fully exited Apple in Q4 2016, selling an estimated $8.18M.
  • NWAM LLC's ten largest holdings make up 25% of its $301M portfolio in Q4 2016.
  • NWAM LLC opened 36 new positions and closed 29 in Q4 2016.
  • NWAM LLC's portfolio value fell 77% quarter-over-quarter to $301M.

Based on NWAM LLC's 13F filing for Q4 2016, filed 2 Feb 2017.