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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
AMZN icon
76
Amazon
AMZN
$2.66T
$662K 0.35%
33,180
-13,380
-29% -$241K
DS
77
DELISTED
Drive Shack Inc.
DS
$655K 0.35%
+126,260
New +$634K
DHR icon
78
Danaher
DHR
$144B
$652K 0.35%
12,566
-1,436
-10% -$70.6K
DUK icon
79
Duke Energy
DUK
$97.5B
$650K 0.35%
9,422
-946
-9% -$66.2K
CBL
80
DELISTED
CBL& Associates Properties, Inc.
CBL
$606K 0.32%
33,726
-8,519
-20% -$160K
BOH icon
81
Bank of Hawaii
BOH
$3.4B
$591K 0.31%
10,000
-861
-8% -$49.6K
META icon
82
Meta Platforms (Facebook)
META
$1.64T
$581K 0.31%
10,633
-473
-4% -$23.7K
NMY
83
DELISTED
Nuveen Maryland Quality Municipal Income Fund
NMY
$551K 0.29%
55,000
-12
-0% -$144
GOOG icon
84
Alphabet (Google) Class C
GOOG
$4.22T
$539K 0.29%
+19,312
New +$488K
JCI icon
85
Johnson Controls International
JCI
$85.7B
$534K 0.28%
9,932
-2,169
-18% -$107K
VEA icon
86
Vanguard FTSE Developed Markets ETF
VEA
$226B
$534K 0.28%
12,813
+326
+3% +$13.2K
EMC
87
DELISTED
EMC CORPORATION
EMC
$534K 0.28%
21,216
-3,532
-14% -$85.6K
IBM icon
88
IBM
IBM
$200B
$524K 0.28%
2,921
-43
-1% -$7.42K
WFC icon
89
Wells Fargo
WFC
$265B
$516K 0.27%
11,357
-7,772
-41% -$336K
PFF icon
90
iShares Preferred and Income Securities ETF
PFF
$13.3B
$509K 0.27%
13,828
-1,513
-10% -$57.1K
PFX icon
91
PhenixFIN
PFX
$88.7M
$499K 0.26%
+1,803
New +$504K
IJS icon
92
iShares S&P Small-Cap 600 Value ETF
IJS
$8.15B
$497K 0.26%
8,926
-790
-8% -$42.2K
MCD icon
93
McDonald's
MCD
$190B
$486K 0.26%
5,011
-777
-13% -$74.7K
ELD icon
94
WisdomTree Emerging Markets Local Debt Fund
ELD
$142M
$483K 0.26%
10,494
+1,622
+18% +$76.4K
UNP icon
95
Union Pacific
UNP
$179B
$477K 0.25%
5,674
-10,866
-66% -$861K
RIG icon
96
Transocean
RIG
$5.69B
$460K 0.24%
9,304
-1,503
-14% -$73.6K
CMCSA icon
97
Comcast
CMCSA
$85B
$448K 0.24%
17,254
-2,510
-13% -$60.4K
VBR icon
98
Vanguard Small-Cap Value ETF
VBR
$37.1B
$433K 0.23%
4,451
+619
+16% +$58.4K
AXP icon
99
American Express
AXP
$242B
$430K 0.23%
4,742
-3,078
-39% -$253K
IJH icon
100
iShares Core S&P Mid-Cap ETF
IJH
$122B
$430K 0.23%
16,055
-7,705
-32% -$199K
2 3
4
5 6

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VCM
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PAIM
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RIA
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SFI
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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.