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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
-1.19%
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
$281M
AUM Growth
-$40.6M
Cap. Flow
-$30.8M
Cap. Flow %
-10.95%
Top 10 Hldgs %
24.08%
Holding
324
New
24
Increased
147
Reduced
106
Closed
28

Top Buys

Rank Stock Value
1
SBUX icon
Starbucks
SBUX
+$4.72M
2
BBLU
BLUE EARTH, INC. COMMON STOCK
BBLU
+$1.85M
3
DRA
Diversified Real Asset Income Fd
DRA
+$1.77M
4
RDS.B
Royal Dutch Shell PLC ADS Class B
RDS.B
+$1.31M
5
MZF
Managed Duration Inv Grd Muni Fd
MZF
+$1.18M

Top Sells

Rank Stock Value
1
MSFT icon
Microsoft
MSFT
+$5.31M
2
BAC icon
Bank of America
BAC
+$3.26M
3
INTC icon
Intel
INTC
+$2.82M
4
O icon
Realty Income
O
+$2.36M
5
APU
AmeriGas Partners, L.P.
APU
+$2.18M

Sector Composition

Rank Sector Weight
1 Technology 8.17%
2 Financials 6.7%
3 Energy 5.79%
4 Industrials 5.51%
5 Consumer Staples 5.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FAM
76
DELISTED
First Trust/abrdn Global Opportunity Income Fund
FAM
$969K 0.35%
71,252
– –
EEM icon
77
iShares MSCI Emerging Markets ETF
EEM
$28B
$950K 0.34%
22,854
+357
+2% +$15.8K
BP icon
78
BP
BP
$108B
$942K 0.34%
26,197
-11,874
-31% -$470K
FTF
79
Franklin Limited Duration Income Trust
FTF
$236M
$925K 0.33%
74,750
-6,524
-8% -$83.3K
PFX icon
80
PhenixFIN
PFX
$88.7M
$921K 0.33%
3,900
– –
JPM icon
81
JPMorgan Chase
JPM
$907B
$912K 0.32%
15,142
-23,203
-61% -$1.36M
EWZ icon
82
iShares MSCI Brazil ETF
EWZ
$9.1B
$903K 0.32%
20,784
+1,816
+10% +$89.8K
SPY icon
83
State Street SPDR S&P 500 ETF Trust
SPY
$774B
$898K 0.32%
4,560
-1,722
-27% -$340K
KOL
84
DELISTED
VanEck Vectors Coal ETF
KOL
$881K 0.31%
5,149
+443
+9% +$83.3K
MNKD icon
85
MannKind Corp
MNKD
$1.25B
$866K 0.31%
29,321
+4,693
+19% +$185K
PCP
86
DELISTED
PRECISION CASTPARTS CORP
PCP
$848K 0.3%
3,579
+66
+2% +$16K
PCN
87
PIMCO Corporate & Income Strategy Fund
PCN
$875M
$832K 0.3%
52,688
+3,539
+7% +$58.6K
GOOG icon
88
Alphabet (Google) Class C
GOOG
$4.22T
$819K 0.29%
28,157
-421
-1% -$12.2K
MCD icon
89
McDonald's
MCD
$190B
$790K 0.28%
8,328
+496
+6% +$47.3K
EMC
90
DELISTED
EMC CORPORATION
EMC
$781K 0.28%
26,704
-868
-3% -$25K
NBH
91
Neuberger Municipal Fund Inc
NBH
$309M
$775K 0.28%
52,065
– –
VB icon
92
Vanguard Small-Cap ETF
VB
$79.7B
$772K 0.27%
6,978
+444
+7% +$50.9K
JWN
93
DELISTED
Nordstrom
JWN
$763K 0.27%
11,161
+10
+0.1% +$689
CWB icon
94
State Street SPDR Bloomberg Convertible Securities ETF
CWB
$5.78B
$750K 0.27%
15,115
-4,161
-22% -$209K
YPF icon
95
YPF
YPF
$19.5B
$745K 0.27%
20,132
+1,207
+6% +$42.3K
F icon
96
Ford
F
$56.7B
$744K 0.26%
50,279
+4,515
+10% +$77.2K
DHR icon
97
Danaher
DHR
$144B
$743K 0.26%
14,558
+498
+4% +$25.6K
VEU icon
98
Vanguard FTSE All-World ex-US ETF
VEU
$65.6B
$738K 0.26%
14,985
+1,140
+8% +$58.9K
FAX
99
abrdn Asia-Pacific Income Fund
FAX
$592M
$737K 0.26%
20,810
+1,259
+6% +$46.2K
QQQ icon
100
Invesco QQQ Trust
QQQ
$466B
$736K 0.26%
7,453
-2,415
-24% -$235K
2 3
4
5 6

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NWAM LLC's Q3 2014 Portfolio in Review

As of Q3 2014, NWAM LLC held 324 positions worth $281M, down 13% from $321M the previous quarter. Its ten largest holdings account for 24% of the portfolio.

NWAM LLC withdrew a net $30.8M in Q3 2014, closing 28 positions and reducing 106 holdings. Its most notable exit was AMERN STRATEGIC INCM PORTF II, an estimated $1.22M position sold in full.

By sector, the portfolio is most concentrated in Technology at 8.2% of assets, down from 9.8% a quarter earlier, followed by Financials and Energy.

Against the trend, NWAM LLC opened a new position in BLUE EARTH, INC. COMMON STOCK worth $2.17M.

  • NWAM LLC's largest Q3 2014 buy was BLUE EARTH, INC. COMMON STOCK: 576,119 shares worth $2.17M.
  • NWAM LLC added most to Starbucks in Q3 2014, an estimated $4.72M increase.
  • NWAM LLC's biggest Q3 2014 reduction was Microsoft, cutting an estimated $5.31M.
  • NWAM LLC fully exited AMERN STRATEGIC INCM PORTF II in Q3 2014, selling an estimated $1.22M.
  • NWAM LLC's ten largest holdings make up 24% of its $281M portfolio in Q3 2014.
  • NWAM LLC opened 24 new positions and closed 28 in Q3 2014.
  • NWAM LLC's portfolio value fell 13% quarter-over-quarter to $281M.

Based on NWAM LLC's 13F filing for Q3 2014, filed 9 Sep 2016.