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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
-6.89%
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
$121M
AUM Growth
-$119M
Cap. Flow
-$107M
Cap. Flow %
-88.89%
Top 10 Hldgs %
43.77%
Holding
253
New
4
Increased
30
Reduced
42
Closed
109

Top Buys

Rank Stock Value
1
CRHM
CRH Medical Corporation
CRHM
+$937K
2
DAL icon
Delta Air Lines
DAL
+$404K
3
KHC icon
Kraft Heinz
KHC
+$226K
4
ANFI
AMIRA NATURE FOODS LTD
ANFI
+$157K
5
PG icon
Procter & Gamble
PG
+$150K

Top Sells

Rank Stock Value
1
BTZ icon
BlackRock Credit Allocation Income Trust
BTZ
+$8.7M
2
FLC
Flaherty & Crumrine Total Return Fund
FLC
+$6.63M
3
ERC
Allspring Multi-Sector Income Fund
ERC
+$5.71M
4
VNQ icon
Vanguard Real Estate ETF
VNQ
+$4.33M
5
BND icon
Vanguard Total Bond Market
BND
+$4.27M

Sector Composition

Rank Sector Weight
1 Technology 16.23%
2 Financials 9.91%
3 Industrials 9.83%
4 Consumer Discretionary 7.51%
5 Communication Services 6.75%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SLB icon
76
SLB Ltd
SLB
$70.3B
$360K 0.3%
5,000
– –
PARA
77
DELISTED
Paramount Global Class B
PARA
$359K 0.3%
9,000
+2,000
+29% +$97K
IBM icon
78
IBM
IBM
$200B
$357K 0.3%
2,092
– –
HMLP
79
DELISTED
HOEGH LNG PARTNERS LP
HMLP
$355K 0.29%
22,000
+2,000
+10% +$37.1K
VOT icon
80
Vanguard Mid-Cap Growth ETF
VOT
$19.1B
$352K 0.29%
4,000
– –
PM icon
81
Philip Morris
PM
$301B
$350K 0.29%
4,000
– –
COLB icon
82
Columbia Banking Systems
COLB
$9.62B
$345K 0.29%
11,000
– –
DD
83
DELISTED
Du Pont De Nemours E I
DD
$337K 0.28%
7,000
-371
-5% -$19.8K
SOR
84
Source Capital
SOR
$373M
$336K 0.28%
5,000
– –
LUMN icon
85
Lumen
LUMN
$6.47B
$330K 0.27%
13,000
+1,000
+8% +$27.7K
BABA icon
86
Alibaba
BABA
$276B
$329K 0.27%
6,000
-1,000
-14% -$72.7K
AFL icon
87
Aflac
AFL
$63.5B
$325K 0.27%
12,000
+2,000
+20% +$60.5K
BRCM
88
DELISTED
BROADCOM CORP CL-A
BRCM
$323K 0.27%
6,000
– –
AXP icon
89
American Express
AXP
$242B
$320K 0.27%
4,000
-1,000
-20% -$76.9K
APU
90
DELISTED
AmeriGas Partners, L.P.
APU
$318K 0.26%
8,000
– –
PDP icon
91
Invesco Dorsey Wright Momentum ETF
PDP
$1.47B
$305K 0.25%
8,000
+1,000
+14% +$42.7K
NKE icon
92
Nike
NKE
$64.9B
$299K 0.25%
4,000
-2,000
-33% -$113K
SO icon
93
Southern Company
SO
$107B
$298K 0.25%
7,000
+1,000
+17% +$43.9K
CHK
94
DELISTED
Chesapeake Energy Corporation
CHK
$296K 0.25%
200
– –
ARCC icon
95
Ares Capital
ARCC
$13.8B
$290K 0.24%
20,000
-2,000
-9% -$31.4K
HD icon
96
Home Depot
HD
$338B
$288K 0.24%
2,000
– –
DBGR
97
DELISTED
Xtrackers MSCI Germany Hedged Equity ETF
DBGR
$288K 0.24%
13,000
+2,000
+18% +$48.9K
PEP icon
98
PepsiCo
PEP
$187B
$280K 0.23%
3,000
– –
BMO icon
99
Bank of Montreal
BMO
$127B
$276K 0.23%
5,000
– –
SBS icon
100
Sabesp
SBS
$20.2B
$276K 0.23%
366,113
-15,470
-4% -$13.9K
2 3
4
5 6

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VCM
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PAIM
Punch & Associates Investment Management Edina, Minnesota $1.73B AUM 27.65% 1-Year Est. Return
RIA
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SFI
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MAM
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GAM
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DF
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NWAM LLC's Q3 2015 Portfolio in Review

As of Q3 2015, NWAM LLC held 253 positions worth $121M, down 50% from $239M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

NWAM LLC withdrew a net $107M in Q3 2015, closing 109 positions and reducing 42 holdings. Its most notable exit was BlackRock Credit Allocation Income Trust, an estimated $8.7M position sold in full.

By sector, the portfolio is most concentrated in Technology at 16% of assets, up from 9.8% a quarter earlier, followed by Financials and Industrials.

Against the trend, NWAM LLC opened a new position in CRH Medical Corporation worth $828K.

  • NWAM LLC's largest Q3 2015 buy was CRH Medical Corporation: 259,000 shares worth $828K.
  • NWAM LLC added most to Procter & Gamble in Q3 2015, an estimated $150K increase.
  • NWAM LLC's biggest Q3 2015 reduction was Apple, cutting an estimated $2.23M.
  • NWAM LLC fully exited BlackRock Credit Allocation Income Trust in Q3 2015, selling an estimated $8.7M.
  • NWAM LLC's ten largest holdings make up 44% of its $121M portfolio in Q3 2015.
  • NWAM LLC opened 4 new positions and closed 109 in Q3 2015.
  • NWAM LLC's portfolio value fell 50% quarter-over-quarter to $121M.

Based on NWAM LLC's 13F filing for Q3 2015, filed 17 Nov 2015.