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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
JNK icon
76
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$7.36B
$982K 0.33%
8,982
+422
+5% +$45.9K
EWZ icon
77
iShares MSCI Brazil ETF
EWZ
$9.1B
$964K 0.32%
28,901
-108
-0.4% -$3.71K
EMD
78
Western Asset Emerging Markets Debt Fund
EMD
$619M
$947K 0.31%
64,390
-1,512
-2% -$22.8K
IMCB icon
79
iShares Morningstar Mid-Cap ETF
IMCB
$1.63B
$938K 0.31%
23,844
+6,432
+37% +$248K
HMLP
80
DELISTED
HOEGH LNG PARTNERS LP
HMLP
$932K 0.31%
49,076
-1,411
-3% -$25.8K
IWN icon
81
iShares Russell 2000 Value ETF
IWN
$14.4B
$925K 0.31%
7,776
-179
-2% -$19.8K
BMY icon
82
Bristol-Myers Squibb
BMY
$124B
$924K 0.31%
15,810
+307
+2% +$16.8K
CIM
83
Chimera Investment
CIM
$1.08B
$902K 0.3%
17,659
-3,570
-17% -$175K
BABA icon
84
Alibaba
BABA
$276B
$892K 0.3%
10,160
+833
+9% +$80.2K
BOH icon
85
Bank of Hawaii
BOH
$3.4B
$887K 0.29%
10,000
– –
MUE
86
DELISTED
BlackRock MuniHoldings Quality Fund II
MUE
$854K 0.28%
63,305
-25,000
-28% -$337K
QCOM icon
87
Qualcomm
QCOM
$181B
$854K 0.28%
13,101
+281
+2% +$18.9K
IJS icon
88
iShares S&P Small-Cap 600 Value ETF
IJS
$8.15B
$852K 0.28%
12,164
+100
+0.8% +$6.55K
NBH
89
Neuberger Municipal Fund Inc
NBH
$309M
$847K 0.28%
52,065
– –
UNP icon
90
Union Pacific
UNP
$179B
$843K 0.28%
8,132
+1,508
+23% +$148K
DIS icon
91
Walt Disney
DIS
$170B
$838K 0.28%
8,037
-358
-4% -$34.9K
O icon
92
Realty Income
O
$61.3B
$837K 0.28%
15,032
+1,754
+13% +$98.4K
DD icon
93
DuPont de Nemours
DD
$18.3B
$823K 0.27%
5,682
+124
+2% +$17.3K
GILD icon
94
Gilead Sciences
GILD
$167B
$811K 0.27%
11,320
+974
+9% +$72.4K
SCHX icon
95
Schwab US Large- Cap ETF
SCHX
$71.7B
$800K 0.27%
+90,174
New +$783K
SCHF icon
96
Schwab International Equity ETF
SCHF
$65.4B
$786K 0.26%
56,766
+40,020
+239% +$561K
TDAY
97
USA Today Co
TDAY
$1.25B
$782K 0.26%
48,910
-2,098
-4% -$32.4K
VIG icon
98
Vanguard Dividend Appreciation ETF
VIG
$111B
$780K 0.26%
9,155
+280
+3% +$23.5K
HD icon
99
Home Depot
HD
$338B
$779K 0.26%
5,812
+847
+17% +$109K
MMM icon
100
3M
MMM
$83.4B
$777K 0.26%
5,201
-115
-2% -$16.6K
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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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.