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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
C icon
101
Citigroup
C
$217B
$426K 0.23%
8,180
-5,484
-40% -$278K
JNK icon
102
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$7.36B
$414K 0.22%
3,401
+438
+15% +$53.1K
IYM icon
103
iShares US Basic Materials ETF
IYM
$1.18B
$411K 0.22%
5,048
-344
-6% -$26.7K
MMM icon
104
3M
MMM
$83.4B
$410K 0.22%
3,494
-557
-14% -$59.3K
SNY icon
105
Sanofi
SNY
$107B
$404K 0.21%
7,541
-545
-7% -$28.1K
PCL
106
DELISTED
PLUM CREEK TIMBER CO (REIT)
PCL
$397K 0.21%
8,533
+11
+0.1% +$503
FIG
107
DELISTED
Fortress Investment Group Llc
FIG
$385K 0.2%
+45,000
New +$369K
VCSH icon
108
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.8B
$384K 0.2%
4,819
-895
-16% -$71.6K
JWN
109
DELISTED
Nordstrom
JWN
$379K 0.2%
6,129
-3,990
-39% -$240K
KYN icon
110
Kayne Anderson Energy Infrastructure Fund
KYN
$2.47B
$365K 0.19%
9,167
+743
+9% +$27.2K
WY icon
111
Weyerhaeuser
WY
$17.7B
$358K 0.19%
11,347
-1,767
-13% -$52.9K
VIG icon
112
Vanguard Dividend Appreciation ETF
VIG
$111B
$351K 0.19%
4,665
-504
-10% -$36.7K
ICF icon
113
iShares Select U.S. REIT ETF
ICF
$2.11B
$349K 0.19%
9,336
+262
+3% +$10.1K
GRA
114
DELISTED
W.R. Grace & Co.
GRA
$346K 0.18%
+3,495
New +$325K
NKG
115
DELISTED
Nuveen Georgia Quality Municipal Income Fund
NKG
$341K 0.18%
34,100
-20
-0.1% -$235
ABT icon
116
Abbott
ABT
$175B
$336K 0.18%
8,778
-5,033
-36% -$186K
CVC
117
DELISTED
CABLEVISION SYS CP NY GRP CL-A
CVC
$336K 0.18%
18,752
-3,063
-14% -$49.5K
CLX icon
118
Clorox
CLX
$11.6B
$334K 0.18%
3,600
-396
-10% -$35.7K
IWN icon
119
iShares Russell 2000 Value ETF
IWN
$14.4B
$331K 0.18%
3,327
-61
-2% -$5.83K
AMGN icon
120
Amgen
AMGN
$198B
$329K 0.17%
2,887
-289
-9% -$32.9K
ARCC icon
121
Ares Capital
ARCC
$13.8B
$323K 0.17%
18,191
+4,677
+35% +$82.4K
OMER icon
122
Omeros
OMER
$701M
$322K 0.17%
+28,556
New +$276K
MILL
123
DELISTED
MILLER ENERGY RESOURCES, INC COM STK
MILL
$313K 0.17%
+13,050
New +$96.5K
KMP
124
DELISTED
KINDER MORGAN ENER PNTRS L.P.
KMP
$310K 0.16%
3,842
+410
+12% +$33.1K
PTY icon
125
PIMCO Corporate & Income Opportunity Fund
PTY
$2.51B
$299K 0.16%
17,300
-1,471
-8% -$26.4K
3 4
5
6 7

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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.