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NWAM LLC Portfolio holdings

AUM $2B
1-Year Est. Return 34.81%
This Fund
S&P 500
This Quarter Est. Return
+2.01%
1 Year Est. Return
+34.81%
3 Year Est. Return
+112.13%
5 Year Est. Return
+133.17%
10 Year Est. Return
–
AUM
$229M
AUM Growth
-$51.8M
Cap. Flow
-$61.1M
Cap. Flow %
-26.67%
Top 10 Hldgs %
27.41%
Holding
313
New
17
Increased
57
Reduced
143
Closed
72

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$959K
2
RDS.A
Royal Dutch Shell PLC ADS Class A
RDS.A
+$920K
3
BKK
Blackrock Municipal 2020 Term Trust
BKK
+$730K
4
SNR
NEW SENIOR INVESTMENT GROUP INC.
SNR
+$424K
5
ONIT
Onity Group
ONIT
+$390K

Top Sells

Rank Stock Value
1
SBUX icon
Starbucks
SBUX
+$7.43M
2
PG icon
Procter & Gamble
PG
+$3.78M
3
SPAB icon
State Street SPDR Portfolio Aggregate Bond ETF
SPAB
+$2.94M
4
PM icon
Philip Morris
PM
+$1.85M
5
MSFT icon
Microsoft
MSFT
+$1.7M

Sector Composition

Rank Sector Weight
1 Miscellaneous 56.6%
2 Technology 8.32%
3 Financials 7.14%
4 Industrials 4.85%
5 Energy 4.04%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BOH icon
101
Bank of Hawaii
BOH
$3.02B
$593K 0.26%
10,000
-440
-4% -$25.4K
OMER icon
102
Omeros
OMER
$1.38B
$591K 0.26%
23,856
-15,055
-39% -$274K
MCD icon
103
McDonald's
MCD
$184B
$583K 0.25%
6,220
-2,108
-25% -$197K
JWN
104
DELISTED
Nordstrom
JWN
$581K 0.25%
7,320
-3,841
-34% -$282K
VGSH icon
105
Vanguard Short-Term Treasury ETF
VGSH
$30.1B
$580K 0.25%
9,524
+82
+0.9% +$5K
VCSH icon
106
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.8B
$577K 0.25%
7,246
+9
+0.1% +$720
DSL
107
DoubleLine Income Solutions Fund
DSL
$1.21B
$563K 0.25%
28,282
+18,124
+178% +$378K
PFX icon
108
PhenixFIN
PFX
$89.1M
$558K 0.24%
3,020
-880
-23% -$191K
KMI icon
109
Kinder Morgan
KMI
$70.4B
$555K 0.24%
13,123
+4,054
+45% +$160K
GASS icon
110
StealthGas
GASS
$351M
$547K 0.24%
86,650
+9,225
+12% +$67.8K
MFA
111
MFA Financial
MFA
$897M
$536K 0.23%
16,756
-14
-0.1% -$461
YPF icon
112
YPF Sociedad Anonima ADS
YPF
$20.5B
$533K 0.23%
20,132
– –
COP icon
113
ConocoPhillips
COP
$163B
$514K 0.22%
7,449
-7,003
-48% -$489K
VIG icon
114
Vanguard Dividend Appreciation ETF
VIG
$113B
$512K 0.22%
6,313
-121
-2% -$9.57K
CMCSA icon
115
Comcast
CMCSA
$94.6B
$506K 0.22%
17,440
-1,902
-10% -$52.1K
IJS icon
116
iShares S&P Small-Cap 600 Value ETF
IJS
$8.23B
$504K 0.22%
8,544
-968
-10% -$54.6K
MSD
117
Morgan Stanley Emerging Markets Debt Fund
MSD
$147M
$498K 0.22%
54,820
– –
VEA icon
118
Vanguard FTSE Developed Markets ETF
VEA
$239B
$494K 0.22%
13,036
-1,072
-8% -$41.5K
JCI icon
119
Johnson Controls International
JCI
$86.2B
$493K 0.22%
9,737
-1,496
-13% -$73.1K
GGB icon
120
Gerdau
GGB
$9.71B
$474K 0.21%
168,093
+88,335
+111% +$293K
MUI
121
DELISTED
BlackRock Municipal Income Fund, Inc.
MUI
$472K 0.21%
32,800
– –
DD
122
DELISTED
Du Pont De Nemours E I
DD
$467K 0.2%
6,650
-1,162
-15% -$77.7K
MRK icon
123
Merck
MRK
$376B
$465K 0.2%
8,575
-11,754
-58% -$655K
BIDU icon
124
Baidu
BIDU
$32.4B
$449K 0.2%
1,969
+129
+7% +$29.6K
DD icon
125
DuPont de Nemours
DD
$17.7B
$447K 0.2%
3,873
+32
+0.8% +$3.9K
3 4
5
6 7

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CC
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CC
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KOCAA
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JWA
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CAM
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FOF
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EFS
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NWAM LLC's Q4 2014 Portfolio in Review

As of Q4 2014, NWAM LLC held 313 positions worth $229M, down 18% from $281M the previous quarter. Its ten largest holdings account for 27% of the portfolio.

NWAM LLC withdrew a net $61.1M in Q4 2014, closing 72 positions and reducing 143 holdings. Its most notable exit was State Street SPDR Portfolio Aggregate Bond ETF, an estimated $2.94M position sold in full.

By sector, the portfolio is most concentrated in Miscellaneous at 57% of assets, up from 51% a quarter earlier, followed by Technology and Financials.

Against the trend, NWAM LLC opened a new position in Royal Dutch Shell PLC ADS Class A worth $890K.

  • NWAM LLC's largest Q4 2014 buy was Royal Dutch Shell PLC ADS Class A: 14,234 shares worth $890K.
  • NWAM LLC added most to Invesco QQQ Trust in Q4 2014, an estimated $959K increase.
  • NWAM LLC's biggest Q4 2014 reduction was Starbucks, cutting an estimated $7.43M.
  • NWAM LLC fully exited State Street SPDR Portfolio Aggregate Bond ETF in Q4 2014, selling an estimated $2.94M.
  • NWAM LLC's ten largest holdings make up 27% of its $229M portfolio in Q4 2014.
  • NWAM LLC opened 17 new positions and closed 72 in Q4 2014.
  • NWAM LLC's portfolio value fell 18% quarter-over-quarter to $229M.

Based on NWAM LLC's 13F filing for Q4 2014, filed 9 Sep 2016.