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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
CMS icon
101
CMS Energy
CMS
$22.8B
$275K 0.23%
8,000
– –
WTRG icon
102
Essential Utilities
WTRG
$11.3B
$275K 0.23%
10,000
– –
EQNR icon
103
Equinor
EQNR
$88.8B
$274K 0.23%
19,000
-2,000
-10% -$31.5K
OMER icon
104
Omeros
OMER
$701M
$274K 0.23%
25,000
+1,000
+4% +$15.6K
PSX icon
105
Phillips 66
PSX
$82.9B
$261K 0.22%
3,000
– –
VO icon
106
Vanguard Mid-Cap ETF
VO
$106B
$258K 0.21%
8,000
– –
GD icon
107
General Dynamics
GD
$99.7B
$252K 0.21%
2,000
– –
NMFC icon
108
New Mountain Finance
NMFC
$672M
$247K 0.2%
18,000
– –
STJ
109
DELISTED
St Jude Medical
STJ
$246K 0.2%
4,000
– –
PCL
110
DELISTED
PLUM CREEK TIMBER CO (REIT)
PCL
$244K 0.2%
6,000
+1,000
+20% +$40.1K
TRQ
111
DELISTED
Turquoise Hill Resources Ltd
TRQ
$243K 0.2%
9,500
– –
KMB icon
112
Kimberly-Clark
KMB
$36B
$241K 0.2%
2,000
– –
YPF icon
113
YPF
YPF
$19.5B
$241K 0.2%
16,000
-4,000
-20% -$89.5K
RTX icon
114
RTX Corp
RTX
$261B
$238K 0.2%
4,767
+1,589
+50% +$97.8K
WFC icon
115
Wells Fargo
WFC
$265B
$235K 0.19%
5,000
– –
KO icon
116
Coca-Cola
KO
$351B
$234K 0.19%
6,000
– –
BIDU icon
117
Baidu
BIDU
$36.5B
$233K 0.19%
2,000
– –
SFL icon
118
SFL Corp
SFL
$1.48B
$233K 0.19%
14,000
-3,000
-18% -$49K
EXEL icon
119
Exelixis
EXEL
$14.1B
$224K 0.19%
40,000
-22,000
-35% -$120K
KHC icon
120
Kraft Heinz
KHC
$30.7B
$220K 0.18%
+3,000
New +$226K
CMCSK
121
DELISTED
COMCAST CORP SPL A (NEW)
CMCSK
$218K 0.18%
4,000
– –
ORCL icon
122
Oracle
ORCL
$364B
$209K 0.17%
6,000
– –
CIEN icon
123
Ciena
CIEN
$53B
$207K 0.17%
10,000
– –
SCU
124
DELISTED
Sculptor Capital Management, Inc. Class A Common Stock
SCU
$192K 0.16%
2,200
+100
+5% +$10.8K
GGB icon
125
Gerdau
GGB
$9.27B
$188K 0.16%
172,620
-12,600
-7% -$17.3K
3 4
5
6 7

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PAIM
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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.