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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
+7.47%
1 Year Est. Return
+34.81%
3 Year Est. Return
+112.13%
5 Year Est. Return
+133.17%
10 Year Est. Return
+303.05%
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
BIDU icon
126
Baidu
BIDU
$35.8B
$297K 0.16%
+1,667
New +$269K
PSX icon
127
Phillips 66
PSX
$82.9B
$296K 0.16%
3,839
-2,187
-36% -$146K
BRCM
128
DELISTED
BROADCOM CORP CL-A
BRCM
$295K 0.16%
9,937
-1,514
-13% -$41.2K
MNKD icon
129
MannKind Corp
MNKD
$1.28B
$293K 0.16%
11,255
+7,870
+232% +$200K
BMO icon
130
Bank of Montreal
BMO
$125B
$285K 0.15%
4,269
-2,296
-35% -$156K
ORCL icon
131
Oracle
ORCL
$331B
$279K 0.15%
7,285
-1,477
-17% -$50.8K
EFX icon
132
Equifax
EFX
$20.3B
$276K 0.15%
4,000
-618
-13% -$40.2K
NKE icon
133
Nike
NKE
$61.9B
$273K 0.14%
6,940
-7,654
-52% -$293K
TXN icon
134
Texas Instruments
TXN
$255B
$272K 0.14%
6,205
-1,318
-18% -$55.2K
RSO
135
DELISTED
Resource Capital Corp.
RSO
$270K 0.14%
1,006
-81
-7% -$1.93K
VOT icon
136
Vanguard Mid-Cap Growth ETF
VOT
$19B
$264K 0.14%
2,928
+116
+4% +$10.1K
OB
137
DELISTED
Onebeacon Insurance Group Ltd
OB
$262K 0.14%
16,540
-3,218
-16% -$50.1K
VNR
138
DELISTED
Vanguard Natural Resources, LLC
VNR
$260K 0.14%
8,796
-1,882
-18% -$53.3K
IWP icon
139
iShares Russell Mid-Cap Growth ETF
IWP
$20B
$255K 0.14%
6,054
-5,282
-47% -$213K
IJR icon
140
iShares Core S&P Small-Cap ETF
IJR
$109B
$246K 0.13%
4,508
-76
-2% -$3.97K
NLY icon
141
Annaly Capital Management
NLY
$16.9B
$246K 0.13%
6,166
+341
+6% +$14.8K
SDY icon
142
State Street SPDR S&P Dividend ETF
SDY
$21.9B
$245K 0.13%
3,372
+56
+2% +$4.03K
NTC
143
DELISTED
Nuveen Connecticut Quality Municipal Income Fund
NTC
$239K 0.13%
23,900
+10,110
+73% +$118K
TIBX
144
DELISTED
TIBCO SOFTWARE INC
TIBX
$236K 0.13%
10,500
+1,276
+14% +$31.2K
MLCO icon
145
Melco Resorts & Entertainment
MLCO
$2.1B
$235K 0.12%
+6,000
New +$212K
DIS icon
146
Walt Disney
DIS
$165B
$234K 0.12%
3,057
-1,276
-29% -$88.4K
AFL icon
147
Aflac
AFL
$63.9B
$223K 0.12%
6,682
-2,528
-27% -$82.9K
AMJ
148
DELISTED
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
$223K 0.12%
4,801
-497
-9% -$22.4K
STIP icon
149
iShares 0-5 Year TIPS Bond ETF
STIP
$15.8B
$211K 0.11%
2,090
+4
+0.2% +$405
GSK icon
150
GSK
GSK
$103B
$209K 0.11%
3,125
-201
-6% -$13K
4 5
6
7 8

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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.