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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
+303.05%
AUM
$229M
AUM Growth
-$51.8M
Cap. Flow
-$60.6M
Cap. Flow %
-26.48%
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 Technology 8.32%
2 Financials 7.05%
3 Industrials 4.85%
4 Energy 4.02%
5 Real Estate 3.87%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SBS icon
126
Sabesp
SBS
$19.7B
$433K 0.19%
354,666
+111,964
+46% +$160K
IYM icon
127
iShares US Basic Materials ETF
IYM
$1.16B
$430K 0.19%
5,216
+58
+1% +$4.82K
ABT icon
128
Abbott
ABT
$180B
$429K 0.19%
9,529
-4,645
-33% -$202K
META icon
129
Meta Platforms (Facebook)
META
$1.51T
$427K 0.19%
5,469
-886
-14% -$67.7K
O icon
130
Realty Income
O
$61.2B
$423K 0.18%
9,149
-1,534
-14% -$68K
MMT
131
Aberdeen Multi-Market Income Fund
MMT
$237M
$418K 0.18%
64,267
+30,567
+91% +$193K
IBM icon
132
IBM
IBM
$202B
$417K 0.18%
2,716
-933
-26% -$148K
KEY icon
133
KeyCorp
KEY
$24.3B
$410K 0.18%
29,489
-5,982
-17% -$79.6K
AXP icon
134
American Express
AXP
$223B
$405K 0.18%
4,351
-1,462
-25% -$131K
MO icon
135
Altria Group
MO
$122B
$405K 0.18%
8,224
-33,462
-80% -$1.63M
SNR
136
DELISTED
NEW SENIOR INVESTMENT GROUP INC.
SNR
$402K 0.18%
+24,461
New +$424K
KG
137
Kestrel Group
KG
$71.3M
$396K 0.17%
+1,547
New +$383K
APU
138
DELISTED
AmeriGas Partners, L.P.
APU
$396K 0.17%
8,258
-528
-6% -$24.4K
MDY icon
139
CALL
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$27B
$390K 0.17%
+1,500
New +$384K
NMFC icon
140
New Mountain Finance
NMFC
$646M
$384K 0.17%
25,700
– –
ELD icon
141
WisdomTree Emerging Markets Local Debt Fund
ELD
$140M
$382K 0.17%
9,187
-1,040
-10% -$45.4K
VBR icon
142
Vanguard Small-Cap Value ETF
VBR
$37.1B
$382K 0.17%
3,609
-536
-13% -$55.3K
MNE
143
DELISTED
Blackrock MUNI New York Intermediate Duration Fund, Inc.
MNE
$379K 0.17%
27,000
– –
CVC
144
DELISTED
CABLEVISION SYS CP NY GRP CL-A
CVC
$376K 0.16%
18,198
-3,253
-15% -$62K
HPI
145
John Hancock Preferred Income Fund
HPI
$428M
$374K 0.16%
18,300
+425
+2% +$8.68K
JNK icon
146
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$7.24B
$373K 0.16%
3,217
-397
-11% -$47.1K
CLX icon
147
Clorox
CLX
$11.6B
$372K 0.16%
3,571
-203
-5% -$20.3K
SOR
148
Source Capital
SOR
$369M
$344K 0.15%
4,815
-476
-9% -$32.3K
UNH icon
149
UnitedHealth
UNH
$382B
$344K 0.15%
3,401
-1,078
-24% -$102K
IJR icon
150
iShares Core S&P Small-Cap ETF
IJR
$109B
$342K 0.15%
5,994
-668
-10% -$36.5K
4 5
6
7 8

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LBC
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CAM
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BGM
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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 $60.6M 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 Technology at 8.3% of assets, up from 8.2% a quarter earlier, followed by Financials and Industrials.

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: 13,295 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.