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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
+4.8%
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
$245M
AUM Growth
+$125M
Cap. Flow
+$132M
Cap. Flow %
54.03%
Top 10 Hldgs %
27.24%
Holding
269
New
125
Increased
68
Reduced
62
Closed
10

Top Buys

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$13.2M
2
BTZ icon
BlackRock Credit Allocation Income Trust
BTZ
+$7.95M
3
FLC
Flaherty & Crumrine Total Return Fund
FLC
+$6.3M
4
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$5.06M
5
BND icon
Vanguard Total Bond Market
BND
+$4.66M

Top Sells

Rank Stock Value
1
GOOG icon
Alphabet (Google) Class C
GOOG
+$797K
2
DAL icon
Delta Air Lines
DAL
+$402K
3
UNH icon
UnitedHealth
UNH
+$389K
4
MSFT icon
Microsoft
MSFT
+$324K
5
CVX icon
Chevron
CVX
+$236K

Sector Composition

Rank Sector Weight
1 Technology 9.33%
2 Financials 6.1%
3 Industrials 5.42%
4 Consumer Discretionary 4.36%
5 Communication Services 4.07%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BGT icon
126
BlackRock Floating Rate Income Trust
BGT
$317M
$435K 0.18%
+34,801
New +$438K
KEY icon
127
KeyCorp
KEY
$25.2B
$433K 0.18%
32,848
-152
-0.5% -$1.99K
NEA icon
128
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.42B
$433K 0.18%
+31,250
New +$414K
ETN icon
129
Eaton
ETN
$156B
$430K 0.18%
+8,264
New +$448K
VIG icon
130
Vanguard Dividend Appreciation ETF
VIG
$110B
$426K 0.17%
5,477
-523
-9% -$40.8K
DIS icon
131
Walt Disney
DIS
$167B
$416K 0.17%
3,956
-44
-1% -$4.9K
MNDT
132
DELISTED
Mandiant, Inc. Common Stock
MNDT
$414K 0.17%
+19,980
New +$501K
VBR icon
133
Vanguard Small-Cap Value ETF
VBR
$36.8B
$412K 0.17%
4,169
+169
+4% +$17.2K
VGSH icon
134
Vanguard Short-Term Treasury ETF
VGSH
$29.3B
$412K 0.17%
+6,787
New +$414K
ABT icon
135
Abbott
ABT
$177B
$410K 0.17%
9,432
-568
-6% -$25.1K
MNE
136
DELISTED
Blackrock MUNI New York Intermediate Duration Fund, Inc.
MNE
$410K 0.17%
+27,000
New +$385K
NQS
137
DELISTED
NUVEEN SELECT QUALITY MUNI FD
NQS
$407K 0.17%
+28,933
New +$393K
OMER icon
138
Omeros
OMER
$697M
$406K 0.17%
25,798
+798
+3% +$11K
NMO
139
DELISTED
NUVEEN MUNI MARKET OPPORT FUND
NMO
$404K 0.16%
+29,300
New +$391K
JCI icon
140
Johnson Controls International
JCI
$85B
$403K 0.16%
9,738
-767
-7% -$34.7K
NKE icon
141
Nike
NKE
$64.5B
$387K 0.16%
6,195
+2,195
+55% +$142K
HD icon
142
Home Depot
HD
$332B
$386K 0.16%
2,920
+920
+46% +$117K
IBM icon
143
IBM
IBM
$200B
$372K 0.15%
2,827
+735
+35% +$98.7K
HPI
144
John Hancock Preferred Income Fund
HPI
$432M
$366K 0.15%
+18,300
New +$360K
VCSH icon
145
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
$366K 0.15%
+4,637
New +$368K
COLB icon
146
Columbia Banking Systems
COLB
$9.5B
$360K 0.15%
11,059
+59
+0.5% +$1.97K
DMO
147
Western Asset Mortgage Opportunity Fund
DMO
$122M
$355K 0.14%
+15,074
New +$361K
SLB icon
148
SLB Ltd
SLB
$69.4B
$345K 0.14%
4,944
-56
-1% -$4.19K
BRCM
149
DELISTED
BROADCOM CORP CL-A
BRCM
$342K 0.14%
5,915
-85
-1% -$4.58K
MMT
150
Aberdeen Multi-Market Income Fund
MMT
$244M
$339K 0.14%
+61,609
New +$350K
4 5
6
7 8

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VCM
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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 Q4 2015 Portfolio in Review

As of Q4 2015, NWAM LLC held 269 positions worth $245M, up 103% from $121M the previous quarter. Its ten largest holdings account for 27% of the portfolio.

NWAM LLC deployed $132M of net new capital in Q4 2015, opening 125 new positions and adding to 68 existing holdings. Its largest new stake was BlackRock Credit Allocation Income Trust: 644,864 shares worth $7.96M.

By sector, the portfolio is most concentrated in Technology at 9.3% of assets, down from 16% a quarter earlier, followed by Financials and Industrials.

On the sell side, the largest reduction was Alphabet (Google) Class C, an estimated $797K trimmed.

  • NWAM LLC's largest Q4 2015 buy was BlackRock Credit Allocation Income Trust: 644,864 shares worth $7.96M.
  • NWAM LLC added most to Alibaba in Q4 2015, an estimated $13.2M increase.
  • NWAM LLC's biggest Q4 2015 reduction was Alphabet (Google) Class C, cutting an estimated $797K.
  • NWAM LLC fully exited Delta Air Lines in Q4 2015, selling an estimated $402K.
  • NWAM LLC's ten largest holdings make up 27% of its $245M portfolio in Q4 2015.
  • NWAM LLC opened 125 new positions and closed 10 in Q4 2015.
  • NWAM LLC's portfolio value rose 103% quarter-over-quarter to $245M.

Based on NWAM LLC's 13F filing for Q4 2015, filed 12 Feb 2016.