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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
+3.04%
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
$301M
AUM Growth
-$1.02B
Cap. Flow
-$953M
Cap. Flow %
-315.99%
Top 10 Hldgs %
24.89%
Holding
316
New
36
Increased
102
Reduced
121
Closed
29

Top Buys

Rank Stock Value
1
FLC
Flaherty & Crumrine Total Return Fund
FLC
+$6.05M
2
DRA
Diversified Real Asset Income Fd
DRA
+$1.74M
3
AMZN icon
Amazon
AMZN
+$1.17M
4
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$1.06M
5
SDY icon
State Street SPDR S&P Dividend ETF
SDY
+$1.02M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$8.18M
2
RSP icon
Invesco S&P 500 Equal Weight ETF
RSP
+$1.37M
3
PGX icon
Invesco Preferred ETF
PGX
+$1.19M
4
PG icon
Procter & Gamble
PG
+$1.06M
5
ENBL
ENABLE MIDSTREAM PARTNERS, LP
ENBL
+$1.02M

Sector Composition

Rank Sector Weight
1 Financials 7.5%
2 Technology 6.3%
3 Industrials 4.75%
4 Communication Services 4.63%
5 Energy 4.61%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
F icon
126
Ford
F
$56.2B
$580K 0.19%
47,843
+1,917
+4% +$23.3K
KEY icon
127
KeyCorp
KEY
$25.3B
$575K 0.19%
31,474
-246
-0.8% -$3.88K
V icon
128
Visa
V
$689B
$563K 0.19%
7,216
+2,993
+71% +$241K
ISCV icon
129
iShares Morningstar Small-Cap Value ETF
ISCV
$687M
$526K 0.17%
11,049
+2,979
+37% +$134K
DD
130
DELISTED
Du Pont De Nemours E I
DD
$525K 0.17%
7,148
-88
-1% -$6.25K
NVG icon
131
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.72B
$522K 0.17%
36,115
-2,005
-5% -$29.3K
IBM icon
132
IBM
IBM
$198B
$518K 0.17%
3,262
+144
+5% +$21.9K
NZF icon
133
Nuveen Municipal Credit Income Fund
NZF
$2.45B
$518K 0.17%
36,645
– –
SNLN
134
DELISTED
Highland/iBoxx Senior Loan ETF
SNLN
$514K 0.17%
27,400
+2,700
+11% +$50.3K
IXJ icon
135
iShares Global Healthcare ETF
IXJ
$4.06B
$500K 0.17%
10,550
+8
+0.1% +$384
MUI
136
DELISTED
BlackRock Municipal Income Fund, Inc.
MUI
$500K 0.17%
36,200
– –
COLB icon
137
Columbia Banking Systems
COLB
$9.52B
$497K 0.16%
11,120
+874
+9% +$33K
ORCL icon
138
Oracle
ORCL
$352B
$483K 0.16%
12,568
+2,018
+19% +$78.9K
SBS icon
139
Sabesp
SBS
$20.3B
$478K 0.16%
283,789
-17,532
-6% -$30.8K
ORC
140
Orchid Island Capital
ORC
$1.36B
$477K 0.16%
+8,816
New +$470K
PARA
141
DELISTED
Paramount Global Class B
PARA
$474K 0.16%
7,450
-1,920
-20% -$114K
EFX icon
142
Equifax
EFX
$21.4B
$473K 0.16%
4,000
– –
BGT icon
143
BlackRock Floating Rate Income Trust
BGT
$317M
$470K 0.16%
33,350
+89
+0.3% +$1.22K
NFLX icon
144
Netflix
NFLX
$286B
$469K 0.16%
37,920
-2,500
-6% -$29.6K
BMO icon
145
Bank of Montreal
BMO
$126B
$467K 0.15%
6,494
-125
-2% -$8.34K
KG
146
Kestrel Group
KG
$72.4M
$465K 0.15%
1,333
-39
-3% -$12K
VSS icon
147
Vanguard FTSE All-World ex-US Small-Cap Index Fund
VSS
$11.2B
$462K 0.15%
4,910
+1,464
+42% +$140K
FAM
148
DELISTED
First Trust/abrdn Global Opportunity Income Fund
FAM
$462K 0.15%
41,416
-2,000
-5% -$22.3K
PID icon
149
Invesco International Dividend Achievers ETF
PID
$915M
$455K 0.15%
+31,590
New +$454K
VCSH icon
150
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.8B
$450K 0.15%
5,667
+911
+19% +$72.7K
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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NWAM LLC's Q4 2016 Portfolio in Review

As of Q4 2016, NWAM LLC held 316 positions worth $301M, down 77% from $1.32B the previous quarter. Its ten largest holdings account for 25% of the portfolio.

NWAM LLC withdrew a net $953M in Q4 2016, closing 29 positions and reducing 121 holdings. Its most notable exit was Apple, an estimated $8.18M position sold in full.

By sector, the portfolio is most concentrated in Financials at 7.5% of assets, up from 1.3% a quarter earlier, followed by Technology and Industrials.

Against the trend, NWAM LLC opened a new position in Flaherty & Crumrine Total Return Fund worth $5.95M.

  • NWAM LLC's largest Q4 2016 buy was Flaherty & Crumrine Total Return Fund: 299,205 shares worth $5.95M.
  • NWAM LLC added most to Amazon in Q4 2016, an estimated $1.17M increase.
  • NWAM LLC's biggest Q4 2016 reduction was Invesco S&P 500 Equal Weight ETF, cutting an estimated $1.37M.
  • NWAM LLC fully exited Apple in Q4 2016, selling an estimated $8.18M.
  • NWAM LLC's ten largest holdings make up 25% of its $301M portfolio in Q4 2016.
  • NWAM LLC opened 36 new positions and closed 29 in Q4 2016.
  • NWAM LLC's portfolio value fell 77% quarter-over-quarter to $301M.

Based on NWAM LLC's 13F filing for Q4 2016, filed 2 Feb 2017.