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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
+10.07%
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
$606M
AUM Growth
-$108M
Cap. Flow
-$158M
Cap. Flow %
-26.11%
Top 10 Hldgs %
33.46%
Holding
446
New
26
Increased
70
Reduced
122
Closed
198

Top Buys

Rank Stock Value
1
VTIP icon
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
+$3.98M
2
SHOP icon
Shopify
SHOP
+$3.62M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.37M
4
ISTB icon
iShares Core 1-5 Year USD Bond ETF
ISTB
+$2.78M
5
MOS icon
The Mosaic Company
MOS
+$2.77M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$25.5M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.55M
3
GOVT icon
iShares US Treasury Bond ETF
GOVT
+$5.5M
4
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$4.62M
5
ESGU icon
iShares ESG Aware MSCI USA ETF
ESGU
+$3.63M

Sector Composition

Rank Sector Weight
1 Technology 18.93%
2 Consumer Discretionary 6.02%
3 Industrials 4.84%
4 Financials 4.11%
5 Healthcare 3.76%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IXUS icon
126
iShares Core MSCI Total International Stock ETF
IXUS
$57.7B
$1.05M 0.17%
18,029
+788
+5% +$45.9K
HYLD
127
DELISTED
High Yield ETF
HYLD
$1.01M 0.17%
33,521
-751
-2% -$22.3K
NEA icon
128
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.35B
$963K 0.16%
67,147
– –
FAX
129
abrdn Asia-Pacific Income Fund
FAX
$597M
$957K 0.16%
39,991
+725
+2% +$17.5K
VPL icon
130
Vanguard FTSE Pacific ETF
VPL
$8.06B
$938K 0.15%
13,787
-250
-2% -$16.7K
COMT icon
131
iShares GSCI Commodity Dynamic Roll Strategy ETF
COMT
$1.18B
$937K 0.15%
37,513
-2,909
-7% -$73K
SCHV
132
Schwab US Large-Cap Value ETF
SCHV
$15.8B
$873K 0.14%
50,199
-3,420
-6% -$59.8K
HPS
133
John Hancock Preferred Income Fund III
HPS
$457M
$868K 0.14%
54,326
-5,250
-9% -$85.5K
CSCO icon
134
Cisco
CSCO
$452B
$864K 0.14%
21,930
-39,808
-64% -$1.74M
AWF
135
AllianceBernstein Global High Income Fund
AWF
$868M
$851K 0.14%
80,957
+2,449
+3% +$26K
VWOB icon
136
Vanguard Emerging Markets Government Bond ETF
VWOB
$6.16B
$834K 0.14%
10,574
– –
ORCL icon
137
Oracle
ORCL
$345B
$827K 0.14%
13,845
-3,154
-19% -$179K
GILD icon
138
Gilead Sciences
GILD
$162B
$825K 0.14%
13,063
-4,382
-25% -$304K
CCL icon
139
Carnival Corporation Ltd
CCL
$37.1B
$806K 0.13%
53,095
+11,120
+26% +$172K
SCHF icon
140
Schwab International Equity ETF
SCHF
$65.9B
$799K 0.13%
50,876
– –
CNX icon
141
CNX Resources
CNX
$4.77B
$786K 0.13%
+83,245
New +$849K
FLIR
142
DELISTED
FLIR Systems, Inc. (DE) Common Stock
FLIR
$785K 0.13%
21,910
-14,969
-41% -$571K
BKK
143
DELISTED
Blackrock Municipal 2020 Term Trust
BKK
$776K 0.13%
51,612
-3,175
-6% -$47.7K
HASI icon
144
Hannon Armstrong Sustainable Infrastructure Capital
HASI
$4.91B
$757K 0.12%
17,908
-262
-1% -$9.78K
IFLN
145
Invesco Bloomberg Enhanced Fallen Angels ETF
IFLN
$308M
$735K 0.12%
39,638
+1
+0% +$19
BMY icon
146
Bristol-Myers Squibb
BMY
$128B
$732K 0.12%
12,138
-1,167
-9% -$70.2K
XPH icon
147
State Street SPDR S&P Pharmaceuticals ETF
XPH
$480M
$718K 0.12%
16,516
+1,165
+8% +$51K
PCN
148
PIMCO Corporate & Income Strategy Fund
PCN
$869M
$713K 0.12%
45,689
+667
+1% +$10.5K
ETRN
149
DELISTED
Equitrans Midstream Corporation Common Stock
ETRN
$708K 0.12%
83,674
-756
-0.9% -$7.39K
GGN
150
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$762M
$693K 0.11%
203,217
-5,349
-3% -$19.1K
4 5
6
7 8

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NWAM LLC's Q3 2020 Portfolio in Review

As of Q3 2020, NWAM LLC held 446 positions worth $606M, down 15% from $714M the previous quarter. Its ten largest holdings account for 33% of the portfolio.

NWAM LLC withdrew a net $158M in Q3 2020, closing 198 positions and reducing 122 holdings. Its most notable exit was iShares US Treasury Bond ETF, an estimated $5.5M position sold in full.

By sector, the portfolio is most concentrated in Technology at 19% of assets, up from 19% a quarter earlier, followed by Consumer Discretionary and Industrials.

Against the trend, NWAM LLC opened a new position in Vanguard Short-Term Inflation-Protected Securities Index Fund worth $4.01M.

  • NWAM LLC's largest Q3 2020 buy was Vanguard Short-Term Inflation-Protected Securities Index Fund: 78,539 shares worth $4.01M.
  • NWAM LLC added most to Shopify in Q3 2020, an estimated $3.62M increase.
  • NWAM LLC's biggest Q3 2020 reduction was Apple, cutting an estimated $25.5M.
  • NWAM LLC fully exited iShares US Treasury Bond ETF in Q3 2020, selling an estimated $5.5M.
  • NWAM LLC's ten largest holdings make up 33% of its $606M portfolio in Q3 2020.
  • NWAM LLC opened 26 new positions and closed 198 in Q3 2020.
  • NWAM LLC's portfolio value fell 15% quarter-over-quarter to $606M.

Based on NWAM LLC's 13F filing for Q3 2020, filed 16 Oct 2020.