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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
+7.47%
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
$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
COLB icon
151
Columbia Banking Systems
COLB
$9.5B
$205K 0.11%
7,442
-1,566
-17% -$41K
PM icon
152
Philip Morris
PM
$300B
$203K 0.11%
2,332
-4,220
-64% -$369K
SFL icon
153
SFL Corp
SFL
$1.49B
$202K 0.11%
12,318
-3,654
-23% -$59.6K
BDJ icon
154
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.69B
$201K 0.11%
25,280
-5,959
-19% -$46.1K
TSN icon
155
Tyson Foods
TSN
$20.4B
$201K 0.11%
6,016
-10,241
-63% -$312K
FLG
156
Flagstar Bank National Association
FLG
$6.19B
$191K 0.1%
3,783
-436
-10% -$21.1K
NMFC icon
157
New Mountain Finance
NMFC
$661M
$190K 0.1%
+12,600
New +$184K
RBBN icon
158
Ribbon Communications
RBBN
$372M
$187K 0.1%
11,880
+9,659
+435% +$149K
ACAS
159
DELISTED
American Capital Ltd
ACAS
$182K 0.1%
11,657
-1,602
-12% -$23.2K
PMM
160
Franklin Managed Municipal Income Trust
PMM
$281M
$162K 0.09%
24,400
+713
+3% +$4.75K
ANR
161
DELISTED
Alpha Natural Resources Inc
ANR
$155K 0.08%
21,691
-6,691
-24% -$45.2K
CIMT
162
DELISTED
CIMATRON LTD ORD SHS
CIMT
$149K 0.08%
16,525
-12,304
-43% -$85.9K
GGN
163
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$745M
$144K 0.08%
16,000
+2,773
+21% +$27.4K
RVLT
164
DELISTED
Revolution Lighting Technologies, Inc. - Class A
RVLT
$141K 0.07%
+4,110
New +$135K
EAD
165
Allspring Income Opportunities Fund
EAD
$377M
$133K 0.07%
14,485
-290
-2% -$2.62K
NAN icon
166
Nuveen New York Quality Municipal Income Fund
NAN
$381M
$131K 0.07%
+13,025
New +$165K
CSQ icon
167
Calamos Strategic Total Return Fund
CSQ
$3.25B
$129K 0.07%
11,819
-1,052
-8% -$11.1K
NGX
168
DELISTED
NUVEEN MASS AMT-FREE MUNI INC FD
NGX
$117K 0.06%
11,700
-23
-0.2% -$276
UQM
169
DELISTED
UQM Technologies, Inc.
UQM
$105K 0.06%
48,913
-16,067
-25% -$29.7K
LEO
170
BNY Mellon Strategic Municipals
LEO
$397M
$99K 0.05%
13,000
+254
+2% +$1.96K
FXEN
171
DELISTED
FX ENERGY INC
FXEN
$59K 0.03%
16,000
– –
WIN
172
DELISTED
Windstream Holdings Inc
WIN
$56K 0.03%
1,279
-3,216
-72% -$208K
AMD icon
173
Advanced Micro Devices
AMD
$821B
$39K 0.02%
10,090
-158
-2% -$567
PZG icon
174
Paramount Gold Nevada
PZG
$96.9M
$28K 0.01%
+30,000
New +$34.7K
UWN
175
DELISTED
Nevada Gold & Casinos, Ltd.
UWN
$23K 0.01%
17,000
-5,181
-23% -$5.51K
5 6
7
8 9

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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.