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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
DMO
151
Western Asset Mortgage Opportunity Fund
DMO
$119M
$340K 0.15%
14,274
– –
DIS icon
152
Walt Disney
DIS
$165B
$326K 0.14%
3,456
-1,011
-23% -$91.1K
BMO icon
153
Bank of Montreal
BMO
$125B
$323K 0.14%
4,560
-1,940
-30% -$139K
EFX icon
154
Equifax
EFX
$20.3B
$323K 0.14%
4,000
-328
-8% -$25.4K
EQNR icon
155
Equinor
EQNR
$95.9B
$320K 0.14%
18,180
+3,297
+22% +$70.3K
NKE icon
156
Nike
NKE
$61.9B
$320K 0.14%
6,660
-8,330
-56% -$391K
ARCC icon
157
Ares Capital
ARCC
$13.5B
$314K 0.14%
20,104
+209
+1% +$3.33K
BKD icon
158
Brookdale Senior Living
BKD
$3.62B
$314K 0.14%
8,550
-1,181
-12% -$40K
IJR icon
159
CALL
iShares Core S&P Small-Cap ETF
IJR
$109B
$311K 0.14%
+5,400
New +$295K
TRQ
160
DELISTED
Turquoise Hill Resources Ltd
TRQ
$308K 0.13%
9,944
– –
COLB icon
161
Columbia Banking Systems
COLB
$9.02B
$305K 0.13%
11,059
-4,377
-28% -$118K
PTY icon
162
PIMCO Corporate & Income Opportunity Fund
PTY
$2.48B
$301K 0.13%
18,900
+1,285
+7% +$22.8K
MU icon
163
Micron Technology
MU
$1.04T
$300K 0.13%
8,565
-1,632
-16% -$54K
EXEL icon
164
CALL
Exelixis
EXEL
$13.9B
$291K 0.13%
+37,000
New +$57.7K
IXJ icon
165
iShares Global Healthcare ETF
IXJ
$4.11B
$289K 0.13%
5,814
-110
-2% -$5.47K
IWP icon
166
iShares Russell Mid-Cap Growth ETF
IWP
$20B
$282K 0.12%
6,054
-5,154
-46% -$233K
BRCM
167
DELISTED
BROADCOM CORP CL-A
BRCM
$278K 0.12%
6,425
-585
-8% -$24K
AFL icon
168
Aflac
AFL
$63.9B
$275K 0.12%
9,006
-1,950
-18% -$57.6K
GSK icon
169
GSK
GSK
$103B
$275K 0.12%
5,153
-498
-9% -$27.9K
PM icon
170
Philip Morris
PM
$301B
$273K 0.12%
3,352
-21,577
-87% -$1.85M
RIG icon
171
Transocean
RIG
$5.92B
$272K 0.12%
14,822
+4,904
+49% +$123K
ONIT
172
Onity Group
ONIT
$333M
$271K 0.12%
+1,198
New +$390K
MLCO icon
173
Melco Resorts & Entertainment
MLCO
$2.1B
$270K 0.12%
+10,645
New +$266K
EVG
174
Eaton Vance Short Duration Diversified Income Fund
EVG
$142M
$267K 0.12%
+18,886
New +$272K
SPE
175
Special Opportunities Fund
SPE
$140M
$267K 0.12%
18,182
– –
5 6
7
8 9

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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.