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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
KMI icon
151
Kinder Morgan
KMI
$72.8B
$445K 0.15%
21,485
+3,269
+18% +$69.1K
OMER icon
152
Omeros
OMER
$690M
$442K 0.15%
44,558
+21,165
+90% +$216K
ETN icon
153
Eaton
ETN
$156B
$441K 0.15%
6,579
-387
-6% -$25.4K
WFC icon
154
Wells Fargo
WFC
$262B
$439K 0.15%
7,961
-1,980
-20% -$99.6K
EPD icon
155
Enterprise Products Partners
EPD
$84B
$437K 0.15%
16,164
-330
-2% -$8.6K
CLX icon
156
Clorox
CLX
$11.6B
$430K 0.14%
3,583
-417
-10% -$49.2K
MFA
157
MFA Financial
MFA
$942M
$430K 0.14%
14,081
-2,675
-16% -$80.3K
UNH icon
158
UnitedHealth
UNH
$384B
$424K 0.14%
2,651
-6
-0.2% -$896
GPP
159
DELISTED
Green Plains Partners LP
GPP
$423K 0.14%
+21,340
New +$407K
SCHP icon
160
Schwab US TIPS ETF
SCHP
$16.4B
$417K 0.14%
15,202
+2,080
+16% +$58K
AXP icon
161
American Express
AXP
$241B
$413K 0.14%
5,569
-695
-11% -$48.1K
MMT
162
Aberdeen Multi-Market Income Fund
MMT
$243M
$410K 0.14%
67,656
+350
+0.5% +$2.08K
GGB icon
163
Gerdau
GGB
$9.13B
$403K 0.13%
161,527
-14,637
-8% -$39.9K
DSL
164
DoubleLine Income Solutions Fund
DSL
$1.22B
$398K 0.13%
20,940
-2,433
-10% -$45.2K
RDS.B
165
DELISTED
Royal Dutch Shell PLC ADS Class B
RDS.B
$397K 0.13%
+6,855
New +$375K
SCHV
166
Schwab US Large-Cap Value ETF
SCHV
$15.5B
$396K 0.13%
24,720
-1,815
-7% -$28.1K
JCI icon
167
Johnson Controls International
JCI
$85.3B
$391K 0.13%
9,493
-71
-0.7% -$3.11K
COP icon
168
ConocoPhillips
COP
$142B
$390K 0.13%
7,788
-565
-7% -$26.1K
VGSH icon
169
Vanguard Short-Term Treasury ETF
VGSH
$29.3B
$390K 0.13%
6,406
-110
-2% -$6.7K
IWB icon
170
iShares Russell 1000 ETF
IWB
$48.1B
$389K 0.13%
+3,126
New +$380K
TEVA icon
171
Teva Pharmaceuticals
TEVA
$36.3B
$377K 0.13%
+10,406
New +$415K
MA icon
172
Mastercard
MA
$483B
$376K 0.12%
3,637
-216
-6% -$22.4K
IJJ icon
173
iShares S&P Mid-Cap 400 Value ETF
IJJ
$8.78B
$367K 0.12%
5,058
– –
BHK icon
174
BlackRock Core Bond Trust
BHK
$657M
$366K 0.12%
28,150
– –
MNE
175
DELISTED
Blackrock MUNI New York Intermediate Duration Fund, Inc.
MNE
$366K 0.12%
27,000
– –
5 6
7
8 9

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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 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.