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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
+3.76%
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
$385M
AUM Growth
-$190M
Cap. Flow
-$201M
Cap. Flow %
-52.36%
Top 10 Hldgs %
24.13%
Holding
349
New
27
Increased
171
Reduced
79
Closed
22

Top Buys

Rank Stock Value
1
USB icon
US Bancorp
USB
+$2.98M
2
JRI icon
Nuveen Real Asset Income & Growth Fund
JRI
+$2.18M
3
PG icon
Procter & Gamble
PG
+$1.3M
4
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$876K
5
IVW icon
iShares S&P 500 Growth ETF
IVW
+$601K

Top Sells

Rank Stock Value
1
DRA
Diversified Real Asset Income Fd
DRA
+$1.87M
2
MSFT icon
Microsoft
MSFT
+$692K
3
BND icon
Vanguard Total Bond Market
BND
+$637K
4
DD
Du Pont De Nemours E I
DD
+$578K
5
VYM icon
Vanguard High Dividend Yield ETF
VYM
+$464K

Sector Composition

Rank Sector Weight
1 Technology 8.81%
2 Financials 7.29%
3 Industrials 5.21%
4 Healthcare 4.28%
5 Consumer Discretionary 4.01%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IJT icon
151
iShares S&P Small-Cap 600 Growth ETF
IJT
$8.24B
$565K 0.15%
6,870
+3,120
+83% +$243K
PEP icon
152
PepsiCo
PEP
$185B
$563K 0.15%
5,052
+912
+22% +$105K
GGN
153
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$745M
$552K 0.14%
98,377
+43,727
+80% +$244K
WM icon
154
Waste Management
WM
$96B
$549K 0.14%
7,016
+918
+15% +$69.8K
CLX icon
155
Clorox
CLX
$11.6B
$542K 0.14%
4,112
+453
+12% +$60.9K
F icon
156
Ford
F
$55.7B
$542K 0.14%
45,306
+7,032
+18% +$79.3K
BMO icon
157
Bank of Montreal
BMO
$125B
$534K 0.14%
7,050
– –
EPD icon
158
Enterprise Products Partners
EPD
$83.9B
$532K 0.14%
20,399
+2
+0% +$53
UNH icon
159
UnitedHealth
UNH
$383B
$518K 0.13%
2,644
+193
+8% +$37.3K
KYN icon
160
Kayne Anderson Energy Infrastructure Fund
KYN
$2.5B
$513K 0.13%
28,209
+6,419
+29% +$115K
MUI
161
DELISTED
BlackRock Municipal Income Fund, Inc.
MUI
$513K 0.13%
36,200
– –
WFC icon
162
Wells Fargo
WFC
$261B
$511K 0.13%
9,263
-397
-4% -$21.1K
VSS icon
163
Vanguard FTSE All-World ex-US Small-Cap Index Fund
VSS
$11.2B
$506K 0.13%
4,401
-1,280
-23% -$143K
IVOG icon
164
Vanguard S&P Mid-Cap 400 Growth ETF
IVOG
$1.62B
$488K 0.13%
7,778
+182
+2% +$11.1K
MNE
165
DELISTED
Blackrock MUNI New York Intermediate Duration Fund, Inc.
MNE
$480K 0.12%
34,300
– –
HPI
166
John Hancock Preferred Income Fund
HPI
$432M
$479K 0.12%
21,842
+850
+4% +$18.6K
MO icon
167
Altria Group
MO
$125B
$477K 0.12%
7,517
-143
-2% -$9.53K
ABBV icon
168
AbbVie
ABBV
$448B
$472K 0.12%
5,311
+776
+17% +$59.1K
MMT
169
Aberdeen Multi-Market Income Fund
MMT
$244M
$469K 0.12%
75,213
+358
+0.5% +$2.22K
WMT icon
170
Walmart Inc
WMT
$893B
$468K 0.12%
17,949
+1,119
+7% +$29.4K
TFI icon
171
State Street SPDR Nuveen ICE Municipal Bond ETF
TFI
$3.08B
$464K 0.12%
9,477
– –
COLB icon
172
Columbia Banking Systems
COLB
$9.5B
$463K 0.12%
11,006
-122
-1% -$4.72K
GPP
173
DELISTED
Green Plains Partners LP
GPP
$461K 0.12%
22,957
+1,567
+7% +$30K
KO icon
174
Coca-Cola
KO
$353B
$460K 0.12%
10,218
-293
-3% -$13.3K
SCHP icon
175
Schwab US TIPS ETF
SCHP
$16.4B
$458K 0.12%
16,588
+832
+5% +$23K
5 6
7
8 9

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MCWS
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VCM
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PAIM
Punch & Associates Investment Management Edina, Minnesota $1.73B AUM 27.65% 1-Year Est. Return
RIA
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SFI
Siemens Fonds Invest Munich, Germany $1.75B AUM 26.24% 1-Year Est. Return
MAM
Meeder Asset Management Dublin, Ohio $1.75B AUM 34.85% 1-Year Est. Return
GAM
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DF
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NWAM LLC's Q3 2017 Portfolio in Review

As of Q3 2017, NWAM LLC held 349 positions worth $385M, down 33% from $575M the previous quarter. Its ten largest holdings account for 24% of the portfolio.

NWAM LLC withdrew a net $201M in Q3 2017, closing 22 positions and reducing 79 holdings. Its most notable exit was Diversified Real Asset Income Fd, an estimated $1.87M position sold in full.

By sector, the portfolio is most concentrated in Technology at 8.8% of assets, up from 5.4% a quarter earlier, followed by Financials and Industrials.

Against the trend, NWAM LLC opened a new position in Nuveen Real Asset Income & Growth Fund worth $2.18M.

  • NWAM LLC's largest Q3 2017 buy was Nuveen Real Asset Income & Growth Fund: 120,909 shares worth $2.18M.
  • NWAM LLC added most to US Bancorp in Q3 2017, an estimated $2.98M increase.
  • NWAM LLC's biggest Q3 2017 reduction was Microsoft, cutting an estimated $692K.
  • NWAM LLC fully exited Diversified Real Asset Income Fd in Q3 2017, selling an estimated $1.87M.
  • NWAM LLC's ten largest holdings make up 24% of its $385M portfolio in Q3 2017.
  • NWAM LLC opened 27 new positions and closed 22 in Q3 2017.
  • NWAM LLC's portfolio value fell 33% quarter-over-quarter to $385M.

Based on NWAM LLC's 13F filing for Q3 2017, filed 1 Nov 2017.