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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
DIA icon
151
CALL
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$45.5B
$690K 0.11%
+2,300
New +$628K
QQQ icon
152
CALL
Invesco QQQ Trust
QQQ
$449B
$680K 0.11%
+2,300
New +$624K
VXUS icon
153
Vanguard Total International Stock ETF
VXUS
$153B
$666K 0.11%
12,771
+175
+1% +$9.18K
CAH icon
154
Cardinal Health
CAH
$53.7B
$651K 0.11%
+13,869
New +$712K
DXJ icon
155
WisdomTree Japan Hedged Equity Fund
DXJ
$7.23B
$626K 0.1%
+12,772
New +$613K
EWU icon
156
iShares MSCI United Kingdom ETF
EWU
$4.05B
$622K 0.1%
+24,417
New +$643K
PARA
157
DELISTED
Paramount Global Class B
PARA
$602K 0.1%
21,495
+4,271
+25% +$114K
DOW icon
158
Dow Inc
DOW
$20.8B
$600K 0.1%
12,756
+17
+0.1% +$764
NLY icon
159
Annaly Capital Management
NLY
$16.9B
$592K 0.1%
20,784
+326
+2% +$9.44K
KO icon
160
Coca-Cola
KO
$362B
$574K 0.09%
11,625
+505
+5% +$24.3K
HMLP
161
DELISTED
HOEGH LNG PARTNERS LP
HMLP
$564K 0.09%
53,147
-9,036
-15% -$95.4K
ET icon
162
Energy Transfer Partners
ET
$68.5B
$549K 0.09%
101,368
-16,859
-14% -$107K
IAU icon
163
iShares Gold Trust
IAU
$63.4B
$525K 0.09%
14,580
-16,571
-53% -$605K
NAD icon
164
Nuveen Quality Municipal Income Fund
NAD
$2.72B
$519K 0.09%
35,729
– –
MO icon
165
Altria Group
MO
$122B
$508K 0.08%
13,150
+873
+7% +$36.3K
BOH icon
166
Bank of Hawaii
BOH
$3.17B
$505K 0.08%
10,000
– –
EMD
167
Western Asset Emerging Markets Debt Fund
EMD
$614M
$496K 0.08%
40,267
-1,788
-4% -$23K
FREL icon
168
Fidelity MSCI Real Estate Index ETF
FREL
$1.52B
$493K 0.08%
20,982
+1,595
+8% +$38.1K
SMMV icon
169
iShares MSCI USA Small-Cap Min Vol Factor ETF
SMMV
$289M
$493K 0.08%
16,886
-1,117
-6% -$33.4K
B
170
Barrick Mining
B
$62.6B
$490K 0.08%
17,444
-7,437
-30% -$212K
PTY icon
171
PIMCO Corporate & Income Opportunity Fund
PTY
$2.47B
$488K 0.08%
30,250
+2,700
+10% +$42.8K
SRC
172
DELISTED
SPIRIT REALTY CAPITAL, INC.
SRC
$482K 0.08%
14,286
-1,267
-8% -$44.2K
JQC icon
173
Nuveen Credit Strategies Income Fund
JQC
$702M
$478K 0.08%
80,930
– –
JRI icon
174
Nuveen Real Asset Income & Growth Fund
JRI
$354M
$467K 0.08%
38,721
-28,956
-43% -$351K
QDF icon
175
FlexShares Quality Dividend Index Fund
QDF
$2.22B
$460K 0.08%
10,302
-764
-7% -$34.2K
5 6
7
8 9

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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.