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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
+7.47%
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
$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
EPC icon
176
Edgewell Personal Care
EPC
$1.27B
$12K 0.01%
83,768
-128,231
-60% -$9.76M
HTM
177
DELISTED
U.S. Geothermal Inc.
HTM
$6K ﹤0.01%
+2,500
New +$6.25K
LGL icon
178
LGL Group
LGL
$44.3M
$1K ﹤0.01%
+33,548
New +$70K
AA icon
179
Alcoa
AA
$11.7B
– –
-4,418
Closed -$86K
ABBV icon
180
AbbVie
ABBV
$458B
– –
-5,403
Closed -$242K
AWF
181
AllianceBernstein Global High Income Fund
AWF
$867M
– –
-108,604
Closed -$1.63M
BCE icon
182
BCE
BCE
$19.9B
– –
-5,340
Closed -$235K
CLF icon
183
Cleveland-Cliffs
CLF
$6.81B
– –
-65,139
Closed -$453K
CMS icon
184
CMS Energy
CMS
$23.1B
– –
-7,774
Closed -$205K
CSX icon
185
CSX Corp
CSX
$98.6B
– –
-25,746
Closed -$221K
DHX icon
186
DHI Group
DHX
$166M
– –
-11,501
Closed -$98K
EGY icon
187
Vaalco Energy
EGY
$594M
– –
-12,041
Closed -$67K
FCX icon
188
Freeport-McMoran
FCX
$90B
– –
-16,905
Closed -$559K
GDV icon
189
Gabelli Dividend & Income Trust
GDV
$2.6B
– –
-13,685
Closed -$258K
GILD icon
190
Gilead Sciences
GILD
$161B
– –
-3,494
Closed -$220K
GM icon
191
General Motors
GM
$74.7B
– –
-6,914
Closed -$249K
HD icon
192
Home Depot
HD
$332B
– –
-2,841
Closed -$216K
HON icon
193
Honeywell
HON
$77.1B
– –
-4,911
Closed -$366K
HUM icon
194
Humana
HUM
$46.7B
– –
-2,667
Closed -$249K
ITRI icon
195
Itron
ITRI
$3.73B
– –
-5,373
Closed -$230K
KMB icon
196
Kimberly-Clark
KMB
$36.4B
– –
-2,217
Closed -$200K
KO icon
197
Coca-Cola
KO
$354B
– –
-5,569
Closed -$211K
LLY icon
198
Eli Lilly
LLY
$1.07T
– –
-5,776
Closed -$291K
LOW icon
199
Lowe's Companies
LOW
$116B
– –
-5,610
Closed -$267K
MAS icon
200
Masco
MAS
$16B
– –
-11,645
Closed -$218K
5 6 7
8
9

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MYAM
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LBC
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C
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CAM
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SC
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BGM
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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.