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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
+2.22%
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
$291M
AUM Growth
+$102M
Cap. Flow
+$119M
Cap. Flow %
41.06%
Top 10 Hldgs %
23.13%
Holding
299
New
121
Increased
110
Reduced
35
Closed
30

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$21.9M
2
BTZ icon
BlackRock Credit Allocation Income Trust
BTZ
+$6M
3
ERC
Allspring Multi-Sector Income Fund
ERC
+$5.29M
4
FLC
Flaherty & Crumrine Total Return Fund
FLC
+$5.22M
5
RSP icon
Invesco S&P 500 Equal Weight ETF
RSP
+$3.36M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$2.45M
2
DLS icon
WisdomTree International SmallCap Dividend Fund
DLS
+$2.21M
3
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$2.16M
4
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$2.15M
5
IJT icon
iShares S&P Small-Cap 600 Growth ETF
IJT
+$2M

Sector Composition

Rank Sector Weight
1 Technology 10.58%
2 Financials 8.79%
3 Industrials 6.42%
4 Consumer Discretionary 5.25%
5 Healthcare 5.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ARCC icon
176
Ares Capital
ARCC
$13.5B
$309K 0.11%
17,552
-639
-4% -$11.4K
RTX icon
177
RTX Corp
RTX
$287B
$308K 0.11%
+4,187
New +$301K
EQNR icon
178
Equinor
EQNR
$95.9B
$307K 0.11%
+10,880
New +$281K
BIDU icon
179
Baidu
BIDU
$35.8B
$305K 0.1%
2,004
+337
+20% +$56.4K
PTY icon
180
PIMCO Corporate & Income Opportunity Fund
PTY
$2.48B
$301K 0.1%
16,640
-660
-4% -$12.1K
IXJ icon
181
iShares Global Healthcare ETF
IXJ
$4.11B
$289K 0.1%
+6,356
New +$284K
KMI icon
182
Kinder Morgan
KMI
$73.1B
$286K 0.1%
+8,811
New +$295K
MFA
183
MFA Financial
MFA
$929M
$286K 0.1%
+9,222
New +$277K
BRCM
184
DELISTED
BROADCOM CORP CL-A
BRCM
$285K 0.1%
9,054
-883
-9% -$26.6K
GLW icon
185
Corning
GLW
$126B
$283K 0.1%
+13,606
New +$256K
PARA
186
DELISTED
Paramount Global Class B
PARA
$282K 0.1%
+4,563
New +$288K
SPE
187
Special Opportunities Fund
SPE
$140M
$282K 0.1%
+18,182
New +$285K
GGB icon
188
Gerdau
GGB
$9.44B
$276K 0.09%
+54,185
New +$288K
PEP icon
189
PepsiCo
PEP
$186B
$275K 0.09%
+3,291
New +$267K
SNY icon
190
Sanofi
SNY
$104B
$275K 0.09%
5,255
-2,286
-30% -$116K
MDT icon
191
Medtronic
MDT
$107B
$274K 0.09%
+4,459
New +$260K
NBH
192
Neuberger Municipal Fund Inc
NBH
$304M
$274K 0.09%
+18,916
New +$273K
LUV icon
193
Southwest Airlines
LUV
$22.1B
$272K 0.09%
+11,524
New +$252K
VGSH icon
194
Vanguard Short-Term Treasury ETF
VGSH
$29.3B
$271K 0.09%
+4,460
New +$272K
HYG icon
195
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$16.3B
$270K 0.09%
2,859
-23,064
-89% -$2.16M
MU icon
196
Micron Technology
MU
$1.04T
$270K 0.09%
+11,415
New +$271K
SBI
197
Western Asset Intermediate Muni Fund
SBI
$109M
$269K 0.09%
+28,219
New +$266K
STJ
198
DELISTED
St Jude Medical
STJ
$269K 0.09%
+4,110
New +$268K
CMS icon
199
CMS Energy
CMS
$23.1B
$268K 0.09%
+9,162
New +$254K
SNOA icon
200
Sonoma Pharmaceuticals
SNOA
$5.46M
$266K 0.09%
+78
New +$265K
6 7
8
9 10

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NWAM LLC's Q1 2014 Portfolio in Review

As of Q1 2014, NWAM LLC held 299 positions worth $291M, up 54% from $188M the previous quarter. Its ten largest holdings account for 23% of the portfolio.

NWAM LLC deployed $119M of net new capital in Q1 2014, opening 121 new positions and adding to 110 existing holdings. Its largest new stake was BlackRock Credit Allocation Income Trust: 453,690 shares worth $6.13M.

By sector, the portfolio is most concentrated in Technology at 11% of assets, down from 11% a quarter earlier, followed by Financials and Industrials.

On the sell side, the largest reduction was Invesco QQQ Trust, an estimated $2.45M trimmed.

  • NWAM LLC's largest Q1 2014 buy was BlackRock Credit Allocation Income Trust: 453,690 shares worth $6.13M.
  • NWAM LLC added most to Apple in Q1 2014, an estimated $21.9M increase.
  • NWAM LLC's biggest Q1 2014 reduction was Invesco QQQ Trust, cutting an estimated $2.45M.
  • NWAM LLC fully exited WisdomTree International SmallCap Dividend Fund in Q1 2014, selling an estimated $2.21M.
  • NWAM LLC's ten largest holdings make up 23% of its $291M portfolio in Q1 2014.
  • NWAM LLC opened 121 new positions and closed 30 in Q1 2014.
  • NWAM LLC's portfolio value rose 54% quarter-over-quarter to $291M.

Based on NWAM LLC's 13F filing for Q1 2014, filed 9 Sep 2016.