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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
-1.19%
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
$281M
AUM Growth
-$40.6M
Cap. Flow
-$30.8M
Cap. Flow %
-10.95%
Top 10 Hldgs %
24.08%
Holding
324
New
24
Increased
147
Reduced
106
Closed
28

Top Buys

Rank Stock Value
1
SBUX icon
Starbucks
SBUX
+$4.72M
2
BBLU
BLUE EARTH, INC. COMMON STOCK
BBLU
+$1.85M
3
DRA
Diversified Real Asset Income Fd
DRA
+$1.77M
4
RDS.B
Royal Dutch Shell PLC ADS Class B
RDS.B
+$1.31M
5
MZF
Managed Duration Inv Grd Muni Fd
MZF
+$1.18M

Top Sells

Rank Stock Value
1
MSFT icon
Microsoft
MSFT
+$5.31M
2
BAC icon
Bank of America
BAC
+$3.26M
3
INTC icon
Intel
INTC
+$2.82M
4
O icon
Realty Income
O
+$2.36M
5
APU
AmeriGas Partners, L.P.
APU
+$2.18M

Sector Composition

Rank Sector Weight
1 Technology 8.17%
2 Financials 6.7%
3 Energy 5.79%
4 Industrials 5.51%
5 Consumer Staples 5.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
KMI icon
176
Kinder Morgan
KMI
$73.1B
$348K 0.12%
9,069
+668
+8% +$25.4K
IJR icon
177
iShares Core S&P Small-Cap ETF
IJR
$109B
$347K 0.12%
6,662
+1,978
+42% +$108K
SOR
178
Source Capital
SOR
$369M
$344K 0.12%
5,291
+378
+8% +$25.7K
ESRX
179
DELISTED
Express Scripts Holding Company
ESRX
$344K 0.12%
4,871
-190
-4% -$13.5K
DMO
180
Western Asset Mortgage Opportunity Fund
DMO
$119M
$343K 0.12%
14,274
– –
UPS icon
181
United Parcel Service
UPS
$97.6B
$339K 0.12%
3,448
+69
+2% +$6.86K
CAT icon
182
Caterpillar
CAT
$409B
$328K 0.12%
3,312
+21
+0.6% +$2.23K
GSK icon
183
GSK
GSK
$103B
$325K 0.12%
5,651
+621
+12% +$38.1K
EFX icon
184
Equifax
EFX
$20.3B
$323K 0.12%
4,328
-131
-3% -$9.98K
ARCC icon
185
Ares Capital
ARCC
$13.5B
$321K 0.11%
19,895
+895
+5% +$15.1K
AFL icon
186
Aflac
AFL
$63.9B
$319K 0.11%
10,956
+590
+6% +$18K
ORCL icon
187
Oracle
ORCL
$331B
$317K 0.11%
8,282
-1,536
-16% -$62.2K
RIG icon
188
Transocean
RIG
$5.92B
$317K 0.11%
9,918
+2,620
+36% +$103K
BKD icon
189
Brookdale Senior Living
BKD
$3.62B
$314K 0.11%
9,731
+327
+3% +$11.1K
PCL
190
DELISTED
PLUM CREEK TIMBER CO (REIT)
PCL
$309K 0.11%
7,914
+889
+13% +$37.1K
GGB icon
191
Gerdau
GGB
$9.44B
$304K 0.11%
79,758
+4,130
+5% +$18.9K
VNR
192
DELISTED
Vanguard Natural Resources, LLC
VNR
$303K 0.11%
11,043
+1,478
+15% +$44.6K
MLCO icon
193
CALL
Melco Resorts & Entertainment
MLCO
$2.1B
$302K 0.11%
+11,470
New +$346K
PTY icon
194
PIMCO Corporate & Income Opportunity Fund
PTY
$2.48B
$301K 0.11%
17,615
+1,673
+10% +$30.8K
PSX icon
195
Phillips 66
PSX
$82.9B
$294K 0.1%
3,617
-1,348
-27% -$112K
KMP
196
DELISTED
KINDER MORGAN ENER PNTRS L.P.
KMP
$293K 0.1%
3,145
+180
+6% +$16K
LYG icon
197
Lloyds Banking Group
LYG
$87.4B
$291K 0.1%
20,020
+8,950
+81% +$45K
RTX icon
198
RTX Corp
RTX
$287B
$291K 0.1%
4,378
-273
-6% -$18.7K
SPE
199
Special Opportunities Fund
SPE
$140M
$290K 0.1%
18,182
– –
C icon
200
Citigroup
C
$222B
$289K 0.1%
5,576
-5,483
-50% -$276K
6 7
8
9 10

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NWAM LLC's Q3 2014 Portfolio in Review

As of Q3 2014, NWAM LLC held 324 positions worth $281M, down 13% from $321M the previous quarter. Its ten largest holdings account for 24% of the portfolio.

NWAM LLC withdrew a net $30.8M in Q3 2014, closing 28 positions and reducing 106 holdings. Its most notable exit was AMERN STRATEGIC INCM PORTF II, an estimated $1.22M position sold in full.

By sector, the portfolio is most concentrated in Technology at 8.2% of assets, down from 9.8% a quarter earlier, followed by Financials and Energy.

Against the trend, NWAM LLC opened a new position in BLUE EARTH, INC. COMMON STOCK worth $2.17M.

  • NWAM LLC's largest Q3 2014 buy was BLUE EARTH, INC. COMMON STOCK: 576,119 shares worth $2.17M.
  • NWAM LLC added most to Starbucks in Q3 2014, an estimated $4.72M increase.
  • NWAM LLC's biggest Q3 2014 reduction was Microsoft, cutting an estimated $5.31M.
  • NWAM LLC fully exited AMERN STRATEGIC INCM PORTF II in Q3 2014, selling an estimated $1.22M.
  • NWAM LLC's ten largest holdings make up 24% of its $281M portfolio in Q3 2014.
  • NWAM LLC opened 24 new positions and closed 28 in Q3 2014.
  • NWAM LLC's portfolio value fell 13% quarter-over-quarter to $281M.

Based on NWAM LLC's 13F filing for Q3 2014, filed 9 Sep 2016.