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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
-6.89%
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
$121M
AUM Growth
-$119M
Cap. Flow
-$107M
Cap. Flow %
-88.89%
Top 10 Hldgs %
43.77%
Holding
253
New
4
Increased
30
Reduced
42
Closed
109

Top Buys

Rank Stock Value
1
CRHM
CRH Medical Corporation
CRHM
+$937K
2
DAL icon
Delta Air Lines
DAL
+$404K
3
KHC icon
Kraft Heinz
KHC
+$226K
4
ANFI
AMIRA NATURE FOODS LTD
ANFI
+$157K
5
PG icon
Procter & Gamble
PG
+$150K

Top Sells

Rank Stock Value
1
BTZ icon
BlackRock Credit Allocation Income Trust
BTZ
+$8.7M
2
FLC
Flaherty & Crumrine Total Return Fund
FLC
+$6.63M
3
ERC
Allspring Multi-Sector Income Fund
ERC
+$5.71M
4
VNQ icon
Vanguard Real Estate ETF
VNQ
+$4.33M
5
BND icon
Vanguard Total Bond Market
BND
+$4.27M

Sector Composition

Rank Sector Weight
1 Technology 16.23%
2 Financials 9.91%
3 Industrials 9.83%
4 Consumer Discretionary 7.51%
5 Communication Services 6.75%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FAX
176
abrdn Asia-Pacific Income Fund
FAX
$590M
– –
-29,167
Closed -$867K
FFC
177
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$768M
– –
-214,000
Closed -$3.99M
FLC
178
Flaherty & Crumrine Total Return Fund
FLC
$174M
– –
-340,000
Closed -$6.63M
FTF
179
Franklin Limited Duration Income Trust
FTF
$233M
– –
-75,000
Closed -$871K
GGN
180
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$767M
– –
-41,000
Closed -$268K
GLD icon
181
SPDR Gold Trust
GLD
$131B
– –
-3,000
Closed -$305K
HPI
182
John Hancock Preferred Income Fund
HPI
$428M
– –
-20,000
Closed -$386K
IEMG icon
183
iShares Core MSCI Emerging Markets ETF
IEMG
$149B
– –
-9,000
Closed -$433K
IJH icon
184
iShares Core S&P Mid-Cap ETF
IJH
$123B
– –
-105,000
Closed -$3.12M
IJK icon
185
iShares S&P Mid-Cap 400 Growth ETF
IJK
$10.8B
– –
-32,000
Closed -$1.39M
IJR icon
186
iShares Core S&P Small-Cap ETF
IJR
$109B
– –
-10,000
Closed -$637K
IJS icon
187
iShares S&P Small-Cap 600 Value ETF
IJS
$8.11B
– –
-8,000
Closed -$499K
IVV icon
188
iShares Core S&P 500 ETF
IVV
$876B
– –
-4,000
Closed -$876K
IWD icon
189
iShares Russell 1000 Value ETF
IWD
$82B
– –
-28,000
Closed -$2.88M
IWF icon
190
iShares Russell 1000 Growth ETF
IWF
$122B
– –
-132,000
Closed -$3.29M
IWM icon
191
iShares Russell 2000 ETF
IWM
$80.9B
– –
-33,000
Closed -$4.16M
IWN icon
192
iShares Russell 2000 Value ETF
IWN
$14.4B
– –
-4,000
Closed -$388K
IWO icon
193
iShares Russell 2000 Growth ETF
IWO
$14.5B
– –
-3,000
Closed -$423K
IWP icon
194
iShares Russell Mid-Cap Growth ETF
IWP
$20B
– –
-6,000
Closed -$308K
IXJ icon
195
iShares Global Healthcare ETF
IXJ
$4.11B
– –
-10,000
Closed -$517K
IYM icon
196
iShares US Basic Materials ETF
IYM
$1.16B
– –
-18,000
Closed -$1.46M
JHS
197
John Hancock Income Securities Trust
JHS
$126M
– –
-15,000
Closed -$208K
JMM icon
198
Nuveen Multi-Market Income Fund
JMM
$54.1M
– –
-122,000
Closed -$1.03M
JNK icon
199
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$7.24B
– –
-4,333
Closed -$502K
JPC icon
200
Nuveen Preferred & Income Opportunities Fund
JPC
$2.89B
– –
-12,000
Closed -$109K
6 7
8
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NWAM LLC's Q3 2015 Portfolio in Review

As of Q3 2015, NWAM LLC held 253 positions worth $121M, down 50% from $239M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

NWAM LLC withdrew a net $107M in Q3 2015, closing 109 positions and reducing 42 holdings. Its most notable exit was BlackRock Credit Allocation Income Trust, an estimated $8.7M position sold in full.

By sector, the portfolio is most concentrated in Technology at 16% of assets, up from 9.8% a quarter earlier, followed by Financials and Industrials.

Against the trend, NWAM LLC opened a new position in CRH Medical Corporation worth $828K.

  • NWAM LLC's largest Q3 2015 buy was CRH Medical Corporation: 259,000 shares worth $828K.
  • NWAM LLC added most to Procter & Gamble in Q3 2015, an estimated $150K increase.
  • NWAM LLC's biggest Q3 2015 reduction was Apple, cutting an estimated $2.23M.
  • NWAM LLC fully exited BlackRock Credit Allocation Income Trust in Q3 2015, selling an estimated $8.7M.
  • NWAM LLC's ten largest holdings make up 44% of its $121M portfolio in Q3 2015.
  • NWAM LLC opened 4 new positions and closed 109 in Q3 2015.
  • NWAM LLC's portfolio value fell 50% quarter-over-quarter to $121M.

Based on NWAM LLC's 13F filing for Q3 2015, filed 17 Nov 2015.