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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
+3.04%
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
$301M
AUM Growth
-$1.02B
Cap. Flow
-$953M
Cap. Flow %
-315.99%
Top 10 Hldgs %
24.89%
Holding
316
New
36
Increased
102
Reduced
121
Closed
29

Top Buys

Rank Stock Value
1
FLC
Flaherty & Crumrine Total Return Fund
FLC
+$6.05M
2
DRA
Diversified Real Asset Income Fd
DRA
+$1.74M
3
AMZN icon
Amazon
AMZN
+$1.17M
4
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$1.06M
5
SDY icon
State Street SPDR S&P Dividend ETF
SDY
+$1.02M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$8.18M
2
RSP icon
Invesco S&P 500 Equal Weight ETF
RSP
+$1.37M
3
PGX icon
Invesco Preferred ETF
PGX
+$1.19M
4
PG icon
Procter & Gamble
PG
+$1.06M
5
ENBL
ENABLE MIDSTREAM PARTNERS, LP
ENBL
+$1.02M

Sector Composition

Rank Sector Weight
1 Financials 7.5%
2 Technology 6.3%
3 Industrials 4.75%
4 Communication Services 4.63%
5 Energy 4.61%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
KYN icon
176
Kayne Anderson Energy Infrastructure Fund
KYN
$2.54B
$365K 0.12%
18,667
+1,183
+7% +$22.9K
GLD icon
177
SPDR Gold Trust
GLD
$131B
$356K 0.12%
+3,249
New +$377K
HPI
178
John Hancock Preferred Income Fund
HPI
$429M
$355K 0.12%
17,450
-850
-5% -$17.4K
FIG
179
DELISTED
Fortress Investment Group Llc
FIG
$355K 0.12%
+73,095
New +$371K
CHK
180
DELISTED
Chesapeake Energy Corporation
CHK
$350K 0.12%
249
+12
+5% +$15.7K
VWOB icon
181
Vanguard Emerging Markets Government Bond ETF
VWOB
$6.14B
$345K 0.11%
4,450
+1,700
+62% +$134K
DMO
182
Western Asset Mortgage Opportunity Fund
DMO
$119M
$344K 0.11%
15,074
– –
AX icon
183
Axos Financial
AX
$5.48B
$342K 0.11%
+11,975
New +$285K
TWX
184
DELISTED
Time Warner Inc
TWX
$342K 0.11%
3,547
-172
-5% -$15.3K
PEP icon
185
PepsiCo
PEP
$187B
$337K 0.11%
3,216
-420
-12% -$44K
TFI icon
186
State Street SPDR Nuveen ICE Municipal Bond ETF
TFI
$3.05B
$336K 0.11%
+7,077
New +$343K
SCHZ icon
187
Schwab US Aggregate Bond ETF
SCHZ
$10.5B
$334K 0.11%
+12,962
New +$339K
PM icon
188
Philip Morris
PM
$303B
$331K 0.11%
3,619
-157
-4% -$14.5K
APU
189
DELISTED
AmeriGas Partners, L.P.
APU
$331K 0.11%
6,898
+8
+0.1% +$366
SCZ icon
190
iShares MSCI EAFE Small-Cap ETF
SCZ
$13.5B
$330K 0.11%
6,623
+870
+15% +$43.9K
TXN icon
191
Texas Instruments
TXN
$256B
$330K 0.11%
4,519
+194
+4% +$13.8K
JWN
192
DELISTED
Nordstrom
JWN
$329K 0.11%
6,873
-1,939
-22% -$105K
XLK icon
193
State Street Technology Select Sector SPDR ETF
XLK
$114B
$326K 0.11%
13,486
+872
+7% +$20.8K
SO icon
194
Southern Company
SO
$110B
$325K 0.11%
6,601
-906
-12% -$44.5K
EVG
195
Eaton Vance Short Duration Diversified Income Fund
EVG
$142M
$324K 0.11%
23,367
+132
+0.6% +$1.77K
ORC
196
CALL
Orchid Island Capital
ORC
$1.3B
$318K 0.11%
+6,360
New +$339K
AFL icon
197
Aflac
AFL
$63.7B
$317K 0.11%
9,114
-200
-2% -$7.04K
SCHG icon
198
Schwab US Large-Cap Growth ETF
SCHG
$58.5B
$314K 0.1%
44,960
-4,232
-9% -$29.3K
PX
199
DELISTED
Praxair Inc
PX
$314K 0.1%
2,679
-463
-15% -$55K
ANFI
200
DELISTED
AMIRA NATURE FOODS LTD
ANFI
$299K 0.1%
48,550
+6,450
+15% +$47.8K
6 7
8
9 10

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NWAM LLC's Q4 2016 Portfolio in Review

As of Q4 2016, NWAM LLC held 316 positions worth $301M, down 77% from $1.32B the previous quarter. Its ten largest holdings account for 25% of the portfolio.

NWAM LLC withdrew a net $953M in Q4 2016, closing 29 positions and reducing 121 holdings. Its most notable exit was Apple, an estimated $8.18M position sold in full.

By sector, the portfolio is most concentrated in Financials at 7.5% of assets, up from 1.3% a quarter earlier, followed by Technology and Industrials.

Against the trend, NWAM LLC opened a new position in Flaherty & Crumrine Total Return Fund worth $5.95M.

  • NWAM LLC's largest Q4 2016 buy was Flaherty & Crumrine Total Return Fund: 299,205 shares worth $5.95M.
  • NWAM LLC added most to Amazon in Q4 2016, an estimated $1.17M increase.
  • NWAM LLC's biggest Q4 2016 reduction was Invesco S&P 500 Equal Weight ETF, cutting an estimated $1.37M.
  • NWAM LLC fully exited Apple in Q4 2016, selling an estimated $8.18M.
  • NWAM LLC's ten largest holdings make up 25% of its $301M portfolio in Q4 2016.
  • NWAM LLC opened 36 new positions and closed 29 in Q4 2016.
  • NWAM LLC's portfolio value fell 77% quarter-over-quarter to $301M.

Based on NWAM LLC's 13F filing for Q4 2016, filed 2 Feb 2017.