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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
+10.07%
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
$606M
AUM Growth
-$108M
Cap. Flow
-$158M
Cap. Flow %
-26.11%
Top 10 Hldgs %
33.46%
Holding
446
New
26
Increased
70
Reduced
122
Closed
198

Top Buys

Rank Stock Value
1
VTIP icon
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
+$3.98M
2
SHOP icon
Shopify
SHOP
+$3.62M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.37M
4
ISTB icon
iShares Core 1-5 Year USD Bond ETF
ISTB
+$2.78M
5
MOS icon
The Mosaic Company
MOS
+$2.77M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$25.5M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.55M
3
GOVT icon
iShares US Treasury Bond ETF
GOVT
+$5.5M
4
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$4.62M
5
ESGU icon
iShares ESG Aware MSCI USA ETF
ESGU
+$3.63M

Sector Composition

Rank Sector Weight
1 Technology 18.93%
2 Consumer Discretionary 6.02%
3 Industrials 4.84%
4 Financials 4.11%
5 Healthcare 3.76%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
KYN icon
176
Kayne Anderson Energy Infrastructure Fund
KYN
$2.44B
$445K 0.07%
111,423
+7,812
+8% +$37.3K
IYE icon
177
iShares US Energy ETF
IYE
$1.71B
$435K 0.07%
27,244
-230
-0.8% -$4.34K
MUI
178
DELISTED
BlackRock Municipal Income Fund, Inc.
MUI
$435K 0.07%
31,000
– –
KEY icon
179
KeyCorp
KEY
$24.1B
$423K 0.07%
35,475
-461
-1% -$5.62K
NVG icon
180
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.66B
$406K 0.07%
25,941
-25,382
-49% -$398K
SPHQ icon
181
Invesco S&P 500 Quality ETF
SPHQ
$19.5B
$403K 0.07%
10,430
+280
+3% +$10.6K
IVZ icon
182
Invesco
IVZ
$13.3B
$389K 0.06%
34,050
+2,838
+9% +$30.1K
BP icon
183
BP
BP
$109B
$388K 0.06%
22,239
-18,871
-46% -$409K
HPI
184
John Hancock Preferred Income Fund
HPI
$430M
$385K 0.06%
20,448
– –
SNLN
185
DELISTED
Highland/iBoxx Senior Loan ETF
SNLN
$385K 0.06%
24,475
-4,000
-14% -$63.7K
FTF
186
Franklin Limited Duration Income Trust
FTF
$233M
$366K 0.06%
42,877
– –
RDS.A
187
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$360K 0.06%
14,299
-641
-4% -$19.4K
OMP
188
DELISTED
Oasis Midstream Partners LP Common Units Representing Limited Partner Interests
OMP
$358K 0.06%
57,772
-23,862
-29% -$209K
GE icon
189
GE Aerospace
GE
$375B
$351K 0.06%
11,297
-1,292
-10% -$42K
KG
190
Kestrel Group
KG
$70.1M
$350K 0.06%
14,362
-500
-3% -$13.4K
NZF icon
191
Nuveen Municipal Credit Income Fund
NZF
$2.41B
$314K 0.05%
21,349
– –
NBH
192
Neuberger Municipal Fund Inc
NBH
$305M
$312K 0.05%
20,266
-38,249
-65% -$580K
SHYD icon
193
VanEck Short High Yield Muni ETF
SHYD
$451M
$306K 0.05%
+12,570
New +$305K
STNG icon
194
Scorpio Tankers
STNG
$3.9B
$305K 0.05%
+27,581
New +$347K
ANH
195
DELISTED
Anworth Mortgage Asset Corporation
ANH
$302K 0.05%
184,309
-38,582
-17% -$67.7K
SBS icon
196
Sabesp
SBS
$19.9B
$300K 0.05%
186,563
-3,893
-2% -$7.58K
KMI icon
197
Kinder Morgan
KMI
$70.6B
$293K 0.05%
23,771
+6,866
+41% +$95.7K
ENBL
198
DELISTED
ENABLE MIDSTREAM PARTNERS, LP
ENBL
$289K 0.05%
69,800
-3,950
-5% -$19.4K
WKHS icon
199
Workhorse Group
WKHS
$30.2M
$278K 0.05%
+4
New +$229K
CHI
200
Calamos Convertible Opportunities and Income Fund
CHI
$1.01B
$263K 0.04%
23,910
– –
6 7
8
9 10

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NWAM LLC's Q3 2020 Portfolio in Review

As of Q3 2020, NWAM LLC held 446 positions worth $606M, down 15% from $714M the previous quarter. Its ten largest holdings account for 33% of the portfolio.

NWAM LLC withdrew a net $158M in Q3 2020, closing 198 positions and reducing 122 holdings. Its most notable exit was iShares US Treasury Bond ETF, an estimated $5.5M position sold in full.

By sector, the portfolio is most concentrated in Technology at 19% of assets, up from 19% a quarter earlier, followed by Consumer Discretionary and Industrials.

Against the trend, NWAM LLC opened a new position in Vanguard Short-Term Inflation-Protected Securities Index Fund worth $4.01M.

  • NWAM LLC's largest Q3 2020 buy was Vanguard Short-Term Inflation-Protected Securities Index Fund: 78,539 shares worth $4.01M.
  • NWAM LLC added most to Shopify in Q3 2020, an estimated $3.62M increase.
  • NWAM LLC's biggest Q3 2020 reduction was Apple, cutting an estimated $25.5M.
  • NWAM LLC fully exited iShares US Treasury Bond ETF in Q3 2020, selling an estimated $5.5M.
  • NWAM LLC's ten largest holdings make up 33% of its $606M portfolio in Q3 2020.
  • NWAM LLC opened 26 new positions and closed 198 in Q3 2020.
  • NWAM LLC's portfolio value fell 15% quarter-over-quarter to $606M.

Based on NWAM LLC's 13F filing for Q3 2020, filed 16 Oct 2020.