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NWAM LLC Portfolio holdings

AUM $1.74B
1-Year Est. Return 32.48%
This Fund
S&P 500
This Quarter Est. Return
+4%
1 Year Est. Return
+32.48%
3 Year Est. Return
+94.99%
5 Year Est. Return
+115.71%
10 Year Est. Return
+259.09%
AUM
$206M
AUM Growth
+$8.06M
Cap. Flow
-$14.2M
Cap. Flow %
-6.9%
Top 10 Hldgs %
23.6%
Holding
224
New
16
Increased
76
Reduced
112
Closed
17

Top Buys

Rank Stock Value
1
MSFT icon
Microsoft
MSFT
+$1.27M
2
VTV icon
Vanguard Value ETF
VTV
+$1.15M
3
S
Sprint Corporation
S
+$1.02M
4
TIP icon
iShares TIPS Bond ETF
TIP
+$953K
5
NMY
Nuveen Maryland Quality Municipal Income Fund
NMY
+$685K

Top Sells

Rank Stock Value
1
EPC icon
Edgewell Personal Care
EPC
+$13.7M
2
SBUX icon
Starbucks
SBUX
+$1.33M
3
AAPL icon
Apple
AAPL
+$1.15M
4
FON
SPRINT CORP FON COM
FON
+$965K
5
VB icon
Vanguard Small-Cap ETF
VB
+$657K

Sector Composition

Rank Sector Weight
1 Technology 11.88%
2 Financials 10.12%
3 Industrials 6.79%
4 Consumer Discretionary 5.92%
5 Healthcare 5.07%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FXEN
201
DELISTED
FX ENERGY INC
FXEN
$55K 0.03%
16,000
– –
EPC icon
202
Edgewell Personal Care
EPC
$1.37B
$47K 0.02%
211,999
-185,500
-47% -$13.7M
AMD icon
203
Advanced Micro Devices
AMD
$808B
$39K 0.02%
+10,248
New +$39K
VG
204
DELISTED
Vonage Holdings Corporation
VG
$32K 0.02%
10,317
-1,130
-10% -$3.55K
UWN
205
DELISTED
Nevada Gold & Casinos, Ltd.
UWN
$23K 0.01%
22,181
-2,335
-10% -$2.53K
GSS
206
DELISTED
Golden Star Resources Ltd.
GSS
$12K 0.01%
6,050
+288
+5% +$754
STCN
207
DELISTED
Steel Connect, Inc. Common Stock
STCN
$1K ﹤0.01%
2,819
– –
AMAT icon
208
Applied Materials
AMAT
$421B
– –
-11,311
Closed -$169K
BRK.A icon
209
Berkshire Hathaway Class A
BRK.A
$1.06T
– –
-2
Closed -$356K
EVT icon
210
Eaton Vance Tax-Advantaged Dividend Income Fund
EVT
$2.02B
– –
-10,245
Closed -$187K
EWJ icon
211
iShares MSCI Japan ETF
EWJ
$21.5B
– –
-6,835
Closed -$307K
GLD icon
212
SPDR Gold Trust
GLD
$130B
– –
-2,209
Closed -$263K
GOOG icon
213
Alphabet (Google) Class C
GOOG
$4.22T
– –
-47,176
Closed -$518K
MU icon
214
Micron Technology
MU
$959B
– –
-10,131
Closed -$145K
PRGO icon
215
Perrigo
PRGO
$1.48B
– –
-1,703
Closed -$206K
PZG icon
216
Paramount Gold Nevada
PZG
$97.8M
– –
-22,727
Closed -$28K
SOR
217
Source Capital
SOR
$373M
– –
-4,377
Closed -$270K
VB icon
218
Vanguard Small-Cap ETF
VB
$79.7B
– –
-7,009
Closed -$657K
VGK icon
219
Vanguard FTSE Europe ETF
VGK
$30B
– –
-6,500
Closed -$313K
VWO icon
220
Vanguard FTSE Emerging Markets ETF
VWO
$119B
– –
-7,491
Closed -$291K
RDS.B
221
DELISTED
Royal Dutch Shell PLC ADS Class B
RDS.B
– –
-103
Closed -$217K
KYE
222
DELISTED
Kayne Anderson Energy
KYE
– –
-7,765
Closed -$302K
FON
223
DELISTED
SPRINT CORP FON COM
FON
– –
-137,477
Closed -$965K
5 6 7 8
9

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VCM
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PAIM
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RIA
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SFI
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MAM
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GAM
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DF
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NWAM LLC's Q3 2013 Portfolio in Review

As of Q3 2013, NWAM LLC held 224 positions worth $206M, up 4.1% from $198M the previous quarter. Its ten largest holdings account for 24% of the portfolio.

NWAM LLC withdrew a net $14.2M in Q3 2013, closing 17 positions and reducing 112 holdings. Its most notable exit was SPRINT CORP FON COM, an estimated $965K position sold in full.

By sector, the portfolio is most concentrated in Technology at 12% of assets, up from 12% a quarter earlier, followed by Financials and Industrials.

Against the trend, NWAM LLC opened a new position in Sprint Corporation worth $965K.

  • NWAM LLC's largest Q3 2013 buy was Sprint Corporation: 155,159 shares worth $965K.
  • NWAM LLC added most to Microsoft in Q3 2013, an estimated $1.27M increase.
  • NWAM LLC's biggest Q3 2013 reduction was Edgewell Personal Care, cutting an estimated $13.7M.
  • NWAM LLC fully exited SPRINT CORP FON COM in Q3 2013, selling an estimated $965K.
  • NWAM LLC's ten largest holdings make up 24% of its $206M portfolio in Q3 2013.
  • NWAM LLC opened 16 new positions and closed 17 in Q3 2013.
  • NWAM LLC's portfolio value rose 4.1% quarter-over-quarter to $206M.

Based on NWAM LLC's 13F filing for Q3 2013, filed 9 Sep 2016.