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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
+7.47%
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
$188M
AUM Growth
-$17.5M
Cap. Flow
-$68.5M
Cap. Flow %
-36.35%
Top 10 Hldgs %
24.79%
Holding
225
New
18
Increased
30
Reduced
129
Closed
47

Top Buys

Rank Stock Value
1
RITM icon
Rithm Capital
RITM
+$1.51M
2
AFB
AllianceBernstein National Municipal Income Fund
AFB
+$1.36M
3
VB icon
Vanguard Small-Cap ETF
VB
+$675K
4
DS
Drive Shack Inc.
DS
+$634K
5
PFX icon
PhenixFIN
PFX
+$504K

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$23.5M
2
EPC icon
Edgewell Personal Care
EPC
+$9.76M
3
SBUX icon
Starbucks
SBUX
+$4.27M
4
MSFT icon
Microsoft
MSFT
+$1.9M
5
AWF
AllianceBernstein Global High Income Fund
AWF
+$1.63M

Sector Composition

Rank Sector Weight
1 Technology 11.4%
2 Financials 10.83%
3 Industrials 6.62%
4 Consumer Discretionary 6.28%
5 Energy 4.86%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MCHP icon
201
Microchip Technology
MCHP
$44B
– –
-13,546
Closed -$273K
MDLZ icon
202
Mondelez International
MDLZ
$78.3B
– –
-6,669
Closed -$210K
MFC icon
203
Manulife Financial
MFC
$72.1B
– –
-12,349
Closed -$205K
NTAP icon
204
NetApp
NTAP
$32.1B
– –
-5,486
Closed -$234K
PEP icon
205
PepsiCo
PEP
$187B
– –
-2,550
Closed -$203K
RTX icon
206
RTX Corp
RTX
$261B
– –
-3,796
Closed -$258K
RWX icon
207
State Street SPDR Dow Jones International Real Estate ETF
RWX
$281M
– –
-5,510
Closed -$232K
SJT
208
San Juan Basin Royalty Trust
SJT
$126M
– –
-10,388
Closed -$166K
SRE icon
209
Sempra
SRE
$60.3B
– –
-7,336
Closed -$314K
UNM icon
210
Unum
UNM
$14.2B
– –
-8,564
Closed -$261K
VLO icon
211
Valero Energy
VLO
$91.9B
– –
-6,131
Closed -$209K
STCN
212
DELISTED
Steel Connect, Inc. Common Stock
STCN
– –
-2,819
Closed -$1K
GSS
213
DELISTED
Golden Star Resources Ltd.
GSS
– –
-6,050
Closed -$12K
TNAV
214
DELISTED
Telenav Inc.
TNAV
– –
-10,005
Closed -$58K
RTN
215
DELISTED
Raytheon Company
RTN
– –
-3,210
Closed -$247K
ESRX
216
DELISTED
Express Scripts Holding Company
ESRX
– –
-3,883
Closed -$240K
MON
217
DELISTED
Monsanto Co
MON
– –
-5,491
Closed -$573K
STJ
218
DELISTED
St Jude Medical
STJ
– –
-4,359
Closed -$234K
ENZN
219
DELISTED
ENZON PHARMACEUTICALS INC
ENZN
– –
-58,721
Closed -$99K
LO
220
DELISTED
LORILLARD INC COM STK
LO
– –
-9,058
Closed -$406K
ESC
221
DELISTED
EMERITUS CORP
ESC
– –
-10,506
Closed -$195K
PDLI
222
DELISTED
PDL BioPharma, Inc.
PDLI
– –
-11,612
Closed -$93K
EBIX
223
DELISTED
Ebix Inc
EBIX
– –
-66,289
Closed -$73K
NYV
224
DELISTED
Nuveen New York Municipal Value Fund 2
NYV
– –
-12,986
Closed -$131K
VG
225
DELISTED
Vonage Holdings Corporation
VG
– –
-10,317
Closed -$32K
5 6 7 8
9

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PAIM
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SFI
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NWAM LLC's Q4 2013 Portfolio in Review

As of Q4 2013, NWAM LLC held 225 positions worth $188M, down 8.5% from $206M the previous quarter. Its ten largest holdings account for 25% of the portfolio.

NWAM LLC withdrew a net $68.5M in Q4 2013, closing 47 positions and reducing 129 holdings. Its most notable exit was AllianceBernstein Global High Income Fund, an estimated $1.63M position sold in full.

By sector, the portfolio is most concentrated in Technology at 11% of assets, down from 12% a quarter earlier, followed by Financials and Industrials.

Against the trend, NWAM LLC opened a new position in Rithm Capital worth $1.56M.

  • NWAM LLC's largest Q4 2013 buy was Rithm Capital: 117,120 shares worth $1.56M.
  • NWAM LLC added most to MannKind Corp in Q4 2013, an estimated $200K increase.
  • NWAM LLC's biggest Q4 2013 reduction was Apple, cutting an estimated $23.5M.
  • NWAM LLC fully exited AllianceBernstein Global High Income Fund in Q4 2013, selling an estimated $1.63M.
  • NWAM LLC's ten largest holdings make up 25% of its $188M portfolio in Q4 2013.
  • NWAM LLC opened 18 new positions and closed 47 in Q4 2013.
  • NWAM LLC's portfolio value fell 8.5% quarter-over-quarter to $188M.

Based on NWAM LLC's 13F filing for Q4 2013, filed 9 Sep 2016.