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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
+2.22%
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
$291M
AUM Growth
+$102M
Cap. Flow
+$119M
Cap. Flow %
41.06%
Top 10 Hldgs %
23.13%
Holding
299
New
121
Increased
110
Reduced
35
Closed
30

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$21.9M
2
BTZ icon
BlackRock Credit Allocation Income Trust
BTZ
+$6M
3
ERC
Allspring Multi-Sector Income Fund
ERC
+$5.29M
4
FLC
Flaherty & Crumrine Total Return Fund
FLC
+$5.22M
5
RSP icon
Invesco S&P 500 Equal Weight ETF
RSP
+$3.36M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$2.45M
2
DLS icon
WisdomTree International SmallCap Dividend Fund
DLS
+$2.21M
3
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$2.16M
4
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$2.15M
5
IJT icon
iShares S&P Small-Cap 600 Growth ETF
IJT
+$2M

Sector Composition

Rank Sector Weight
1 Technology 10.58%
2 Financials 8.79%
3 Industrials 6.42%
4 Consumer Discretionary 5.25%
5 Healthcare 5.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SDY icon
201
State Street SPDR S&P Dividend ETF
SDY
$21.6B
$265K 0.09%
3,595
+223
+7% +$16K
HON icon
202
Honeywell
HON
$71.7B
$263K 0.09%
+3,154
New +$261K
LEO
203
BNY Mellon Strategic Municipals
LEO
$397M
$263K 0.09%
32,452
+19,452
+150% +$155K
KYN icon
204
Kayne Anderson Energy Infrastructure Fund
KYN
$2.5B
$260K 0.09%
7,095
-2,072
-23% -$77.1K
VNR
205
DELISTED
Vanguard Natural Resources, LLC
VNR
$260K 0.09%
8,729
-67
-0.8% -$2.01K
EPD icon
206
Enterprise Products Partners
EPD
$83.9B
$259K 0.09%
+7,464
New +$247K
IJR icon
207
iShares Core S&P Small-Cap ETF
IJR
$109B
$258K 0.09%
4,692
+184
+4% +$9.95K
RDS.B
208
DELISTED
Royal Dutch Shell PLC ADS Class B
RDS.B
$257K 0.09%
+3,287
New +$249K
LYG icon
209
Lloyds Banking Group
LYG
$85.4B
$256K 0.09%
+18,520
New +$100K
TRQ
210
DELISTED
Turquoise Hill Resources Ltd
TRQ
$256K 0.09%
+7,684
New +$268K
CSX icon
211
CSX Corp
CSX
$93.1B
$251K 0.09%
+25,950
New +$241K
ED icon
212
Consolidated Edison
ED
$40.9B
$250K 0.09%
+4,651
New +$252K
EMR icon
213
Emerson Electric
EMR
$76.5B
$250K 0.09%
+3,747
New +$247K
MDY icon
214
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$26.7B
$246K 0.08%
981
-8,771
-90% -$2.15M
RIG icon
215
Transocean
RIG
$5.56B
$246K 0.08%
5,940
-3,364
-36% -$146K
CIEN icon
216
Ciena
CIEN
$53.6B
$245K 0.08%
+10,790
New +$254K
ASP
217
DELISTED
AMERN STRATEGIC INCOME PORTFOL
ASP
$245K 0.08%
+24,783
New +$239K
TWTR
218
DELISTED
Twitter, Inc.
TWTR
$243K 0.08%
+5,211
New +$295K
DMO
219
Western Asset Mortgage Opportunity Fund
DMO
$122M
$241K 0.08%
+10,424
New +$241K
TWX
220
DELISTED
Time Warner Inc
TWX
$241K 0.08%
+3,840
New +$241K
GDV icon
221
Gabelli Dividend & Income Trust
GDV
$2.57B
$239K 0.08%
+11,463
New +$235K
WTRG icon
222
Essential Utilities
WTRG
$11.2B
$237K 0.08%
+9,444
New +$228K
MLCO icon
223
Melco Resorts & Entertainment
MLCO
$2.13B
$234K 0.08%
6,050
+50
+0.8% +$2.08K
MAS icon
224
Masco
MAS
$15.6B
$232K 0.08%
+11,888
New +$234K
RBBN icon
225
Ribbon Communications
RBBN
$372M
$232K 0.08%
2,759
-9,121
-77% -$152K
7 8
9
10 11

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NWAM LLC's Q1 2014 Portfolio in Review

As of Q1 2014, NWAM LLC held 299 positions worth $291M, up 54% from $188M the previous quarter. Its ten largest holdings account for 23% of the portfolio.

NWAM LLC deployed $119M of net new capital in Q1 2014, opening 121 new positions and adding to 110 existing holdings. Its largest new stake was BlackRock Credit Allocation Income Trust: 453,690 shares worth $6.13M.

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

On the sell side, the largest reduction was Invesco QQQ Trust, an estimated $2.45M trimmed.

  • NWAM LLC's largest Q1 2014 buy was BlackRock Credit Allocation Income Trust: 453,690 shares worth $6.13M.
  • NWAM LLC added most to Apple in Q1 2014, an estimated $21.9M increase.
  • NWAM LLC's biggest Q1 2014 reduction was Invesco QQQ Trust, cutting an estimated $2.45M.
  • NWAM LLC fully exited WisdomTree International SmallCap Dividend Fund in Q1 2014, selling an estimated $2.21M.
  • NWAM LLC's ten largest holdings make up 23% of its $291M portfolio in Q1 2014.
  • NWAM LLC opened 121 new positions and closed 30 in Q1 2014.
  • NWAM LLC's portfolio value rose 54% quarter-over-quarter to $291M.

Based on NWAM LLC's 13F filing for Q1 2014, filed 9 Sep 2016.