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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
+2.01%
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
$229M
AUM Growth
-$51.8M
Cap. Flow
-$60.6M
Cap. Flow %
-26.48%
Top 10 Hldgs %
27.41%
Holding
313
New
17
Increased
57
Reduced
143
Closed
72

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$959K
2
RDS.A
Royal Dutch Shell PLC ADS Class A
RDS.A
+$920K
3
BKK
Blackrock Municipal 2020 Term Trust
BKK
+$730K
4
SNR
NEW SENIOR INVESTMENT GROUP INC.
SNR
+$424K
5
ONIT
Onity Group
ONIT
+$390K

Top Sells

Rank Stock Value
1
SBUX icon
Starbucks
SBUX
+$7.43M
2
PG icon
Procter & Gamble
PG
+$3.78M
3
SPAB icon
State Street SPDR Portfolio Aggregate Bond ETF
SPAB
+$2.94M
4
PM icon
Philip Morris
PM
+$1.85M
5
MSFT icon
Microsoft
MSFT
+$1.7M

Sector Composition

Rank Sector Weight
1 Technology 8.32%
2 Financials 7.05%
3 Industrials 4.85%
4 Energy 4.02%
5 Real Estate 3.87%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ETN icon
201
Eaton
ETN
$157B
$222K 0.1%
3,261
-283
-8% -$18.7K
CMCSK
202
DELISTED
COMCAST CORP SPL A (NEW)
CMCSK
$221K 0.1%
3,840
-223
-5% -$12.8K
PDP icon
203
Invesco Dorsey Wright Momentum ETF
PDP
$1.5B
$217K 0.09%
5,280
-235
-4% -$9.42K
RTX icon
204
RTX Corp
RTX
$287B
$215K 0.09%
2,970
-1,408
-32% -$96K
JHS
205
John Hancock Income Securities Trust
JHS
$126M
$213K 0.09%
14,925
– –
SCU
206
DELISTED
Sculptor Capital Management, Inc. Class A Common Stock
SCU
$208K 0.09%
1,778
+269
+18% +$30.4K
FLG
207
Flagstar Bank National Association
FLG
$5.77B
$206K 0.09%
4,283
-35
-0.8% -$1.65K
BHK icon
208
BlackRock Core Bond Trust
BHK
$642M
$205K 0.09%
15,500
-800
-5% -$10.6K
M icon
209
Macy's
M
$6.15B
$203K 0.09%
3,095
-646
-17% -$39.1K
STIP icon
210
iShares 0-5 Year TIPS Bond ETF
STIP
$15.8B
$202K 0.09%
2,044
+30
+1% +$3K
FIG
211
DELISTED
Fortress Investment Group Llc
FIG
$201K 0.09%
25,000
– –
GGN
212
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$767M
$200K 0.09%
28,550
+6,945
+32% +$55.1K
NQU
213
DELISTED
NUVEEN QUALITY INCOME MUNI FD
NQU
$199K 0.09%
14,249
-18
-0.1% -$250
VGM icon
214
Invesco Trust Investment Grade Municipals
VGM
$549M
$187K 0.08%
14,070
– –
TWI icon
215
Titan International
TWI
$516M
$184K 0.08%
17,280
-2,000
-10% -$20.6K
SFL icon
216
SFL Corp
SFL
$1.59B
$176K 0.08%
12,494
+1,215
+11% +$19.5K
CSQ icon
217
Calamos Strategic Total Return Fund
CSQ
$3.21B
$170K 0.07%
+14,900
New +$172K
PZE
218
DELISTED
Petrobras Argentina S A
PZE
$161K 0.07%
32,570
– –
PMO
219
Franklin Municipal Opportunities Trust
PMO
$287M
$158K 0.07%
13,172
– –
MHG
220
DELISTED
Marine Harvest ASA
MHG
$150K 0.07%
+10,945
New +$153K
EAD
221
Allspring Income Opportunities Fund
EAD
$372M
$123K 0.05%
13,885
+245
+2% +$2.19K
BTU
222
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
$121K 0.05%
1,039
+308
+42% +$45.9K
JPC icon
223
Nuveen Preferred & Income Opportunities Fund
JPC
$2.89B
$114K 0.05%
11,950
– –
RVLT
224
DELISTED
Revolution Lighting Technologies, Inc. - Class A
RVLT
$114K 0.05%
8,460
+300
+4% +$4.56K
PBR icon
225
Petrobras
PBR
$121B
$112K 0.05%
+14,841
New +$160K
7 8
9
10 11

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NWAM LLC's Q4 2014 Portfolio in Review

As of Q4 2014, NWAM LLC held 313 positions worth $229M, down 18% from $281M the previous quarter. Its ten largest holdings account for 27% of the portfolio.

NWAM LLC withdrew a net $60.6M in Q4 2014, closing 72 positions and reducing 143 holdings. Its most notable exit was State Street SPDR Portfolio Aggregate Bond ETF, an estimated $2.94M position sold in full.

By sector, the portfolio is most concentrated in Technology at 8.3% of assets, up from 8.2% a quarter earlier, followed by Financials and Industrials.

Against the trend, NWAM LLC opened a new position in Royal Dutch Shell PLC ADS Class A worth $890K.

  • NWAM LLC's largest Q4 2014 buy was Royal Dutch Shell PLC ADS Class A: 13,295 shares worth $890K.
  • NWAM LLC added most to Invesco QQQ Trust in Q4 2014, an estimated $959K increase.
  • NWAM LLC's biggest Q4 2014 reduction was Starbucks, cutting an estimated $7.43M.
  • NWAM LLC fully exited State Street SPDR Portfolio Aggregate Bond ETF in Q4 2014, selling an estimated $2.94M.
  • NWAM LLC's ten largest holdings make up 27% of its $229M portfolio in Q4 2014.
  • NWAM LLC opened 17 new positions and closed 72 in Q4 2014.
  • NWAM LLC's portfolio value fell 18% quarter-over-quarter to $229M.

Based on NWAM LLC's 13F filing for Q4 2014, filed 9 Sep 2016.