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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
+3.04%
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
$301M
AUM Growth
-$1.02B
Cap. Flow
-$953M
Cap. Flow %
-315.99%
Top 10 Hldgs %
24.89%
Holding
316
New
36
Increased
102
Reduced
121
Closed
29

Top Buys

Rank Stock Value
1
FLC
Flaherty & Crumrine Total Return Fund
FLC
+$6.05M
2
DRA
Diversified Real Asset Income Fd
DRA
+$1.74M
3
AMZN icon
Amazon
AMZN
+$1.17M
4
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$1.06M
5
SDY icon
State Street SPDR S&P Dividend ETF
SDY
+$1.02M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$8.18M
2
RSP icon
Invesco S&P 500 Equal Weight ETF
RSP
+$1.37M
3
PGX icon
Invesco Preferred ETF
PGX
+$1.19M
4
PG icon
Procter & Gamble
PG
+$1.06M
5
ENBL
ENABLE MIDSTREAM PARTNERS, LP
ENBL
+$1.02M

Sector Composition

Rank Sector Weight
1 Financials 7.5%
2 Technology 6.3%
3 Industrials 4.75%
4 Communication Services 4.63%
5 Energy 4.61%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GGN
201
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$764M
$298K 0.1%
56,250
-1,300
-2% -$7.51K
NKE icon
202
Nike
NKE
$62B
$298K 0.1%
5,863
-561
-9% -$28.8K
OXY icon
203
Occidental Petroleum
OXY
$56.7B
$297K 0.1%
4,172
-945
-18% -$67.1K
ARCC icon
204
Ares Capital
ARCC
$13.4B
$292K 0.1%
17,715
+2,634
+17% +$41.5K
WBA
205
DELISTED
Walgreens Boots Alliance
WBA
$291K 0.1%
+3,511
New +$290K
MSD
206
Morgan Stanley Emerging Markets Debt Fund
MSD
$147M
$290K 0.1%
31,845
– –
SPYD icon
207
State Street SPDR Portfolio S&P 500 High Dividend ETF
SPYD
$7.64B
$287K 0.1%
8,228
-431
-5% -$14.9K
HON icon
208
Honeywell
HON
$76.5B
$286K 0.09%
2,729
+68
+3% +$6.92K
YPF icon
209
YPF
YPF
$20.1B
$286K 0.09%
17,332
-500
-3% -$8.56K
PTY icon
210
PIMCO Corporate & Income Opportunity Fund
PTY
$2.48B
$283K 0.09%
19,768
-650
-3% -$9.37K
TRQ
211
DELISTED
Turquoise Hill Resources Ltd
TRQ
$283K 0.09%
8,749
-230
-3% -$7.4K
ORC
212
PUT
Orchid Island Capital
ORC
$1.3B
$280K 0.09%
5,600
+4,200
+300% +$224K
CIEN icon
213
Ciena
CIEN
$55.5B
$275K 0.09%
11,270
-50
-0.4% -$1.09K
KO icon
214
Coca-Cola
KO
$353B
$275K 0.09%
6,629
+525
+9% +$21.8K
MQT
215
DELISTED
BlackRock MuniYield Quality Fund II
MQT
$275K 0.09%
21,450
-23,435
-52% -$307K
VO icon
216
Vanguard Mid-Cap ETF
VO
$106B
$275K 0.09%
8,368
– –
WY icon
217
Weyerhaeuser
WY
$17.2B
$274K 0.09%
9,113
-946
-9% -$29.2K
TSI
218
TCW Strategic Income Fund
TSI
$212M
$273K 0.09%
51,150
– –
NVS icon
219
Novartis
NVS
$295B
$270K 0.09%
4,134
+145
+4% +$9.41K
AMBA icon
220
Ambarella
AMBA
$2.95B
$267K 0.09%
4,939
-460
-9% -$27.7K
PSX icon
221
Phillips 66
PSX
$83.1B
$267K 0.09%
3,091
+185
+6% +$15.4K
PDP icon
222
Invesco Dorsey Wright Momentum ETF
PDP
$1.51B
$264K 0.09%
6,292
-180
-3% -$7.53K
RIG icon
223
Transocean
RIG
$5.92B
$264K 0.09%
17,890
+483
+3% +$5.72K
VWO icon
224
Vanguard FTSE Emerging Markets ETF
VWO
$119B
$262K 0.09%
7,326
+122
+2% +$4.47K
WMT icon
225
Walmart Inc
WMT
$868B
$255K 0.08%
+11,055
New +$258K
7 8
9
10 11

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NWAM LLC's Q4 2016 Portfolio in Review

As of Q4 2016, NWAM LLC held 316 positions worth $301M, down 77% from $1.32B the previous quarter. Its ten largest holdings account for 25% of the portfolio.

NWAM LLC withdrew a net $953M in Q4 2016, closing 29 positions and reducing 121 holdings. Its most notable exit was Apple, an estimated $8.18M position sold in full.

By sector, the portfolio is most concentrated in Financials at 7.5% of assets, up from 1.3% a quarter earlier, followed by Technology and Industrials.

Against the trend, NWAM LLC opened a new position in Flaherty & Crumrine Total Return Fund worth $5.95M.

  • NWAM LLC's largest Q4 2016 buy was Flaherty & Crumrine Total Return Fund: 299,205 shares worth $5.95M.
  • NWAM LLC added most to Amazon in Q4 2016, an estimated $1.17M increase.
  • NWAM LLC's biggest Q4 2016 reduction was Invesco S&P 500 Equal Weight ETF, cutting an estimated $1.37M.
  • NWAM LLC fully exited Apple in Q4 2016, selling an estimated $8.18M.
  • NWAM LLC's ten largest holdings make up 25% of its $301M portfolio in Q4 2016.
  • NWAM LLC opened 36 new positions and closed 29 in Q4 2016.
  • NWAM LLC's portfolio value fell 77% quarter-over-quarter to $301M.

Based on NWAM LLC's 13F filing for Q4 2016, filed 2 Feb 2017.