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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
+10.07%
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
$606M
AUM Growth
-$108M
Cap. Flow
-$158M
Cap. Flow %
-26.11%
Top 10 Hldgs %
33.46%
Holding
446
New
26
Increased
70
Reduced
122
Closed
198

Top Buys

Rank Stock Value
1
VTIP icon
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
+$3.98M
2
SHOP icon
Shopify
SHOP
+$3.62M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.37M
4
ISTB icon
iShares Core 1-5 Year USD Bond ETF
ISTB
+$2.78M
5
MOS icon
The Mosaic Company
MOS
+$2.77M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$25.5M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.55M
3
GOVT icon
iShares US Treasury Bond ETF
GOVT
+$5.5M
4
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$4.62M
5
ESGU icon
iShares ESG Aware MSCI USA ETF
ESGU
+$3.63M

Sector Composition

Rank Sector Weight
1 Technology 18.93%
2 Consumer Discretionary 6.02%
3 Industrials 4.84%
4 Financials 4.11%
5 Healthcare 3.76%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TSI
201
TCW Strategic Income Fund
TSI
$213M
$262K 0.04%
46,650
-115
-0.2% -$659
OMER icon
202
Omeros
OMER
$821M
$261K 0.04%
25,795
-1,350
-5% -$17.4K
TEVA icon
203
Teva Pharmaceuticals
TEVA
$36.2B
$257K 0.04%
28,552
-146
-0.5% -$1.54K
BHK icon
204
BlackRock Core Bond Trust
BHK
$644M
$239K 0.04%
15,294
– –
F icon
205
Ford
F
$58.5B
$238K 0.04%
35,706
-1,276
-3% -$8.64K
NRK icon
206
Nuveen New York AMT-Free Quality Municipal Income Fund
NRK
$904M
$235K 0.04%
18,238
– –
MMT
207
Aberdeen Multi-Market Income Fund
MMT
$238M
$229K 0.04%
40,755
+354
+0.9% +$2.06K
IQDF icon
208
FlexShares International Quality Dividend Index Fund
IQDF
$1.13B
$226K 0.04%
+10,920
New +$230K
JHS
209
John Hancock Income Securities Trust
JHS
$127M
$225K 0.04%
14,825
– –
ARCC icon
210
Ares Capital
ARCC
$13.6B
$221K 0.04%
15,809
-34,529
-69% -$491K
DSL
211
DoubleLine Income Solutions Fund
DSL
$1.23B
$217K 0.04%
13,543
-2,413
-15% -$38.6K
SPE
212
Special Opportunities Fund
SPE
$139M
$216K 0.04%
18,182
– –
OYST
213
DELISTED
Oyster Point Pharma, Inc. Common Stock
OYST
$211K 0.03%
10,000
– –
TCS
214
DELISTED
THE CONTAINER STORE GROUP, INC.
TCS
$206K 0.03%
+2,217
New +$143K
SGOL icon
215
abrdn Physical Gold Shares ETF
SGOL
$6.97B
$197K 0.03%
10,866
-253
-2% -$4.66K
BSE
216
DELISTED
BLACKROCK NEW YORK MUNICIPAL INCOME QUALITY TRUST
BSE
$192K 0.03%
14,700
– –
VGM icon
217
Invesco Trust Investment Grade Municipals
VGM
$549M
$175K 0.03%
14,070
– –
BGT icon
218
BlackRock Floating Rate Income Trust
BGT
$324M
$169K 0.03%
15,035
+163
+1% +$1.83K
MUE
219
DELISTED
BlackRock MuniHoldings Quality Fund II
MUE
$168K 0.03%
13,198
-17,000
-56% -$219K
MQT
220
DELISTED
BlackRock MuniYield Quality Fund II
MQT
$165K 0.03%
12,600
– –
GGB icon
221
Gerdau
GGB
$9.48B
$162K 0.03%
55,124
-8,316
-13% -$22.8K
NAC icon
222
Nuveen California Quality Municipal Income Fund
NAC
$1.83B
$162K 0.03%
11,093
– –
FCX icon
223
Freeport-McMoran
FCX
$90.2B
$157K 0.03%
+10,034
New +$145K
SFL icon
224
SFL Corp
SFL
$1.59B
$151K 0.02%
20,172
-2,620
-11% -$22.9K
FEN
225
DELISTED
First Trust Energy Income and Growth Fund
FEN
$151K 0.02%
16,675
+1,000
+6% +$9.96K
7 8
9
10 11

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NWAM LLC's Q3 2020 Portfolio in Review

As of Q3 2020, NWAM LLC held 446 positions worth $606M, down 15% from $714M the previous quarter. Its ten largest holdings account for 33% of the portfolio.

NWAM LLC withdrew a net $158M in Q3 2020, closing 198 positions and reducing 122 holdings. Its most notable exit was iShares US Treasury Bond ETF, an estimated $5.5M position sold in full.

By sector, the portfolio is most concentrated in Technology at 19% of assets, up from 19% a quarter earlier, followed by Consumer Discretionary and Industrials.

Against the trend, NWAM LLC opened a new position in Vanguard Short-Term Inflation-Protected Securities Index Fund worth $4.01M.

  • NWAM LLC's largest Q3 2020 buy was Vanguard Short-Term Inflation-Protected Securities Index Fund: 78,539 shares worth $4.01M.
  • NWAM LLC added most to Shopify in Q3 2020, an estimated $3.62M increase.
  • NWAM LLC's biggest Q3 2020 reduction was Apple, cutting an estimated $25.5M.
  • NWAM LLC fully exited iShares US Treasury Bond ETF in Q3 2020, selling an estimated $5.5M.
  • NWAM LLC's ten largest holdings make up 33% of its $606M portfolio in Q3 2020.
  • NWAM LLC opened 26 new positions and closed 198 in Q3 2020.
  • NWAM LLC's portfolio value fell 15% quarter-over-quarter to $606M.

Based on NWAM LLC's 13F filing for Q3 2020, filed 16 Oct 2020.