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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
+2.01%
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
$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

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

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

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
MSFT icon
1
Microsoft
MSFT
$2.93T
$9.22M 4.02%
198,410
-36,149
-15% -$1.7M
RSP icon
2
Invesco S&P 500 Equal Weight ETF
RSP
$96.4B
$8.53M 3.72%
106,551
-9,403
-8% -$731K
BTZ icon
3
BlackRock Credit Allocation Income Trust
BTZ
$953M
$8.47M 3.7%
655,528
+7,857
+1% +$105K
FLC
4
Flaherty & Crumrine Total Return Fund
FLC
$177M
$6.73M 2.94%
340,182
-3,239
-0.9% -$65.7K
ERC
5
Allspring Multi-Sector Income Fund
ERC
$256M
$5.99M 2.61%
439,197
+20,290
+5% +$281K
IWF icon
6
iShares Russell 1000 Growth ETF
IWF
$123B
$5.26M 2.3%
220,220
-24,708
-10% -$578K
IWD icon
7
iShares Russell 1000 Value ETF
IWD
$81.9B
$4.92M 2.15%
47,133
-4,538
-9% -$463K
AAPL icon
8
Apple
AAPL
$4.9T
$4.76M 2.08%
172,492
-30,024
-15% -$817K
FFC
9
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$782M
$4.46M 1.95%
234,181
-7,575
-3% -$152K
USB icon
10
US Bancorp
USB
$98.4B
$4.43M 1.94%
98,628
-8,813
-8% -$379K
VUG icon
11
Vanguard Growth ETF
VUG
$221B
$4.43M 1.93%
254,682
-19,758
-7% -$336K
VTV icon
12
Vanguard Value ETF
VTV
$186B
$4.27M 1.86%
50,513
-3,625
-7% -$299K
VNQ icon
13
Vanguard Real Estate ETF
VNQ
$39.6B
$4.2M 1.83%
51,825
-6,571
-11% -$516K
RITM icon
14
Rithm Capital
RITM
$5.2B
$4.15M 1.81%
324,704
-5,630
-2% -$71.1K
SBUX icon
15
Starbucks
SBUX
$120B
$3.37M 1.47%
82,138
-190,284
-70% -$7.43M
DVY icon
16
iShares Select Dividend ETF
DVY
$23.8B
$3.25M 1.42%
40,957
-4,382
-10% -$338K
BA icon
17
Boeing
BA
$169B
$3.01M 1.31%
23,159
-2,917
-11% -$370K
IJH icon
18
iShares Core S&P Mid-Cap ETF
IJH
$122B
$2.92M 1.27%
100,795
-8,420
-8% -$237K
AGG icon
19
iShares Core US Aggregate Bond ETF
AGG
$139B
$2.58M 1.13%
23,422
-234
-1% -$25.7K
BRK.B icon
20
Berkshire Hathaway Class B
BRK.B
$1.06T
$2.52M 1.1%
16,774
-6,289
-27% -$908K
AAXJ icon
21
iShares MSCI All Country Asia ex Japan ETF
AAXJ
$3.65B
$2.24M 0.98%
36,837
-766
-2% -$47.1K
PG icon
22
Procter & Gamble
PG
$349B
$2.07M 0.91%
22,765
-43,019
-65% -$3.78M
DJP icon
23
iPath Bloomberg Commodity Index Total Return ETN due 12 June 2036
DJP
$795M
$1.93M 0.84%
64,623
+6,729
+12% +$223K
COST icon
24
Costco
COST
$417B
$1.91M 0.83%
13,485
-6,923
-34% -$941K
CVX icon
25
Chevron
CVX
$373B
$1.88M 0.82%
16,772
-8,696
-34% -$988K
1
2 3 4 5

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PAIM
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RIA
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SFI
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MAM
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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.