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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
+3.04%
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
$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

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

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

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
MSFT icon
1
Microsoft
MSFT
$2.93T
$12.8M 4.23%
205,186
+7,080
+4% +$426K
VTV icon
2
Vanguard Value ETF
VTV
$186B
$9.16M 3.04%
98,441
+1,337
+1% +$120K
BTZ icon
3
BlackRock Credit Allocation Income Trust
BTZ
$953M
$8.32M 2.76%
641,587
-24,681
-4% -$313K
VUG icon
4
Vanguard Growth ETF
VUG
$221B
$8.25M 2.74%
443,892
-3,702
-0.8% -$68.5K
AAPL icon
5
CALL
Apple
AAPL
$4.9T
$7.48M 2.48%
+258,368
New +$7.33M
QQQ icon
6
Invesco QQQ Trust
QQQ
$466B
$6.2M 2.06%
52,332
+5,118
+11% +$604K
FLC
7
Flaherty & Crumrine Total Return Fund
FLC
$177M
$5.95M 1.97%
+299,205
New +$6.05M
IWD icon
8
iShares Russell 1000 Value ETF
IWD
$81.9B
$5.77M 1.91%
51,471
+723
+1% +$78.2K
RSP icon
9
Invesco S&P 500 Equal Weight ETF
RSP
$96.4B
$5.61M 1.86%
64,753
-16,247
-20% -$1.37M
BND icon
10
Vanguard Total Bond Market
BND
$159B
$5.56M 1.84%
68,766
+530
+0.8% +$43.4K
SBUX icon
11
Starbucks
SBUX
$120B
$5.32M 1.76%
95,823
+4,108
+4% +$228K
IWF icon
12
iShares Russell 1000 Growth ETF
IWF
$123B
$5.25M 1.74%
200,056
-336
-0.2% -$8.72K
USB icon
13
US Bancorp
USB
$98.4B
$5.11M 1.69%
99,391
-260
-0.3% -$12.4K
VNQ icon
14
Vanguard Real Estate ETF
VNQ
$39.6B
$4.69M 1.55%
56,779
+2,341
+4% +$191K
BA icon
15
Boeing
BA
$169B
$4.45M 1.48%
28,589
-1,438
-5% -$210K
ERC
16
Allspring Multi-Sector Income Fund
ERC
$256M
$4.13M 1.37%
322,269
-13,596
-4% -$172K
RITM icon
17
Rithm Capital
RITM
$5.2B
$4.05M 1.34%
257,424
-7,436
-3% -$110K
BRK.B icon
18
Berkshire Hathaway Class B
BRK.B
$1.06T
$3.95M 1.31%
24,211
+6,866
+40% +$1.06M
BSV icon
19
Vanguard Short-Term Bond ETF
BSV
$44.7B
$3.68M 1.22%
46,319
+3,426
+8% +$274K
IJH icon
20
iShares Core S&P Mid-Cap ETF
IJH
$122B
$3.63M 1.2%
109,815
+2,085
+2% +$66.1K
AMZN icon
21
Amazon
AMZN
$2.66T
$3.55M 1.18%
94,580
+29,940
+46% +$1.17M
MDY icon
22
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$27.3B
$3.29M 1.09%
10,912
+1,220
+13% +$353K
FFC
23
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$782M
$3.17M 1.05%
168,154
-14,109
-8% -$277K
CVX icon
24
Chevron
CVX
$373B
$3.11M 1.03%
26,421
+993
+4% +$108K
CRHM
25
DELISTED
CRH Medical Corporation
CRHM
$2.62M 0.87%
498,800
-49,714
-9% -$252K
1
2 3 4 5

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VCM
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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 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.