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Portfolio (Quarterly) Guide ↗

NWAM LLC

· CIK 0001655006
13F Portfolio $1.8B AUM 637 positions Filed Feb 4, 2026 EDGAR ↗ ← All Funds
Q3 2025 Q2 2025 · All 52 New 207 Added 260 Reduced 30 Exited
Page 8 of 11  ·  207 positions
# Ticker Company Sector Shares Value ↓ % Port Chg Shares Chg % Period Price ① Since Period ①
141 AXP AMERICAN EXPRESS CO Financial Services 1,929.0 $672K 0.04% +612.0 +46.5% $348.60 -3.0%
142 BEPC BROOKFIELD RENEWABLE CORP Utilities 16,475.0 $665K 0.04% +6K +62.5% $40.36 -7.3%
143 GOVT ISHARES TR 28,066.0 $653K 0.04% +15K +111.7% $23.28 -2.3%
144 TLT ISHARES TR 7,146.0 $653K 0.04% +73.0 +1.0% $91.38 -5.1%
145 EWJ ISHARES INC 7,724.0 $642K 0.04% +222.0 +3.0% $83.15 +15.8%
146 SPHY SPDR SERIES TRUST 26,644.0 $637K 0.04% +12K +87.6% $23.93 -2.0%
147 OXY OCCIDENTAL PETE CORP Energy 14,242.0 $625K 0.03% +6K +77.2% $43.91 +18.0%
148 COP CONOCOPHILLIPS Energy 6,951.0 $610K 0.03% +686.0 +10.9% $87.81 +22.7%
149 VGLT VANGUARD SCOTTSDALE FDS 10,453.0 $607K 0.03% +581.0 +5.9% $58.08 -4.8%
150 HASI HA SUSTAINABLE INFRA CAP INC Financial Services 19,509.0 $599K 0.03% +3K +15.8% $30.70 +27.2%
151 MUNI PIMCO ETF TR 11,364.0 $598K 0.03% +591.0 +5.5% $52.62 -0.2%
152 DGS WISDOMTREE TR 10,037.0 $574K 0.03% +395.0 +4.1% $57.21 +16.2%
153 FISV FISERV INC Technology 4,511.0 $566K 0.03% +53.0 +1.2% $125.52 -61.9%
154 GGN GAMCO GLOBAL GOLD NAT RES & Financial Services 103,110.0 $529K 0.03% +3K +2.9% $5.13 -2.9%
155 ES EVERSOURCE ENERGY Utilities 7,176.0 $522K 0.03% +2K +52.3% $72.74 -4.3%
156 JGRO J P MORGAN EXCHANGE TRADED F 5,545.0 $521K 0.03% +353.0 +6.8% $94.01 +3.8%
157 HAIL SPDR SERIES TRUST 14,102.0 $513K 0.03% +234.0 +1.7% $36.39 +11.7%
158 SCZ ISHARES TR 6,478.0 $498K 0.03% +78.0 +1.2% $76.84 +8.8%
159 VMBS VANGUARD SCOTTSDALE FDS 10,402.0 $491K 0.03% +2K +31.4% $47.24 -1.1%
160 FCOR FIDELITY MERRIMACK STR TR 10,024.0 $487K 0.03% +3K +41.3% $48.57 -2.7%
Page 8 of 11  ·  207 positions

Period Price is the implied market price on the last day of the reporting period, calculated as reported value ÷ shares held. It is not the fund's purchase price or cost basis — the fund may have initiated or added to the position at any point during the quarter at a different price. Since Period shows the price change from that quarter-end snapshot to today's last price — it reflects stock movement after the report date, not the fund's actual return.

Sector Allocation
Technology 39.7%
Financial Services 17.8%
Healthcare 9.8%
Consumer Cyclical 8.3%
Industrials 6.9%
Communication Services 6.3%
Consumer Defensive 4.0%
Energy 3.7%
Basic Materials 1.5%
Utilities 1.3%