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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 11 of 32  ·  637 positions
# Ticker Company Sector Shares Value ↓ % Port Chg Shares Chg % Period Price ① Since Period ①
201 HYG ISHARES TR 22,132.0 $1.8M 0.10% $81.11 -1.4%
202 DFGP DIMENSIONAL ETF TRUST 31,634.0 $1.8M 0.10% +3K +12.3% $56.13 -2.4%
203 UNP UNION PAC CORP Industrials 7,710.0 $1.8M 0.10% -948.0 -10.9% $229.69 +11.8%
204 FCX FREEPORT-MCMORAN INC Basic Materials 41,408.0 $1.7M 0.10% -61K -59.6% $42.15 +62.9%
205 HON HONEYWELL INTL INC Industrials 8,406.0 $1.7M 0.09% -17K -66.6% $207.01 +10.6%
206 GILD GILEAD SCIENCES INC Healthcare 14,174.0 $1.7M 0.09% -931.0 -6.2% $121.58 +1.8%
207 KYN KAYNE ANDERSON ENERGY INFRST Financial Services 139,831.0 $1.7M 0.09% +28K +25.1% $12.24 +8.4%
208 VYMI VANGUARD WHITEHALL FDS 19,861.0 $1.7M 0.09% -1K -6.1% $84.89 +16.9%
209 SOFI SOFI TECHNOLOGIES INC Financial Services 58,430.0 $1.7M 0.09% -5K -7.2% $28.63 -37.5%
210 AVUS AMERICAN CENTY ETF TR 15,326.0 $1.7M 0.09% +163.0 +1.1% $109.05 +17.0%
211 SPEM SPDR INDEX SHS FDS 34,722.0 $1.7M 0.09% +17K +92.8% $47.55 +11.6%
212 BBUS J P MORGAN EXCHANGE TRADED F 13,540.0 $1.6M 0.09% $121.63 +11.0%
213 XLE SELECT SECTOR SPDR TR 18,745.0 $1.6M 0.09% +5K +40.7% $87.13 -38.3%
214 VOE VANGUARD INDEX FDS 9,368.0 $1.6M 0.09% +255.0 +2.8% $173.74 +12.7%
215 JMST J P MORGAN EXCHANGE TRADED F 31,339.0 $1.6M 0.09% -14K -31.1% $50.97 -0.0%
216 FDN FIRST TR EXCHANGE-TRADED FD 5,593.0 $1.6M 0.09% +73.0 +1.3% $282.55 -6.0%
217 DFEM DIMENSIONAL ETF TRUST 47,528.0 $1.5M 0.08% +2K +3.9% $32.58 +29.2%
218 PEP PEPSICO INC Consumer Defensive 10,453.0 $1.5M 0.08% -178.0 -1.7% $148.05 -4.1%
219 MCD MCDONALDS CORP Consumer Cyclical 5,009.0 $1.5M 0.08% -167.0 -3.2% $307.25 -9.3%
220 IAU ISHARES GOLD TR Financial Services 18,672.0 $1.5M 0.08% +3K +16.2% $81.30 -2.4%
Page 11 of 32  ·  637 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%