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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 15 of 32  ·  637 positions
# Ticker Company Sector Shares Value ↓ % Port Chg Shares Chg % Period Price ① Since Period ①
281 STIP ISHARES TR 9,542.0 $987K 0.05% -616.0 -6.1% $103.45 -1.4%
282 JCI JOHNSON CTLS INTL PLC Industrials 8,921.0 $987K 0.05% -220.0 -2.4% $110.60 +30.9%
283 SGOV ISHARES TR 9,800.0 $986K 0.05% +212.0 +2.2% $100.58 +0.0%
284 MBB ISHARES TR 10,249.0 $984K 0.05% +1K +12.2% $95.96 -1.5%
285 JMEE J P MORGAN EXCHANGE TRADED F 15,448.0 $983K 0.05% +5K +44.5% $63.63 +20.0%
286 MFC MANULIFE FINL CORP Financial Services 30,614.0 $975K 0.05% $31.85 +27.5%
287 BAI BLACKROCK ETF TRUST 27,390.0 $961K 0.05% +16K +140.4% $35.09 +51.6%
288 CMI CUMMINS INC Industrials 2,315.0 $958K 0.05% +78.0 +3.5% $413.94 +73.2%
289 MSTR STRATEGY INC Technology 3,029.0 $956K 0.05% -213.0 -6.6% $315.75 -64.4%
290 MO ALTRIA GROUP INC Consumer Defensive 14,733.0 $950K 0.05% +395.0 +2.8% $64.47 +7.2%
291 STX SEAGATE TECHNOLOGY HLDNGS PL Technology 4,412.0 $950K 0.05% +95.0 +2.2% $215.26 +397.2%
292 EFX EQUIFAX INC Industrials 4,063.0 $939K 0.05% $231.12 -33.4%
293 CTA SIMPLIFY EXCHANGE TRADED FUN 32,279.0 $929K 0.05% $28.78 -5.5%
294 C CITIGROUP INC Financial Services 9,272.0 $924K 0.05% +811.0 +9.6% $99.63 +43.6%
295 DBMF LITMAN GREGORY FDS TR 32,004.0 $919K 0.05% $28.70 +7.7%
296 REGN REGENERON PHARMACEUTICALS Healthcare 1,593.0 $918K 0.05% +38.0 +2.4% $576.32 +5.8%
297 MRK MERCK & CO INC Healthcare 10,634.0 $912K 0.05% -753.0 -6.6% $85.76 +32.8%
298 BUFR FIRST TR EXCHNG TRADED FD VI 27,046.0 $908K 0.05% +751.0 +2.9% $33.59 +8.6%
299 SCHM SCHWAB STRATEGIC TR 30,404.0 $907K 0.05% +1K +3.6% $29.82 +21.0%
300 CRM SALESFORCE INC Technology 3,563.0 $905K 0.05% +34.0 +1.0% $253.86 -40.2%
Page 15 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%