13F-HR filed by NWAM LLC
NWAM LLC filed this 13F-HR for the quarter ended 2013-12-31, filed 2016-09-09, with 178 holding rows worth $188,355,000.
- Accession
- 0001085146-16-004403
- Filer
- CIK 1655006
- Filed
- 2016-09-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 178 entries on the cover page, a total value of $188,355,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $188,355,000 with VALUE read as thousands by filing date, 13F file number 028-17002. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| Microsoft Corp | 594918104 | COM | 277,549 | $10,383,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 73,261 | $5,220,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 58,970 | $4,207,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 43,743 | $4,070,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 98,448 | $3,977,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 251,255 | $3,912,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 50,184 | $3,834,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 55,059 | $3,805,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 14,097 | $3,696,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 128,145 | $3,592,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 25,816 | $3,524,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 37,831 | $3,328,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 49,173 | $3,175,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 23,737 | $3,170,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 45,403 | $3,046,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 34,696 | $2,982,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 29,132 | $2,743,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 99,019 | $2,570,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 42,584 | $2,520,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 68,033 | $2,500,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 19,967 | $2,494,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 20,838 | $2,472,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 49,414 | $2,428,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 25,923 | $2,408,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 9,752 | $2,381,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 52,539 | $2,333,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 27,756 | $2,260,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 35,011 | $2,206,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 20,671 | $2,200,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 94,273 | $2,164,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 47,721 | $2,127,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 56,911 | $2,001,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 83,952 | $1,883,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 31,651 | $1,851,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 15,180 | $1,807,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 17,403 | $1,761,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 21,598 | $1,729,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 93,443 | $1,698,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 31,001 | $1,648,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 15,079 | $1,631,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 30,776 | $1,591,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 59,639 | $1,580,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 13,831 | $1,579,000 | thousands by filing date | |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 234,239 | $1,565,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 107,905 | $1,541,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 29,792 | $1,491,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 22,742 | $1,478,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 92,447 | $1,461,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 17,896 | $1,430,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 105,391 | $1,416,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 36,705 | $1,370,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 27,030 | $1,314,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 42,838 | $1,312,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 34,387 | $1,229,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 33,413 | $1,214,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 61,654 | $1,054,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 14,406 | $1,018,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 13,439 | $998,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 5,340 | $986,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 25,245 | $969,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 89,698 | $964,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 25,139 | $943,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 33,852 | $919,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 28,805 | $917,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 62,541 | $839,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 52,170 | $822,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 16,073 | $815,000 | thousands by filing date | |
| PRECISION CASTPARTS CORP | 740189105 | COM | 2,938 | $791,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 6,592 | $724,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 155,284 | $722,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 21,775 | $701,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 6,343 | $697,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 7,531 | $690,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 44,654 | $689,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 16,299 | $681,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,659 | $662,000 | thousands by filing date | |
| NEWCASTLE INVT CORP | 65105M108 | COM | 114,189 | $655,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 8,446 | $652,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 9,422 | $650,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 33,726 | $606,000 | thousands by filing date | |
| BANK HAWAII CORP | 062540109 | COM | 10,000 | $591,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 10,633 | $581,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 55,000 | $551,000 | thousands by filing date | |
| 38259p508 | COM | 481 | $539,000 | thousands by filing date | ||
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 12,813 | $534,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 10,400 | $534,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 21,216 | $534,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 2,793 | $524,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 11,357 | $516,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 13,828 | $509,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 36,050 | $499,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 4,463 | $497,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 5,011 | $486,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 10,494 | $483,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 2,837 | $477,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 9,304 | $460,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 8,627 | $448,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 4,451 | $433,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 4,742 | $430,000 | thousands by filing date | |
| IJH | 464287507 | COM | 3,211 | $430,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 8,180 | $426,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 10,204 | $414,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 5,048 | $411,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 2,921 | $410,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 7,541 | $404,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 8,533 | $397,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 45,000 | $385,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 4,819 | $384,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 6,129 | $379,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 9,167 | $365,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 11,347 | $358,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 4,665 | $351,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 4,668 | $349,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 3,495 | $346,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 34,100 | $341,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 8,778 | $336,000 | thousands by filing date | |
| CABLEVISION SYS CORP | 12686C109 | CL A NY CABLVS | 18,752 | $336,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 3,600 | $334,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 3,327 | $331,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 2,887 | $329,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 18,191 | $323,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 28,556 | $322,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 13,050 | $313,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 3,842 | $310,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 17,300 | $299,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 1,667 | $297,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 3,839 | $296,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 9,937 | $295,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 56,275 | $293,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 4,269 | $285,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 7,285 | $279,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 4,000 | $276,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 3,470 | $273,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 6,205 | $272,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 4,025 | $270,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 2,928 | $264,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 16,540 | $262,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 8,796 | $260,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 3,027 | $255,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 2,254 | $246,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 24,664 | $246,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 3,372 | $245,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 23,900 | $239,000 | thousands by filing date | |
| TIBCO SOFTWARE INC | 88632Q103 | COM | 10,500 | $236,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 6,000 | $235,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 3,057 | $234,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 3,341 | $223,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 4,801 | $223,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 2,090 | $211,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 3,906 | $209,000 | thousands by filing date | |
| COLUMBIA BKG SYS INC | 197236102 | COM | 7,442 | $205,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 2,332 | $203,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 12,318 | $202,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 6,016 | $201,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 25,280 | $201,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 11,350 | $191,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 12,600 | $190,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 59,400 | $187,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 11,657 | $182,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 24,400 | $162,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 21,691 | $155,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 16,525 | $149,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 16,000 | $144,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 41,100 | $141,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 14,485 | $133,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 13,025 | $131,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 11,819 | $129,000 | thousands by filing date | |
| NUVEEN MASSACHUSETTS | 67072F108 | COM | 11,700 | $117,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 48,913 | $105,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 13,000 | $99,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 16,000 | $59,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 10,017 | $56,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 10,090 | $39,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 30,000 | $28,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 17,000 | $23,000 | thousands by filing date | |
| ENERGIZER HLDGS INC | 29266R108 | COM | 62,096 | $12,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 15,000 | $6,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 12,650 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-16-004403 | this filing | 2016-09-09 | acceptance time not in the bulk data set |