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Livermore
Livermore
ZHEN

Nwam LLC

SEC CIK
0001655006
Latest filing
Jul 23, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 3, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
493
+26 vs. Q2 2021
Portfolio value
$1.10B
+$25.2M (+2.3%) vs. Q2 2021
Filed
Nov 3, 2021
SEC
Holdings of Nwam LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
Bridgetown Holdings LtdG1355U113COM CL A18,433$21.0K<0.1%+18,433New–
ADVMAdverum Biotechnologies, Inc.COM10,000$22.0K<0.1%00.0%UnchangedHistory
ATHXAthersys, IncCOM20,000$27.0K<0.1%00.0%UnchangedHistory
RIGTransocean Ltd.REGISTERED SHS20,064$76.0K<0.1%+2,285+12.9%AddedHistory
NSLNuveen Senior Income FundCOM14,100$82.0K<0.1%00.0%UnchangedHistory
Invesco Exch Traded FD Tr II46138E164S&P SMLCP ENGY11,000$84.0K<0.1%00.0%Unchanged–
ProShares Tr74347G861ULTRAPRO SHT QQQ10,040$87.0K<0.1%+10,040New–
Bitfarms Ltd Com09173B107Stock20,845$89.0K<0.1%+20,845New–
XOSXos, Inc.COMMON STOCK20,000$93.0K<0.1%+20,000NewHistory
Gores Holdings VII Inc38286T101COM CL A10,000$99.0K<0.1%+10,000New–
KZRKezar Life Sciences, Inc.COM12,592$109.0K<0.1%00.0%UnchangedHistory
INOInovio Pharmaceuticals, Inc.COM NEW16,000$115.0K<0.1%−200−1.2%ReducedHistory
OYSTOyster Point Pharma, Inc.COM10,000$119.0K<0.1%00.0%UnchangedHistory
LEOBNY Mellon Strategic Municipals, Inc.COM15,500$135.0K<0.1%00.0%UnchangedHistory
TDAYUSA TODAY Co., Inc.COM21,069$141.0K<0.1%−382−1.8%ReducedHistory
JQCNuveen Credit Strategies Income FundCOM SHS22,082$145.0K<0.1%+11,041+100.0%AddedHistory
FFord Motor CoStock11,451$162.0K<0.1%−19,094−62.5%ReducedHistory
SFLSFL Corp Ltd.SHS22,531$189.0K<0.1%−4,215−15.8%ReducedHistory
Fidelity Covington Trust316092709MSCI INDL INDX3,871$201.0K<0.1%+3,871New–
DGDollar General CorpCOM953$202.0K<0.1%+8+0.8%AddedHistory
MSMorgan StanleyStock2,087$203.0K<0.1%+2,087NewHistory
iShares Russell Mid-Cap Value ETF464287473ETF1,803$204.0K<0.1%−665−26.9%Reduced–
Nushares ETF Tr67092P300NUVEEN ESG LRGVL5,452$204.0K<0.1%+5,452New–
State Street SPDR Bloomberg Convertible Securities ETF78464A359ETF2,423$207.0K<0.1%+2,423New–
DELLDell Technologies Inc.Stock1,990$207.0K<0.1%+1,990NewHistory
FISFidelity National Information Services, Inc.Stock1,698$207.0K<0.1%−50−2.9%ReducedHistory
NVSNovartis AGADR2,546$208.0K<0.1%−221−8.0%ReducedHistory
LDOSLeidos Holdings, Inc.COM2,163$208.0K<0.1%−300−12.2%ReducedHistory
ELVElevance Health, Inc.Stock560$209.0K<0.1%+560NewHistory
Invesco Exch Traded FD Tr II46138E263S&P GBL WATER3,767$210.0K<0.1%00.0%Unchanged–
Fidelity High Dividend ETF316092840ETF5,700$211.0K<0.1%+5,700New–
AZNAstraZeneca PLCSPONSORED ADR3,528$212.0K<0.1%+3,528NewHistory
DDominion Energy, IncStock2,945$215.0K<0.1%+109+3.8%AddedHistory
TTTrane Technologies plcSHS1,257$217.0K<0.1%+26+2.1%AddedHistory
HIGHartford Insurance Group, Inc.Stock3,108$218.0K<0.1%+3,108NewHistory
Invesco Exchange Traded FD T46137V142WATER RES ETF4,055$222.0K<0.1%+200+5.2%Added–
MAMastercard IncStock645$224.0K<0.1%−26−3.9%ReducedHistory
CERNCERNER CorpCOM3,184$225.0K<0.1%+3,184NewHistory
Invesco Exch Traded FD Tr II46138E230S&P INTL LOW7,366$226.0K<0.1%+318+4.5%Added–
BNYBank of New York Mellon CorpStock4,381$227.0K<0.1%+12+0.3%AddedHistory
CTVACorteva, Inc.Stock5,384$227.0K<0.1%−30−0.6%ReducedHistory
Invesco Exch Traded FD Tr II46138E198S&P MIDCP LOW4,322$227.0K<0.1%+208+5.1%Added–
Invesco Exchange Traded FD T46137V365S&P500 EQL ENR5,096$230.0K<0.1%−62−1.2%Reduced–
WDFCWD 40 CoCOM1,000$231.0K<0.1%−300−23.1%ReducedHistory
Vanguard Admiral FDS Inc921932885MIDCP 400 IDX1,300$232.0K<0.1%+1,300New–
Victory Portfolios II92647N824VCSHS US EQ INCM3,612$233.0K<0.1%+3,612New–
URIUnited Rentals, Inc.COM666$234.0K<0.1%+35+5.5%AddedHistory
ETEnergy Transfer LPCOM UT LTD PTN24,515$235.0K<0.1%−294−1.2%ReducedHistory
PAYXPaychex IncStock2,098$236.0K<0.1%−94−4.3%ReducedHistory
LINLinde PLCSHS805$236.0K<0.1%−56−6.5%ReducedHistory
Vanguard Long-Term Treasury ETF92206C847ETF2,719$238.0K<0.1%+50+1.9%Added–
MRVLMarvell Technology, Inc.COM3,954$238.0K<0.1%+33+0.8%AddedHistory
VanEck ETF Trust92189H409HIGH YLD MUNIETF3,837$240.0K<0.1%+3,837New–
IFFInternational Flavors & Fragrances IncCOM1,795$240.0K<0.1%+23+1.3%AddedHistory
AMTAmerican Tower CorpREIT909$241.0K<0.1%+96+11.8%AddedHistory
HZNPHorizon Therapeutics Public Ltd CoSHS2,205$242.0K<0.1%+3+0.1%AddedHistory
State Street Consumer Staples Select Sector SPDR ETF81369Y308ETF3,543$244.0K<0.1%+412+13.2%Added–
MRNAModerna, Inc.Stock635$244.0K<0.1%+635NewHistory
HSYHershey CoCOM1,442$244.0K<0.1%00.0%UnchangedHistory
IPGInterpublic Group of Companies, Inc.COM6,656$244.0K<0.1%−226−3.3%ReducedHistory
XYLXylem Inc.COM1,987$246.0K<0.1%00.0%UnchangedHistory
iShares Tr46435G417CR 5 10 YR ETF4,850$248.0K<0.1%00.0%Unchanged–
IPInternational Paper CoCOM4,453$249.0K<0.1%−139−3.0%ReducedHistory
Global X FDS37954Y467E COMMERCE ETF8,265$249.0K<0.1%+8,265New–
CTSHCognizant Technology Solutions CorpCL A3,378$251.0K<0.1%+3,378NewHistory
SPDR Series Trust78468R739ST NUVE TERM ETF5,075$251.0K<0.1%+5,075New–
ZSZscaler, Inc.Stock967$254.0K<0.1%−5−0.5%ReducedHistory
Vanguard Morningstar Small-Cap Growth ETF922908595ETF913$256.0K<0.1%00.0%Unchanged–
NOWServiceNow, Inc.Stock415$258.0K<0.1%+18+4.5%AddedHistory
LUMNLumen Technologies, Inc.Stock21,153$262.0K<0.1%−278−1.3%ReducedHistory
WisdomTree Tr97717W281EMG MKTS SMCAP4,939$264.0K<0.1%+49+1.0%Added–
iShares Russell Top 200 Growth ETF464289438ETF1,736$265.0K<0.1%+1,736New–
VanEck ETF Trust92189F387SHRT HGH YLD MUN10,596$266.0K<0.1%00.0%Unchanged–
iShares Core S&P U.S. Growth ETF464287671ETF2,605$267.0K<0.1%+2,605New–
TTETotalEnergies SESPONSORED ADS5,594$268.0K<0.1%+90+1.6%AddedHistory
SGOLabrdn Gold ETF TrustETF15,983$269.0K<0.1%+2,422+17.9%AddedHistory
State Street SPDR Portfolio S&P 500 ETF78464A854ETF5,359$270.0K<0.1%−33,617−86.3%Reduced–
Flexshares Tr33939L837INTL QLTDV IDX10,761$271.0K<0.1%−159−1.5%Reduced–
KMIKinder Morgan, Inc.Stock16,274$272.0K<0.1%−2,919−15.2%ReducedHistory
APDAir Products & Chemicals, Inc.Stock1,069$274.0K<0.1%−13−1.2%ReducedHistory
iShares Tr464288166AGENCY BOND ETF2,312$274.0K<0.1%+122+5.6%Added–
ProShares Tr74347X633ULTRA FNCLS NEW4,316$274.0K<0.1%−10.0%Reduced–
iShares Tr464287515EXPANDED TECH690$275.0K<0.1%00.0%Unchanged–
iShares Tr46434V4070-5YR HI YL CP6,063$277.0K<0.1%+121+2.0%Added–
TRVTravelers Companies, Inc.Stock1,831$278.0K<0.1%+10+0.5%AddedHistory
CCLCarnival Corp Ltd.UNIT 99/99/999911,100$278.0K<0.1%+11,100NewHistory
Victory Portfolios II92647N832VCSHS US SML CAP4,344$279.0K<0.1%+4,344New–
LMTLockheed Martin CorpStock814$281.0K<0.1%+6+0.7%AddedHistory
PGRProgressive CorpStock3,163$286.0K<0.1%+122+4.0%AddedHistory
J P Morgan Exchange Traded F46641Q217BETABULDRS JAPAN4,914$289.0K<0.1%−3,278−40.0%Reduced–
BTIBritish American Tobacco p.l.c.SPONSORED ADR8,228$290.0K<0.1%+876+11.9%AddedHistory
ITWIllinois Tool Works IncStock1,439$297.0K<0.1%−94−6.1%ReducedHistory
FST Tr New Opport MLP & Ene33739M100COM52,632$299.0K<0.1%00.0%Unchanged–
VanEck Vectors ETF Tr92189F817VIETNAM ETF15,701$303.0K<0.1%−55−0.3%Reduced–
SPDR Series Trust78464A573ST STR SP HCSVC2,931$305.0K<0.1%00.0%Unchanged–
APPNAppian CorpCL A3,330$308.0K<0.1%00.0%UnchangedHistory
ATVIActivision Blizzard, Inc.COM4,012$310.0K<0.1%+3+0.1%AddedHistory
ICLRIcon PLCCOM1,200$314.0K<0.1%+1,200NewHistory
OKEONEOK IncCOM5,406$314.0K<0.1%+168+3.2%AddedHistory
BAMBrookfield Asset Management Ltd.CL A LTD VT SH5,878$315.0K<0.1%−342−5.5%ReducedHistory

Sold out since Q2 2021 (28)

Positions held at the end of Q2 2021 that are gone from this filing.

Positions of Nwam LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
Vanguard BD Index FDS921937793LONG TERM BOND16,213$1.67M0.2%–
iShares MSCI USA Momentum Factor ETF46432F396ETF7,231$1.25M0.1%–
LRCXLam Research CorpCOM1,621$1.05M0.1%History
Schwab Strategic Tr8085247141 5YR CORP BD18,561$950.0K0.1%–
WisdomTree Tr97717X578EM EX ST-OWNED18,622$783.0K0.1%–
AESAES CorpStock29,173$761.0K0.1%History
BYNDBeyond Meat, Inc.COM3,785$596.0K0.1%History
GMGeneral Motors CoCOM8,905$527.0K<0.1%History
STIMNeuronetics, Inc.COM20,000$320.0K<0.1%History
BIPBrookfield Infrastructure Partners L.P.LP INT UNIT5,725$318.0K<0.1%History
Vanguard Industrials ETF92204A603ETF1,496$294.0K<0.1%–
STZConstellation Brands, Inc.Stock1,229$288.0K<0.1%History
ARK ETF Tr00214Q302GENOMIC REV ETF2,906$269.0K<0.1%–
First Tr Exchange-Traded FD33739Q200FST LOW OPPT EFT4,899$249.0K<0.1%–
DBBInvesco DB Base Metals FundBASE METALS FD12,000$243.0K<0.1%History
Schwab US Aggregate Bond ETF808524839ETF4,120$225.0K<0.1%–
DUKDuke Energy CORPStock2,264$223.0K<0.1%History
NTRSNorthern Trust CorpCOM1,929$223.0K<0.1%History
ARK ETF Tr00214Q203AUTNMUS TECHNLGY2,547$220.0K<0.1%–
GISGeneral Mills IncStock3,599$219.0K<0.1%History
Invesco Exchange Traded FD T46137V621FINL PFD ETF11,152$215.0K<0.1%–
SPDR Series Trust78468R549SP O&G EQP SERV3,404$211.0K<0.1%–
CHTRCharter Communications, Inc.CL A282$203.0K<0.1%History
TWLOTwilio IncCL A513$202.0K<0.1%History
MMacy's, Inc.COM10,101$192.0K<0.1%History
VGMInvesco Trust for Investment Grade MunicipalsCOM11,570$162.0K<0.1%History
ABEVAmbev S.A.SPONSORED ADR44,911$154.0K<0.1%History
TSITCW Strategic Income Fund IncCOM11,700$69.0K<0.1%History