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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
COINCoinbase Global, Inc.COM CL A2,526$575.0K0.1%+829+48.9%AddedHistory
SOSouthern CoStock9,337$579.0K0.1%−780−7.7%ReducedHistory
Invesco Exch Traded FD Tr II46138E800CHINA TECHNLGY8,803$579.0K0.1%00.0%Unchanged–
MDBMongoDB, Inc.CL A1,230$580.0K0.1%−200−14.0%ReducedHistory
Vanguard Morningstar Mid-Cap Value ETF922908512ETF4,171$582.0K0.1%+18+0.4%Added–
AMATApplied Materials IncStock4,521$582.0K0.1%+295+7.0%AddedHistory
iShares Tr46435G433MSCI USA SMCP MN15,777$585.0K0.1%−170−1.1%Reduced–
iShares Inc464286608MSCI EURZONE ETF12,170$586.0K0.1%+97+0.8%Added–
Invesco Exchange Traded FD T46137V134WILDERHIL CLAN7,613$588.0K0.1%+16+0.2%Added–
Exchange Traded Concepts Tru301505889EMQQ EME MAR ETF11,940$592.0K0.1%00.0%Unchanged–
Invesco Exch Traded FD Tr II46138G508SR LN ETF26,850$594.0K0.1%−264−1.0%Reduced–
iShares Tr464288158SHRT NAT MUN ETF5,562$598.0K0.1%−124−2.2%Reduced–
DOWDow Inc.Stock10,407$599.0K0.1%−932−8.2%ReducedHistory
iShares Tr464287762US HLTHCARE ETF2,177$601.0K0.1%+100+4.8%Added–
NACNuveen California Quality Municipal Income FundCOM38,684$607.0K0.1%+38,684NewHistory
First Tr Exchange-Traded FD33737K205INDXX NEXTG ETF7,960$607.0K0.1%+113+1.4%Added–
iShares Tr464288109MORNINGSTAR VALU9,590$610.0K0.1%+9,590New–
RIORio Tinto PLCADR9,161$612.0K0.1%−32,619−78.1%ReducedHistory
CCitigroup IncStock8,733$613.0K0.1%−645−6.9%ReducedHistory
JCIJohnson Controls International plcStock9,048$616.0K0.1%+62+0.7%AddedHistory
ProShares Tr74347X823ULTRPRO DOW309,000$619.0K0.1%+2,000+28.6%Added–
ASANAsana, Inc.CL A6,050$628.0K0.1%00.0%UnchangedHistory
State Street Utilities Select Sector SPDR ETF81369Y886ETF9,979$637.0K0.1%+1,541+18.3%Added–
iShares Tr46434V878ULTRA SHORT DUR12,610$637.0K0.1%−4,037−24.3%Reduced–
BMOBank of MontrealCOM6,434$642.0K0.1%+24+0.4%AddedHistory
iShares Tr46435G334MSCI UK ETF NEW20,050$647.0K0.1%−6,532−24.6%Reduced–
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT174,478$651.0K0.1%+3,926+2.3%AddedHistory
VanEck ETF Trust92189H300JP MRGAN EM LOC21,988$659.0K0.1%+5,654+34.6%Added–
iShares S&P 100 ETF464287101ETF3,372$666.0K0.1%−8−0.2%Reduced–
DOCUDocuSign, Inc.Stock2,599$669.0K0.1%−27−1.0%ReducedHistory
FFCFlaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INCCOM30,209$673.0K0.1%+129+0.4%AddedHistory
NTRNutrien Ltd.COM10,471$679.0K0.1%+61+0.6%AddedHistory
iShares Tr464287291GLOBAL TECH ETF11,983$679.0K0.1%+6,019+100.9%AddedConverted for a 6-for-1 split–
ETNEaton Corp plcStock4,580$684.0K0.1%+7+0.2%AddedHistory
Vanguard Scottsdale FDS92206C706INTER TERM TREAS10,176$687.0K0.1%+67+0.7%Added–
Vanguard Index FDS922908652EXTEND MKT ETF3,782$690.0K0.1%+3,782New–
iShares Tr464287739U.S. REAL ES ETF6,768$693.0K0.1%+1,101+19.4%Added–
iShares Tr46434V696CORE MSCI PAC10,424$698.0K0.1%+10,424New–
Schwab U.S. Small-Cap ETF808524607ETF7,024$703.0K0.1%−2,604−27.0%Reduced–
TGTTarget CorpStock3,226$738.0K0.1%+1,670+107.3%AddedHistory
BXBlackstone Inc.COM6,355$739.0K0.1%−140−2.2%ReducedHistory
ILMNIllumina, Inc.COM1,825$740.0K0.1%+1,825NewHistory
Invesco S&P 500 Equal Weight Technology ETF46137V282ETF2,586$745.0K0.1%−955−27.0%Reduced–
iShares S&P Mid-Cap 400 Value ETF464287705ETF7,283$750.0K0.1%+10.0%Added–
iShares Tr464288356CALIF MUN BD ETF12,171$756.0K0.1%−2,412−16.5%Reduced–
iShares Broad Usd Investment Grade Corporate Bond ETF464288620ETF12,857$773.0K0.1%−313−2.4%Reduced–
BABAAlibaba Group Holding LtdADR5,276$781.0K0.1%−3,109−37.1%ReducedHistory
WMTWalmart Inc.Stock5,663$789.0K0.1%+10.0%AddedHistory
Invesco Exch Traded FD Tr II46138E719BLOO EN ANGE ETF40,539$790.0K0.1%00.0%Unchanged–
LLYEli Lilly & CoStock3,431$793.0K0.1%−153−4.3%ReducedHistory
WisdomTree Tr97717X719CHINADIV EX FI14,832$793.0K0.1%−2,813−15.9%Reduced–
Vanguard Intermediate-Term Corporate Bond ETF92206C870ETF8,421$795.0K0.1%+5,109+154.3%Added–
Vanguard Emerging Markets Government Bond ETF921946885ETF10,283$805.0K0.1%−1,032−9.1%Reduced–
ERCAllspring Multi-Sector Income FundCOM59,730$808.0K0.1%+29,871+100.0%AddedHistory
Global X FDS37954Y848GLOBAL X SILVER23,245$816.0K0.1%−26,533−53.3%Reduced–
BMYBristol Myers Squibb CoStock13,821$818.0K0.1%+2,085+17.8%AddedHistory
iShares Tr464287630RUS 2000 VAL ETF5,125$821.0K0.1%−620−10.8%Reduced–
BOHBank of Hawaii CorpCOM10,000$822.0K0.1%00.0%UnchangedHistory
Schwab US Tips ETF808524870ETF13,885$869.0K0.1%−402−2.8%Reduced–
iShares Tr46429B655FLTG RATE NT ETF17,219$875.0K0.1%+4,424+34.6%Added–
ACNAccenture plcStock2,763$884.0K0.1%−40−1.4%ReducedHistory
NTRANatera, Inc.COM7,950$886.0K0.1%00.0%UnchangedHistory
GEGeneral Electric CoStock8,606$887.0K0.1%+693+8.8%AddedConverted for a 1-for-8 splitHistory
CATCaterpillar IncStock4,647$892.0K0.1%+547+13.3%AddedHistory
MCDMcDonalds CorpStock3,730$899.0K0.1%−193−4.9%ReducedHistory
Vanguard Intl Equity Index F922042866FTSE PACIFIC ETF11,172$905.0K0.1%−31−0.3%Reduced–
AAWWAtlas Air Worldwide Holdings IncCOM NEW11,360$928.0K0.1%+11,360NewHistory
UNHUnitedHealth Group IncStock2,420$945.0K0.1%+167+7.4%AddedHistory
Exchange Listed FDS Tr30151E814HIGH YIELD ETF29,879$957.0K0.1%−1,935−6.1%Reduced–
DEDeere & CoStock2,869$961.0K0.1%+265+10.2%AddedHistory
PCNPIMCO Corporate & Income Strategy FundCOM54,165$977.0K0.1%−254−0.5%ReducedHistory
TXNTexas Instruments IncStock5,111$982.0K0.1%+142+2.9%AddedHistory
Schwab International Equity ETF808524805ETF25,710$995.0K0.1%00.0%Unchanged–
NFLXNetflix IncStock1,645$1.00M0.1%−472−22.3%ReducedHistory
iShares U.S. Medical Devices ETF464288810ETF16,141$1.01M0.1%+241+1.5%AddedConverted for a 6-for-1 split–
EFXEquifax IncCOM4,000$1.01M0.1%00.0%UnchangedHistory
iShares Tr464288208MRGSTR MD CP ETF15,437$1.03M0.1%−491−3.1%Reduced–
iShares Tr464288646ISHS 1-5YR INVS19,270$1.05M0.1%−5,374−21.8%Reduced–
ORealty Income CorpREIT16,282$1.06M0.1%+223+1.4%AddedHistory
PTYPIMCO Corporate & Income Opportunity FundCOM57,788$1.06M0.1%+28,014+94.1%AddedHistory
AMDAdvanced Micro Devices IncStock10,362$1.07M0.1%−155−1.5%ReducedHistory
iShares Tr464288752US HOME CONS ETF16,121$1.07M0.1%+6,447+66.6%Added–
CSCOCisco Systems, Inc.Stock19,657$1.07M0.1%+900+4.8%AddedHistory
LOWLowes Companies IncStock5,370$1.09M0.1%+56+1.1%AddedHistory
KYNKayne Anderson Energy Infrastructure Fund, Inc.COM137,614$1.10M0.1%−15,832−10.3%ReducedHistory
GILDGilead Sciences, Inc.Stock15,853$1.11M0.1%+2,508+18.8%AddedHistory
UUnity Software Inc.COM9,000$1.14M0.1%+2,500+38.5%AddedHistory
MRKMerck & Co., Inc.Stock15,142$1.14M0.1%−1,523−9.1%ReducedHistory
Fidelity Covington Trust316092857MSCI RL EST ETF37,747$1.15M0.1%+8,553+29.3%Added–
FAXAbrdn Asia-Pacific Income Fund, Inc.COM278,819$1.16M0.1%−945−0.3%ReducedHistory
Schwab U.S. Large-Cap Growth ETF808524300ETF7,873$1.17M0.1%−11−0.1%Reduced–
ETF Managers Tr26924G102PRIME JUNIR SLVR99,347$1.17M0.1%−9,418−8.7%Reduced–
iShares Tr464287556ISHARES BIOTECH7,269$1.18M0.1%−290−3.8%Reduced–
UPSTUpstart Holdings, Inc.COM3,715$1.18M0.1%+3,715NewHistory
AMGNAmgen IncStock5,540$1.18M0.1%+518+10.3%AddedHistory
MMM3M CoStock6,738$1.18M0.1%−305−4.3%ReducedHistory
PSXPhillips 66Stock16,918$1.19M0.1%+2,754+19.4%AddedHistory
HASIHA Sustainable Infrastructure Capital, Inc.COM22,341$1.20M0.1%+8,860+65.7%AddedHistory
Kraneshares Tr500767736QUADRTC INT RT43,075$1.20M0.1%+6,437+17.6%Added–
iShares Tr46428743220 YR TR BD ETF8,341$1.20M0.1%+801+10.6%Added–

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