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Portfolio (Quarterly) Guide ↗

NWAM LLC

· CIK 0001655006
13F Portfolio $1.7B AUM 615 positions Filed Feb 4, 2026 EDGAR ↗ ← All Funds
Q3 2025 Q2 2025 · All 615 New
Page 31 of 31  ·  615 positions
# Ticker Company Sector Shares Value ↓ % Port Chg Shares Chg % Period Price ① Since Period ①
601 ULTY TIDAL TR II 20,116.0 $124K 0.01% NEW $6.14 +406.8%
602 ERC ALLSPRING MULTI SECTOR INCOM Financial Services 12,859.0 $120K 0.01% NEW $9.37 -4.5%
603 ZVIA ZEVIA PBC Consumer Defensive 36,641.0 $118K 0.01% NEW $3.22 -56.3%
604 EDD MORGAN STANLEY EMERGING MKTS Financial Services 14,728.0 $75K 0.00% NEW $5.11 +5.1%
605 RIG TRANSOCEAN LTD Energy 24,278.0 $69K 0.00% NEW $2.82 +167.5%
606 EVLV EVOLV TECHNOLOGIES HLDNGS IN Industrials 10,000.0 $66K 0.00% NEW $6.55 -14.7%
607 BITFARMS LTD 63,026.0 $53K 0.00% NEW $0.84
608 NEW GOLD INC CDA 12,000.0 $50K 0.00% NEW $4.19
609 TDAY GANNETT CO INC Communication Services 11,844.0 $42K 0.00% NEW $3.58 +109.6%
610 IVEDA SOLUTIONS INC 15,625.0 $30K 0.00% NEW $1.91
611 CGTX COGNITION THERAPEUTICS INC Healthcare 42,777.0 $25K 0.00% NEW $0.59 +86.1%
612 DCGO DOCGO INC Healthcare 15,000.0 $20K 0.00% NEW $1.36 -58.4%
613 KOPN KOPIN CORP Technology 10,000.0 $18K 0.00% NEW $1.79 +169.5%
614 LINEAGE CELL THERAPEUTICS IN 15,000.0 $15K 0.00% NEW $1.02
615 VERU INC 12,000.0 $6K NEW $0.48
Page 31 of 31  ·  615 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 39.4%
Financial Services 16.9%
Industrials 8.6%
Healthcare 8.5%
Consumer Cyclical 8.5%
Communication Services 6.5%
Consumer Defensive 4.4%
Energy 4.0%
Basic Materials 1.4%
Utilities 1.3%