Managing Member

0001085146-16-003840.txt : 20160516 0001085146-16-003840.hdr.sgml : 20160516 20160516151124 ACCESSION NUMBER: 0001085146-16-003840 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160516 DATE AS OF CHANGE: 20160516 EFFECTIVENESS DATE: 20160516 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NWAM LLC CENTRAL INDEX KEY: 0001655006 IRS NUMBER: 000000000 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17002 FILM NUMBER: 161653086 BUSINESS ADDRESS: STREET 1: 7900 SE 28TH STREET, SUITE 412 CITY: MERCER ISLAND STATE: WA ZIP: 98040 BUSINESS PHONE: (206)838-3680 MAIL ADDRESS: STREET 1: 7900 SE 28TH STREET, SUITE 412 CITY: MERCER ISLAND STATE: WA ZIP: 98040 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001655006 XXXXXXXX 03-31-2016 03-31-2016 NWAM LLC

7900 SE 28TH STREET, SUITE 412 MERCER ISLAND WA 98040

13F HOLDINGS REPORT 028-17002 N Greg Headrick Managing Member 206 838-3680 /s/ Greg Headrick Mercer Island WA 05-13-2016 0 253 252394 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y1017434459SHSOLE 445900ABBOTT LABSCOM0028241003428179SHSOLE 817900ABERDEEN ASIA PACIFIC INCOMCOM003009107764152754SHSOLE 15275400ADVISORSHARES TRPERITUS HG YLD00768Y503139644190SHSOLE 4419000AEMETIS INCCOM NEW00770K202344168606SHSOLE 16860600AFLAC INCCOM0010551022984726SHSOLE 472600AGRIUM INCCOM0089161082272570SHSOLE 257000ALIBABA GROUP HLDG LTDSPONSORED ADS01609W1026718491SHSOLE 849100ALLERGAN PLCSHSG0177J108233868SHSOLE 86800ALLIANCEBERNSTEIN GBL HGH INCOM01879R1061196102545SHSOLE 10254500ALPHABET INCCAP STK CL C02079K107636854SHSOLE 85400ALPHABET INCCAP STK CL A02079K3059781282SHSOLE 128200ALTRIA GROUP INCCOM02209S103105716869SHSOLE 1686900AMAZON COM INCCOM02313510616882843SHSOLE 284300AMBARELLA INCSHSG037AX1012505599SHSOLE 559900AMERICAN EXPRESS COCOM0258161093004898SHSOLE 489800AMERIGAS PARTNERS L PUNIT L P INT0309751062956786SHSOLE 678600AMGEN INCCOM0311621005293526SHSOLE 352600AMIRA NATURE FOODS LTDSHSG0335L10231131850SHSOLE 3185000ANI PHARMACEUTICALS INCCOM00182C10338811529SHSOLE 1152900ANNALY CAP MGMT INCCOM03571040991989540SHSOLE 8954000ANWORTH MORTGAGE ASSET CPCOM037347101716153700SHSOLE 15370000APPLE INCCOM037833100632858056SHSOLE 5805600AQUA AMERICA INCCOM03836W1032848938SHSOLE 893800ARES CAP CORPCOM04010L10328919446SHSOLE 1944600AT&T INCCOM00206R102127432527SHSOLE 3252700BANK AMER CORPCOM060505104130496463SHSOLE 9646300BANK HAWAII CORPCOM06254010968310000SHSOLE 1000000BANK MONTREAL QUECOM0636711013635988SHSOLE 598800BERKSHIRE HATHAWAY INC DELCL A0846701082131SHSOLE 100BERKSHIRE HATHAWAY INC DELCL B NEW084670702298021007SHSOLE 2100700BLACKROCK CORE BD TRSHS BEN INT09249E10137728150SHSOLE 2815000BLACKROCK CR ALLCTN INC TRCOM0925081008126649074SHSOLE 64907400BLACKROCK DEBT STRAT FD INCCOM09255R1037220644SHSOLE 2064400BLACKROCK FLOATING RATE INCOCOM09194110443233646SHSOLE 3364600BLACKROCK MUN 2020 TERM TRCOM SHS09249X1091832113057SHSOLE 11305700BLACKROCK MUNI INTER DR FD ICOM09253X10253136200SHSOLE 3620000BLACKROCK MUNI N Y INTER DURCOM09255F10940427000SHSOLE 2700000BLACKROCK MUNIHLDNGS QLTY IICOM09254C10788863305SHSOLE 6330500BLACKROCK MUNIY QUALITY FD ICOM09254G10830321685SHSOLE 2168500BLACKROCK MUNIYIELD QUALITYCOM09254F10027116650SHSOLE 1665000BOEING COCOM097023105395831182SHSOLE 3118200BP PLCSPONSORED ADR05562210471123560SHSOLE 2356000BRISTOL MYERS SQUIBB COCOM11012210899715603SHSOLE 1560300CALAMOS STRATEGIC TOTL RETNCOM SH BEN INT12812510111111700SHSOLE 1170000CBS CORP NEWCL B1248572024788683SHSOLE 868300CENTURYLINK INCCOM15670010639212259SHSOLE 1225900CHESAPEAKE ENERGY CORPCOM16516710715738136SHSOLE 3813600CHEVRON CORP NEWCOM166764100231724287SHSOLE 2428700CHIMERA INVT CORPCOM NEW16934Q20882560728SHSOLE 6072800CIENA CORPCOM NEW17177930920810920SHSOLE 1092000CISCO SYS INCCOM17275R10284329596SHSOLE 2959600CITIGROUP INCCOM NEW1729674242977105SHSOLE 710500CITRIX SYS INCCOM1773761002278900SHSOLE 890000CLOROX CO DELCOM1890541094673701SHSOLE 370100CMS ENERGY CORPCOM1258961003117331SHSOLE 733100COCA COLA COCOM1912161002184703SHSOLE 470300COLUMBIA BKG SYS INCCOM19723610233111068SHSOLE 1106800COMCAST CORP NEWCL A20030N10182513500SHSOLE 1350000COMPANHIA DE SANEAMENTO BASISPONSORED ADR20441A10236455161SHSOLE 5516100CONE MIDSTREAM PARTNERS LPCOM UNIT REPST20681210983366564SHSOLE 6656400CONOCOPHILLIPSCOM20825C1043739254SHSOLE 925400COSTCO WHSL CORP NEWCOM22160K105250615900SHSOLE 1590000CRH MEDICAL CORPCOM12626F1051806548800SHSOLE 54880000DANAHER CORP DELCOM2358511028308746SHSOLE 874600DISNEY WALT COCOM DISNEY2546871064534558SHSOLE 455800DIVERSIFIED REAL ASSET INC FCOM SHS25533B1081725109150SHSOLE 10915000DOUBLELINE INCOME SOLUTIONSCOM25862210943425795SHSOLE 2579500DOW CHEM COCOM26054310368013365SHSOLE 1336500DREYFUS STRATEGIC MUNS INCCOM26193210711713000SHSOLE 1300000DU PONT E I DE NEMOURS & COCOM2635341094196612SHSOLE 661200E M C CORP MASSCOM26864810245216965SHSOLE 1696500EATON CORP PLCSHSG291831034697495SHSOLE 749500EATON VANCE SH TM DR DIVR INCOM27828V10430722978SHSOLE 2297800ENABLE MIDSTREAM PARTNERS LPCOM UNIT RP IN29248010061471679SHSOLE 7167900ENTERPRISE PRODS PARTNERS LCOM29379210727711249SHSOLE 1124900EQUIFAX INCCOM2944291054574000SHSOLE 400000EXELIXIS INCCOM30161Q10422857000SHSOLE 5700000EXXON MOBIL CORPCOM30231G102221026438SHSOLE 2643800FACEBOOK INCCL A30303M102149213073SHSOLE 1307300FIRST TR ABERDEEN GLBL OPP FCOM SHS33731910748744423SHSOLE 4442300FLAHERTY & CRUMRINE TOTAL RECOM3384791086156303559SHSOLE 30355900FLAHERTY&CRMN PFD SEC INCOMCOM3384781003624178059SHSOLE 17805900FORD MTR CO DELCOM PAR $0.0134537086054840626SHSOLE 4062600FRANKLIN LTD DURATION INC TRCOM35472T101104892400SHSOLE 9240000FRONTIER COMMUNICATIONS CORPCOM35906A10822940898SHSOLE 4089800GAMCO GLOBAL GOLD NAT RES &COM SH BEN INT36465A10928350250SHSOLE 5025000GENERAL ELECTRIC COCOM369604103200663116SHSOLE 6311600GERDAU S ASPON ADR REP PFD373737105230129445SHSOLE 12944500GILEAD SCIENCES INCCOM375558103111312115SHSOLE 1211500HANCOCK JOHN INCOME SECS TRCOM41012310320814925SHSOLE 1492500HANCOCK JOHN PFD INCOME FDSH BEN INT41013W10838817450SHSOLE 1745000HANCOCK JOHN PFD INCOME FD ICOM41021P103138773532SHSOLE 7353200HCP INCCOM40414L1092196724SHSOLE 672400HERITAGE FINL CORP WASHCOM42722X106117766979SHSOLE 6697900HOEGH LNG PARTNERS LPCOM UNIT LTDY3262R10096255185SHSOLE 5518500HOME DEPOT INCCOM4370761024603445SHSOLE 344500INTEL CORPCOM458140100118836729SHSOLE 3672900INTERNATIONAL BUSINESS MACHSCOM4592001014232792SHSOLE 279200INVESCO TR INVT GRADE MUNSCOM46131M10619714070SHSOLE 1407000ISHARESMSCI BRZ CAP ETF46428640076028916SHSOLE 2891600ISHARES TRSELECT DIVID ETF464287168184422577SHSOLE 2257700ISHARES TRTIPS BD ETF46428717610669303SHSOLE 930300ISHARES TRCORE US AGGBD ET464287226276124913SHSOLE 2491300ISHARES TRMSCI EMG MKT ETF46428723475321991SHSOLE 2199100ISHARES TRIBOXX INV CP ETF464287242195716472SHSOLE 1647200ISHARES TRGLOB HLTHCRE ETF4642873255285482SHSOLE 548200ISHARES TRMSCI EAFE ETF46428746581514255SHSOLE 1425500ISHARES TRRUS MD CP GR ETF464287481117312730SHSOLE 1273000ISHARES TRCORE S&P MCP ETF464287507312221649SHSOLE 2164900ISHARES TRRUS 1000 VAL ETF464287598532153918SHSOLE 5391800ISHARES TRRUS 1000 GRW ETF464287614584658592SHSOLE 5859200ISHARES TRRUS 2000 VAL ETF46428763094710167SHSOLE 1016700ISHARES TRRUS 2000 GRW ETF4642876489807390SHSOLE 739000ISHARES TRU.S. ENERGY ETF46428779656216164SHSOLE 1616400ISHARES TRCORE S&P SCP ETF464287804161014302SHSOLE 1430200ISHARES TRU.S. BAS MTL ETF464287838125217092SHSOLE 1709200ISHARES TRSP SMCP600VL ETF4642878794724167SHSOLE 416700ISHARES TREAFE SML CP ETF4642882732965943SHSOLE 594300ISHARES TRJP MOR EM MK ETF464288281140812759SHSOLE 1275900ISHARES TR0-5 YR TIPS ETF46429B7472062044SHSOLE 204400JOHNSON & JOHNSONCOM478160104112110360SHSOLE 1036000JOHNSON CTLS INCCOM47836610739810218SHSOLE 1021800JPMORGAN CHASE & COCOM46625H10079513433SHSOLE 1343300KAYNE ANDERSON MLP INVT COCOM48660610621012700SHSOLE 1270000KEYCORP NEWCOM49326710836733216SHSOLE 3321600KIMBERLY CLARK CORPCOM4943681032191631SHSOLE 163100KINDER MORGAN INC DELCOM49456B10145225287SHSOLE 2528700KRAFT HEINZ COCOM5007541062373015SHSOLE 301500LLOYDS BANKING GROUP PLCSPONSORED ADR5394391096316070SHSOLE 1607000MAIDEN HOLDINGS LTDSHSG5753U11236328021SHSOLE 2802100MANAGED DURATION INVT GRD FUCOM56165R103124589315SHSOLE 8931500MANNKIND CORPCOM56400P20110363802SHSOLE 6380200MARKET VECTORS ETF TRCOAL ETF57060U83763884732SHSOLE 8473200MASTERCARD INCCL A57636Q1042542693SHSOLE 269300MCDONALDS CORPCOM5801351016455135SHSOLE 513500MEDLEY CAP CORPCOM58503F10623034850SHSOLE 3485000MEDTRONIC PLCSHSG5960L1032683570SHSOLE 357000MERCK & CO INC NEWCOM58933Y1054177889SHSOLE 788900MFA FINL INCCOM55272X10238656325SHSOLE 5632500MFS MULTIMARKET INCOME TRSH BEN INT55273710843474443SHSOLE 7444300MICRON TECHNOLOGY INCCOM59511210315114439SHSOLE 1443900MICROSOFT CORPCOM59491810411137201656SHSOLE 20165600MORGAN STANLEY EMER MKTS DEBCOM61744H10528031845SHSOLE 3184500MYLAN N VSHS EURON594651092465317SHSOLE 531700NETFLIX INCCOM64110L1063773684SHSOLE 368400NEUBERGER BERMAN INTER MUNICOM64124P10184452065SHSOLE 5206500NEW MEDIA INVT GROUP INCCOM64704V106107064320SHSOLE 6432000NEW MTN FIN CORPCOM64755110022417700SHSOLE 1770000NEW RESIDENTIAL INVT CORPCOM NEW64828T2013859331795SHSOLE 33179500NEWCASTLE INVT CORP NEWCOM PAR $0.0165105M6034510456SHSOLE 1045600NIKE INCCL B6541061033625892SHSOLE 589200NORDSTROM INCCOM6556641004397667SHSOLE 766700NUVEEN AMT-FREE MUN INCOME FCOM67065710557140150SHSOLE 4015000NUVEEN CR STRATEGIES INCM FDCOM SHS67073D102874110505SHSOLE 11050500NUVEEN DIVID ADVANTAGE MUN ICOM67071L10617411437SHSOLE 1143700NUVEEN MULTI MKT INCOME FDCOM67075J1078912315SHSOLE 1231500NUVEEN MUN ADVANTAGE FD INCCOM67062H10645331550SHSOLE 3155000NUVEEN MUN MKT OPPORTUNITY FCOM67062W10354338200SHSOLE 3820000NUVEEN NY AMT FREE MUN INCOMCOM67065610763146917SHSOLE 4691700NUVEEN PFD INCOME OPPRTNY FDCOM67073B10611211950SHSOLE 1195000NUVEEN QUALITY INCOME MUN FDCOM67097710718312399SHSOLE 1239900NUVEEN SELECT QUALITY MUN FDCOM67097310657239033SHSOLE 3903300NUVEEN SR INCOME FDCOM67067Y1047112000SHSOLE 1200000OCH ZIFF CAP MGMT GROUPCL A67551U10513631192SHSOLE 3119200OCULUS INNOVATIVE SCIENCES ICOM NEW67575P2072324000SHSOLE 2400000OCWEN FINL CORPCOM NEW6757463093714900SHSOLE 1490000OMEROS CORPCOM68214310239625798SHSOLE 2579800ORACLE CORPCOM68389X1052225421SHSOLE 542100PACCAR INCCOM693718108168030719SHSOLE 3071900PAN AMERICAN SILVER CORPCOM69790010815614365SHSOLE 1436500PEPSICO INCCOM7134481082842769SHSOLE 276900PETROBRAS ARGENTINA S ASPONS ADR71646J10916925772SHSOLE 2577200PETROLEO BRASILEIRO SA PETROSP ADR NON VTG71654V1016313855SHSOLE 1385500PFIZER INCCOM717081103153351709SHSOLE 5170900PHILIP MORRIS INTL INCCOM7181721093093146SHSOLE 314600PHILLIPS 66COM7185461042933387SHSOLE 338700PIMCO CORPORATE & INCOME OPPCOM72201B10126219218SHSOLE 1921800PIMCO CORPORATE INCOME STRATCOM72200U10077656435SHSOLE 5643500POWERSHARES ETF TR IIPFD PORTFOLIO73936T565123983021SHSOLE 8302100POWERSHARES ETF TRUSTDWA MOMENTUM PTF73935X1532736692SHSOLE 669200POWERSHARES ETF TRUST IISENIOR LN PORT73936Q76967529738SHSOLE 2973800POWERSHARES QQQ TRUSTUNIT SER 173935A104451441338SHSOLE 4133800PROCTER & GAMBLE COCOM7427181098109839SHSOLE 983900PROSHARES TRPSHS ULSHT SP50074347B30020010000SHCallSOLE 1000000PROSPECT CAPITAL CORPORATIONCOM74348T1029513050SHSOLE 1305000PUTNAM MASTER INTER INCOME TSH BEN INT7469091007316598SHSOLE 1659800PUTNAM MUN OPPORTUNITIES TRSH BEN INT74692210316713172SHSOLE 1317200QUALCOMM INCCOM74752510359711665SHSOLE 1166500REALTY INCOME CORPCOM75610910467510795SHSOLE 1079500RIO TINTO PLCSPONSORED ADR7672041002227850SHSOLE 785000ROYAL DUTCH SHELL PLCSPONS ADR A78025920659312247SHSOLE 1224700RYDEX ETF TRUSTGUG S&P500 EQ WT78355W106643982000SHSOLE 8200000SCHLUMBERGER LTDCOM8068571084265780SHSOLE 578000SCHWAB STRATEGIC TRUS LCAP GR ETF8085243003466599SHSOLE 659900SCHWAB STRATEGIC TRUS LCAP VA ETF8085244094139550SHSOLE 955000SCHWAB STRATEGIC TRUS TIPS ETF8085248703295924SHSOLE 592400SELECT SECTOR SPDR TRTECHNOLOGY81369Y8033718362SHSOLE 836200SHIP FINANCE INTERNATIONAL LSHSG8107510619614107SHSOLE 1410700SOUTHERN COCOM8425871073126032SHSOLE 603200SPDR GOLD TRUSTGOLD SHS78463V1072362000SHCallSOLE 200000SPDR S&P 500 ETF TRTR UNIT78462F10311295493SHSOLE 549300SPDR S&P 500 ETF TRPUT78462F9533001500SHPutSOLE 150000SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y10723669004SHSOLE 900400SPDR SERIES TRUSTBRC HGH YLD BD78464A41782524080SHSOLE 2408000SPECIAL OPPORTUNITIES FD INCCOM84741T10422717369SHSOLE 1736900ST JUDE MED INCCOM7908491032043712SHSOLE 371200STARBUCKS CORPCOM855244109497583335SHSOLE 8333500STATOIL ASASPONSORED ADR85771P10224115480SHSOLE 1548000STEALTHGAS INCSHSY8166910630185200SHSOLE 8520000T MOBILE US INCCOM87259010468217810SHSOLE 1781000TCW STRATEGIC INCOME FUND INCOM87234010427151836SHSOLE 5183600TEMPLETON EMERG MKTS INCOMECOM88019210919719154SHSOLE 1915400TEXAS INSTRS INCCOM8825081042243902SHSOLE 390200TIME WARNER INCCOM NEW8873173032783832SHSOLE 383200TITAN INTL INC ILLCOM88830M1028716205SHSOLE 1620500TRANSOCEAN LTDREG SHSH8817H10013815122SHSOLE 1512200TURQUOISE HILL RES LTDCOM90043510823391836SHSOLE 9183600U S GEOTHERMAL INCCOM90338S102710000SHSOLE 1000000UNION PAC CORPCOM9078181085056345SHSOLE 634500UNITED TECHNOLOGIES CORPCOM9130171092052051SHSOLE 205100UQM TECHNOLOGIES INCCOM9032131062646213SHSOLE 4621300US BANCORP DELCOM NEW902973304395997532SHSOLE 9753200VANGUARD BD INDEX FD INCSHORT TRM BOND921937827306037947SHSOLE 3794700VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835514762162SHSOLE 6216200VANGUARD CHARLOTTE FDSINTL BD IDX ETF92203J407147827099SHSOLE 2709900VANGUARD INDEX FDSMCAP GR IDXVIP922908538110110979SHSOLE 1097900VANGUARD INDEX FDSREIT ETF922908553508960732SHSOLE 6073200VANGUARD INDEX FDSSM CP VAL ETF9229086115715600SHSOLE 560000VANGUARD INDEX FDSMID CAP ETF9229086292472037SHSOLE 203700VANGUARD INDEX FDSGROWTH ETF922908736772972611SHSOLE 7261100VANGUARD INDEX FDSVALUE ETF922908744785795367SHSOLE 9536700VANGUARD INDEX FDSSMALL CP ETF922908751191817207SHSOLE 1720700VANGUARD INDEX FDSTOTAL STK MKT9229087693683509SHSOLE 350900VANGUARD INTL EQUITY INDEX FFTSE SMCAP ETF9220427182602781SHSOLE 278100VANGUARD INTL EQUITY INDEX FALLWRLD EX US922042775163637924SHSOLE 3792400VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF9220428582998657SHSOLE 865700VANGUARD NAT RES LLCCOM UNIT92205F1063222052SHSOLE 2205200VANGUARD SCOTTSDALE FDSSHTRM GVT BD ETF92206C1023816222SHSOLE 622200VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C4093714636SHSOLE 463600VANGUARD SPECIALIZED PORTFOLDIV APP ETF9219088444916046SHSOLE 604600VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF921943858204256919SHSOLE 5691900VECTOR GROUP LTDCOM92240M10845319817SHSOLE 1981700VEDANTA LTDSPONSORED ADR92242Y1005911905SHSOLE 1190500VERIZON COMMUNICATIONS INCCOM92343V104165730647SHSOLE 3064700WEATHERFORD INTL PLCORD SHSG4883310017923043SHSOLE 2304300WELLS FARGO MULTI SECTOR INCWF MLT SECTR INC94987D1014207344303SHSOLE 34430300WELLTOWER INCCOM95040Q1046699646SHSOLE 964600WESTERN ASSET EMRG MKT DEBTCOM95766A10197667209SHSOLE 6720900WESTERN ASSET MTG DEF OPPTYCOM95790B10934315074SHSOLE 1507400WESTPORT INNOVATIONS INCCOM NEW9609083096123550SHSOLE 2355000WEYERHAEUSER COCOM96216610434711212SHSOLE 1121200YPF SOCIEDAD ANONIMASPON ADR CL D98424510032818332SHSOLE 1833200