CIK: 0001512914
Total reported value
$51.0M
Reporting period: 2016-12-31 · Number of holdings: 64
Nichols Asset Management LLC disclosed 64 holdings in its latest 13F filing for the period ending 2016-12-31, with total reported value of $51.0M and a quarterly turnover rate of 9.9%.
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Nichols Asset Management LLC's disclosed holdings carry a Herfindahl concentration index of 0.039 — mathematically equivalent to about 26 equally-sized positions, well below its 64 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 1.23), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 22% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Trim 73935A104
-16.7% -$472.0K
Add 252787106
0.0% $187.0K
Trim CVS
-36.5% -$255.0K
Add QNDX
0.0% -$40.0K
Add SPY
0.0% $86.0K
Trim V
-30.9% -$186.0K
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | PFF | Ishares Preferred & Income S | ETF-Other | 10.68% | -0.12% | — | |
| 2 | QNDX | State Street SPDR Portfolio Nasdaq 100 ETF | ETF-Tech | 10.53% | +0.43% | — | |
| 3 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 5.22% | +0.41% | — | |
| 4 | ✓ | Spdr Djia ETF Trust | ETF-Other | 4.93% | +0.59% | — | |
| 5 | ✓ | Stock-Other | 4.57% | -0.66% | -16.65% | ||
| 6 | DVY | Ishares Select Dividend ETF | ETF-Other | 3.23% | +0.26% | — | |
| 7 | MRSH | Marsh & Mclennan Cos | Stock-Financials | 3.13% | — | — | |
| 8 | IGSB | Ishares 1-5y Inv Grade CORP | ETF-Other | 2.69% | — | — | |
| 9 | INTC | Intel CORP | Stock-Tech | 1.98% | +0.02% | — | |
| 10 | MMM | 3m Co | Stock-Industrials | 1.98% | — | — | |
| 11 | JNJ | Johnson & Johnson | Stock-Healthcare | 1.90% | — | +0.96% | |
| 12 | CNC | Centene CORP | Stock-Healthcare | 1.87% | -0.24% | — | |
| 13 | MCD | Mcdonald's CORP | Stock-Consumer Disc | 1.81% | +0.18% | — | |
| 14 | BDX | Becton Dickinson And Co | Stock-Healthcare | 1.60% | -0.05% | — | |
| 15 | AEP | American Electric Power Company, Inc. | Stock-Utilities | 1.58% | +0.17% | — | |
| 16 | UTXZ | United Tech CORP | Stock-Other | 1.52% | +0.18% | — | |
| 17 | ✓ | Novartis AG | Stock-Other | 1.47% | -0.05% | — | |
| 18 | PEP | Pepsico INC | Stock-Consumer Staples | 1.41% | +0.01% | — | |
| 19 | NSRGY | Nestle Sa-spons Adr | Stock-Other | 1.39% | -0.07% | — | |
| 20 | GIS | General Mills INC | Stock-Consumer Staples | 1.24% | — | — | |
| 21 | ROP | Roper Technologies INC | Stock-Tech | 1.23% | — | — | |
| 22 | ABBV | Abbvie INC | Stock-Healthcare | 1.20% | — | — | |
| 23 | TJX | Tjx Companies INC | Stock-Consumer Disc | 1.19% | — | — | |
| 24 | SF | Stifel Financial CORP | Stock-Financials | 1.15% | +0.31% | — | |
| 25 | TMO | Thermo Fisher Scientific INC | Stock-Healthcare | 1.15% | -0.08% | — | |
| 26 | IWM | Ishares Russell 2000 ETF | ETF-Small Cap | 1.11% | +0.13% | — | |
| 27 | PUK | Prudential Plc-adr | Stock-Other | 1.08% | +0.16% | — | |
| 28 | UNP | Union Pacific CORP | Stock-Industrials | 1.07% | +0.11% | — | |
| 29 | BASFY | Basf Se-spon Adr | Stock-Other | 1.06% | +0.13% | — | |
| 30 | WPP | Wpp Plc-sponsored Adr | Stock-Other | 1.04% | -0.01% | — | |
| 31 | ES | Eversource Energy | Stock-Utilities | 1.03% | — | — | |
| 32 | BIIB | Biogen INC | Stock-Healthcare | 1.03% | -0.05% | — | |
| 33 | MSFT | Microsoft CORP | Stock-Tech | 1.02% | +0.12% | — | |
| 34 | SYY | Sysco CORP | Stock-Consumer Staples | 1.01% | +0.16% | — | |
| 35 | WMT | Walmart INC | Stock-Consumer Staples | 0.99% | — | — | |
| 36 | KMB | Kimberly-clark CORP | Stock-Consumer Staples | 0.98% | -0.06% | — | |
| 37 | AMT | American Tower CORP | Stock-Real Estate | 0.93% | -0.02% | — | |
| 38 | AMZN | Amazon.com INC | Stock-Consumer Disc | 0.88% | -0.06% | — | |
| 39 | SYTUSD | Syngenta Ag-adr | Stock-Other | 0.88% | -0.04% | — | |
| 40 | AMGN | Amgen INC | Stock-Healthcare | 0.82% | -0.07% | — | |
| 41 | ✓ | Fuji Heavy Indus-unspons Adr | Stock-Other | 0.80% | +0.10% | +300.00% | |
| 42 | ✓ | Fdx | Stock-Other | 0.77% | +0.08% | — | |
| 43 | ABT | Abbott Laboratories | Stock-Healthcare | 0.76% | -0.03% | — | |
| 44 | NEE | Nextera Energy INC | Stock-Utilities | 0.75% | — | — | |
| 45 | TSM | Taiwan Semiconductor-sp Adr | Stock-Tech | 0.69% | -0.01% | — | |
| 46 | V | Visa Inc-class A Shares | Stock-Financials | 0.69% | -0.31% | -30.86% | |
| 47 | CSCO | Cisco Systems, Inc. | Stock-Tech | 0.65% | — | — | |
| 48 | NGG | National Grid plc | Stock-Utilities | 0.65% | -0.11% | — | |
| 49 | CVS | Cvs Health CORP | Stock-Healthcare | 0.65% | -0.44% | -36.50% | |
| 50 | CVX | Chevron CORP | Stock-Energy | 0.64% | +0.11% | — |
Not enough priced holdings yet to compute performance
| Period | Holdings | Total value | Stability | Top holdings |
|---|---|---|---|---|
| 2016-12-31 | 64 | $51.0M | 10 | |
| 2016-09-30 | 69 | $53.5M | 16 | |
| 2016-06-30 | 69 | $49.2M | 100 | |
| 2016-03-31 | 112 | $453.5M | 33 | |
| 2015-12-31 | 113 | $459.1M | 36 | |
| 2015-09-30 | 118 | $447.6M | 69 | |
| 2015-06-30 | 127 | $560.6M | 39 | |
| 2015-03-31 | 129 | $571.5M | 38 | |
| 2014-12-31 | 132 | $509.7M | 45 | |
| 2014-09-30 | 157 | $484.0M | 40 | |
| 2014-06-30 | 158 | $494.7M | 47 | |
| 2014-03-31 | 157 | $444.3M | 34 | |
| 2013-12-31 | 157 | $478.9M | 40 | |
| 2013-09-30 | 158 | $362.7M | 29 | |
| 2013-06-30 | 152 | $330.1M | 0 |
Nichols Asset Management LLC's most significant position changes for 2016-12-31: Sold out: Teva Pharmaceutical-sp Adr (TEVA); Sold out: Nike INC -cl B (NKE); Sold out: Johnson & Johnson (JNJ); New buy: Costco Wholesale CORP (COST); Sold out: Jm Smucker Co/the (SJM).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | ✓ | Spdr Djia ETF Trust | +0.6% | — | Unchanged |
| 2 | QNDX | State Street SPDR Portfolio Nasdaq 100 ETF | +0.4% | — | Unchanged |
| 3 | SPY | Ss Spdr S&p 500 ETF Trust-us | +0.4% | — | Unchanged |
| 4 | SF | Stifel Financial CORP | +0.3% | — | Unchanged |
| 5 | DVY | Ishares Select Dividend ETF | +0.3% | — | Unchanged |
| 6 | UTXZ | United Tech CORP | +0.2% | — | Unchanged |
| 7 | MCD | Mcdonald's CORP | +0.2% | — | Unchanged |
| 8 | AEP | American Electric Power Company, Inc. | +0.2% | — | Unchanged |
| 9 | SYY | Sysco CORP | +0.2% | — | Unchanged |
| 10 | PUK | Prudential Plc-adr | +0.2% | — | Unchanged |
| 11 | IWM | Ishares Russell 2000 ETF | +0.1% | — | Unchanged |
| 12 | BASFY | Basf Se-spon Adr | +0.1% | — | Unchanged |
| 13 | MSFT | Microsoft CORP | +0.1% | — | Unchanged |
| 14 | CVX | Chevron CORP | +0.1% | — | Unchanged |
| 15 | UNP | Union Pacific CORP | +0.1% | — | Unchanged |
| 16 | ✓ | Fuji Heavy Indus-unspons Adr | +0.1% | +300.00% | Add |
| 17 | ADP | Automatic Data Processing | +0.1% | — | Unchanged |
| 18 | ✓ | Fdx | +0.1% | — | Unchanged |
| 19 | INTC | Intel CORP | 0% | — | Unchanged |
| 20 | PEP | Pepsico INC | 0% | — | Unchanged |
| 21 | WPP | Wpp Plc-sponsored Adr | 0% | — | Unchanged |
| 22 | TSM | Taiwan Semiconductor-sp Adr | 0% | — | Unchanged |
| 23 | AMT | American Tower CORP | 0% | — | Unchanged |
| 24 | GILD | Gilead Sciences INC | 0% | — | Unchanged |
| 25 | ABT | Abbott Laboratories | 0% | — | Unchanged |
| 26 | SYTUSD | Syngenta Ag-adr | 0% | — | Unchanged |
| 27 | HENOY | Henkel Kgaa-spons Adr Pfd | 0% | — | Unchanged |
| 28 | BDX | Becton Dickinson And Co | -0.1% | — | Unchanged |
| 29 | ✓ | Novartis AG | -0.1% | — | Unchanged |
| 30 | BIIB | Biogen INC | -0.1% | — | Unchanged |
| 31 | ✓ | Power Assets ADR | -0.1% | — | Unchanged |
| 32 | KMB | Kimberly-clark CORP | -0.1% | — | Unchanged |
| 33 | AMZN | Amazon.com INC | -0.1% | — | Unchanged |
| 34 | NSRGY | Nestle Sa-spons Adr | -0.1% | — | Unchanged |
| 35 | AMGN | Amgen INC | -0.1% | — | Unchanged |
| 36 | TMO | Thermo Fisher Scientific INC | -0.1% | — | Unchanged |
| 37 | NGG | National Grid plc | -0.1% | — | Unchanged |
| 38 | PFF | Ishares Preferred & Income S | -0.1% | — | Unchanged |
| 39 | CNC | Centene CORP | -0.2% | — | Unchanged |
| 40 | CL | Colgate-palmolive Co | -0.3% | -28.57% | Trim |
| 41 | V | Visa Inc-class A Shares | -0.3% | -30.86% | Trim |
| 42 | CVS | Cvs Health CORP | -0.4% | -36.50% | Trim |
| 43 | ✓ | -0.7% | -16.65% | Trim | |
| 44 | TEVA | Teva Pharmaceutical-sp Adr | — | EXIT | Sold out |
| 45 | NKE | Nike INC -cl B | — | EXIT | Sold out |
| 46 | JNJ | Johnson & Johnson | — | EXIT | Sold out |
| 47 | COST | Costco Wholesale CORP | — | NEW | New buy |
| 48 | SJM | Jm Smucker Co/the | — | EXIT | Sold out |
| 49 | ✓ | Senomyx INC | — | EXIT | Sold out |
| 50 | JASNQ | Jason Industries INC | — | EXIT | Sold out |
| Period | Filed | Type | EDGAR |
|---|---|---|---|
| 2016-12-31 | 2017-02-10 | 13F-HR | View on EDGAR |
| 2016-09-30 | 2016-11-10 | 13F-HR | View on EDGAR |
| 2016-06-30 | 2016-08-05 | 13F-HR | View on EDGAR |
| 2016-03-31 | 2016-04-21 | 13F-HR | View on EDGAR |
| 2015-12-31 | 2016-02-10 | 13F-HR | View on EDGAR |
| 2015-09-30 | 2015-10-30 | 13F-HR | View on EDGAR |
| 2015-06-30 | 2015-08-06 | 13F-HR | View on EDGAR |
| 2015-03-31 | 2015-04-23 | 13F-HR | View on EDGAR |
| 2014-12-31 | 2015-02-10 | 13F-HR | View on EDGAR |
| 2014-09-30 | 2014-11-03 | 13F-HR | View on EDGAR |
| 2014-06-30 | 2014-08-06 | 13F-HR | View on EDGAR |
| 2014-03-31 | 2014-05-05 | 13F-HR | View on EDGAR |
| 2013-12-31 | 2014-02-11 | 13F-HR | View on EDGAR |
| 2013-09-30 | 2013-11-13 | 13F-HR | View on EDGAR |
| 2013-06-30 | 2013-08-09 | 13F-HR | View on EDGAR |
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