B. Riley Financial’s Are Dynamic Credit Allocation Fund ARDC Stock Holding History

B. Riley Financial’s Portfolio ARDC Stock Details ARDC Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q4	–	Sell	-14,489	Closed	-$225K	–	112
2018 Q3	$225K	Hold	14,489	–	–	0.06%	162
2018 Q2	$233K	Hold	14,489	–	–	0.06%	265
2018 Q1	$235K	Hold	14,489	–	–	0.07%	247
2017 Q4	$238K	Buy	14,489 +500	+4%	+$8.19K	0.06%	259
2017 Q3	$229K	Hold	13,989	–	–	0.06%	251
2017 Q2	$229K	Hold	13,989	–	–	0.06%	190
2017 Q1	$224K	Sell	13,989 -1,672	-11%	-$26.2K	0.11%	134
2016 Q4	$236K	Sell	15,661 -299	-2%	-$4.4K	0.16%	120
2016 Q3	$237K	Hold	15,960	–	–	0.15%	100
2016 Q2	$219K	Hold	15,960	–	–	0.13%	101
2016 Q1	$214K	Hold	15,960	–	–	0.16%	102
2015 Q4	$213K	Buy	+15,960	New	+$221K	0.15%	112

Other funds holding ARDC

PPA

Parametric Portfolio Associates Seattle, Washington $190B AUM 18.52% 1-Year Est. Return

AAM

Advisors Asset Management Monument, Colorado $6.01B AUM 24.74% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

RCM

Rivernorth Capital Management West Palm Beach, Florida $2B AUM 0.66% 1-Year Est. Return

Invesco Atlanta, Georgia $1.02T AUM 30.18% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

Guggenheim Capital Chicago, Illinois $12.9B AUM 27.3% 1-Year Est. Return

First Trust Advisors Wheaton, Illinois $140B AUM 27.84% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

B. Riley Financial's ARDC Position: Q4 2018 in Review

B. Riley Financial sold out of Are Dynamic Credit Allocation Fund (ARDC) in Q4 2018, closing a stake of 14,489 shares — an estimated $225K sold.

B. Riley Financial first reported a position in ARDC in Q4 2015 and held it in 12 quarters. The position peaked at $238K in Q4 2017. 63 funds tracked by Wall St. Rank hold ARDC as of Q4 2018.

B. Riley Financial reported no remaining Are Dynamic Credit Allocation Fund position as of Q4 2018 after selling out during the quarter.
B. Riley Financial sold 14,489 Are Dynamic Credit Allocation Fund shares in Q4 2018, an estimated $225K.
B. Riley Financial first reported a position in Are Dynamic Credit Allocation Fund in Q4 2015 and held it in 12 quarters.
B. Riley Financial's Are Dynamic Credit Allocation Fund position peaked at $238K in Q4 2017.
63 funds tracked by Wall St. Rank held Are Dynamic Credit Allocation Fund as of Q4 2018.

Based on B. Riley Financial's 13F filing for Q4 2018, filed 7 Feb 2019.