B. Riley Financial’s First Trust Preferred Securities and Income ETF FPE Stock Holding History

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

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q3	–	Sell	-23,700	Closed	-$455K	–	217
2018 Q2	$455K	Hold	23,700	–	–	0.12%	149
2018 Q1	$461K	Hold	23,700	–	–	0.13%	165
2017 Q4	$474K	Buy	+23,700	New	+$476K	0.12%	170

Other funds holding FPE

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

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

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

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

LPL Financial San Diego, California $377B AUM 19.32% 1-Year Est. Return

RJFSA

Raymond James Financial Services Advisors St. Petersburg, Florida $75.1B AUM 31.89% 1-Year Est. Return

MMA

Miracle Mile Advisors Los Angeles, California $7.29B AUM 16.22% 1-Year Est. Return

Cambridge Investment Research Advisors Fairfield, Iowa $38.8B AUM 21.88% 1-Year Est. Return

RJA

Raymond James & Associates St Petersburg, Florida $164B AUM 33.91% 1-Year Est. Return

HWA

HCR Wealth Advisors Los Angeles, California $1.12B AUM 33.13% 1-Year Est. Return

B. Riley Financial's FPE Position: Q3 2018 in Review

B. Riley Financial sold out of First Trust Preferred Securities and Income ETF (FPE) in Q3 2018, closing a stake of 23,700 shares — an estimated $455K sold.

B. Riley Financial first reported a position in FPE in Q4 2017 and held it in 3 quarters. The position peaked at $474K in Q4 2017. 205 funds tracked by Wall St. Rank hold FPE as of Q3 2018.

B. Riley Financial reported no remaining First Trust Preferred Securities and Income ETF position as of Q3 2018 after selling out during the quarter.
B. Riley Financial sold 23,700 First Trust Preferred Securities and Income ETF shares in Q3 2018, an estimated $455K.
B. Riley Financial first reported a position in First Trust Preferred Securities and Income ETF in Q4 2017 and held it in 3 quarters.
B. Riley Financial's First Trust Preferred Securities and Income ETF position peaked at $474K in Q4 2017.
205 funds tracked by Wall St. Rank held First Trust Preferred Securities and Income ETF as of Q3 2018.

Based on B. Riley Financial's 13F filing for Q3 2018, filed 13 Nov 2018.