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

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

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q3	–	Sell	-42,200	Closed	-$805K	–	219
2018 Q2	$805K	Buy	42,200 +2,500	+6%	+$48.4K	0.24%	91
2018 Q1	$774K	Buy	39,700 +4,500	+13%	+$89.8K	0.24%	109
2017 Q4	$709K	Buy	+35,200	New	+$710K	0.22%	127

Other funds holding FPEI

Raymond James Financial Services Advisors St. Petersburg, Florida $75B AUM 31.89% 1-Year Est. Return

Phocas Financial Corp Alameda, California $637M AUM 39.08% 1-Year Est. Return

Bank of America

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

First Trust Advisors

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

LPL Financial San Diego, California $376B AUM 19.32% 1-Year Est. Return

UBS Group Zurich, Switzerland $564B AUM 30.12% 1-Year Est. Return

Advisory Services Network Atlanta, Georgia $7.52B AUM 29.01% 1-Year Est. Return

Royal Bank of Canada

Royal Bank of Canada Toronto, Ontario, Canada $528B AUM 27.57% 1-Year Est. Return

B. Riley Wealth Management Memphis, Tennessee $85.5M AUM 3.46% 1-Year Est. Return

Private Advisor Group Morristown, New Jersey $21.3B AUM 22.13% 1-Year Est. Return