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	–	218
2018 Q2	$805K	Buy	42,200 +2,500	+6%	+$48.4K	0.21%	91
2018 Q1	$774K	Buy	39,700 +4,500	+13%	+$89.8K	0.22%	109
2017 Q4	$709K	Buy	+35,200	New	+$710K	0.19%	127

Other funds holding FPEI

RJFSA

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

PFC

Phocas Financial Corp Alameda, California $721M AUM 63.77% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.55T AUM 33.47% 1-Year Est. Return

First Trust Advisors Wheaton, Illinois $170B AUM 46.21% 1-Year Est. Return

LPL Financial San Diego, California $445B AUM 25.58% 1-Year Est. Return

UBS Group Zurich, Switzerland $786B AUM 40.34% 1-Year Est. Return

ASN

Advisory Services Network Atlanta, Georgia $8.83B AUM 38.5% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $672B AUM 33.48% 1-Year Est. Return

BRWM

B. Riley Wealth Management Memphis, Tennessee $962M AUM 8.45% 1-Year Est. Return

PAG

Private Advisor Group Morristown, New Jersey $21.8B AUM 28.57% 1-Year Est. Return

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

B. Riley Financial sold out of First Trust Institutional Preferred Securities and Income ETF (FPEI) in Q3 2018, closing a stake of 42,200 shares — an estimated $805K sold.

B. Riley Financial first reported a position in FPEI in Q4 2017 and held it in 3 quarters. The position peaked at $805K in Q2 2018. 27 funds tracked by Wall St. Rank hold FPEI as of Q3 2018.

B. Riley Financial reported no remaining First Trust Institutional Preferred Securities and Income ETF position as of Q3 2018 after selling out during the quarter.
B. Riley Financial sold 42,200 First Trust Institutional Preferred Securities and Income ETF shares in Q3 2018, an estimated $805K.
B. Riley Financial first reported a position in First Trust Institutional Preferred Securities and Income ETF in Q4 2017 and held it in 3 quarters.
B. Riley Financial's First Trust Institutional Preferred Securities and Income ETF position peaked at $805K in Q2 2018.
27 funds tracked by Wall St. Rank held First Trust Institutional Preferred Securities and Income ETF as of Q3 2018.

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