B. Riley Financial’s First Trust Technology AlphaDEX Fund FXL Stock Holding History

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

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q3	–	Sell	-16,680	Closed	-$975K	–	221
2018 Q2	$975K	Sell	16,680 -8,663	-34%	-$490K	0.26%	76
2018 Q1	$1.39M	Buy	25,343 +2,106	+9%	+$117K	0.39%	60
2017 Q4	$1.19M	Buy	23,237 +4,153	+22%	+$212K	0.31%	71
2017 Q3	$915K	Buy	+19,084	New	+$874K	0.25%	103

Other funds holding FXL

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

Wells Fargo San Francisco, California $617B AUM 30.33% 1-Year Est. Return

Morgan Stanley New York $1.89T AUM 35.08% 1-Year Est. Return

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

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

RJA

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

AIM

Astor Investment Management Chicago, Illinois $185M AUM 8.46% 1-Year Est. Return

Navellier & Associates Reno, Nevada $1.26B AUM 95.39% 1-Year Est. Return

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

RJFSA

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

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

B. Riley Financial sold out of First Trust Technology AlphaDEX Fund (FXL) in Q3 2018, closing a stake of 16,680 shares — an estimated $975K sold.

B. Riley Financial first reported a position in FXL in Q3 2017 and held it in 4 quarters. The position peaked at $1.39M in Q1 2018. 162 funds tracked by Wall St. Rank hold FXL as of Q3 2018.

B. Riley Financial reported no remaining First Trust Technology AlphaDEX Fund position as of Q3 2018 after selling out during the quarter.
B. Riley Financial sold 16,680 First Trust Technology AlphaDEX Fund shares in Q3 2018, an estimated $975K.
B. Riley Financial first reported a position in First Trust Technology AlphaDEX Fund in Q3 2017 and held it in 4 quarters.
B. Riley Financial's First Trust Technology AlphaDEX Fund position peaked at $1.39M in Q1 2018.
162 funds tracked by Wall St. Rank held First Trust Technology AlphaDEX Fund as of Q3 2018.

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