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BRF

B. Riley Financial Portfolio holdings

AUM $456M
1-Year Est. Return 896.07%
This Fund
S&P 500
This Quarter Est. Return
+5.05%
1 Year Est. Return
+896.07%
3 Year Est. Return
+741.23%
5 Year Est. Return
+455.29%
10 Year Est. Return
+2,619.18%
AUM
$352M
AUM Growth
-$29.2M
Cap. Flow
-$28.9M
Cap. Flow %
-8.21%
Top 10 Hldgs %
46.36%
Holding
348
New
30
Increased
56
Reduced
65
Closed
164

Top Buys

Rank Stock Value
1
SIC
Select Interior Concepts, Inc. Class A Common Stock
SIC
+$30.2M
2
ANW
Aegean Marine Petroleum Network
ANW
+$5.39M
3
RNGR icon
Ranger Energy Services
RNGR
+$3.05M
4
CVX icon
Chevron
CVX
+$2.6M
5
AMRS
Amyris Inc.
AMRS
+$2.12M

Top Sells

Rank Stock Value
1
VTV icon
Vanguard Morningstar Value ETF
VTV
+$3.78M
2
VUG icon
Vanguard Morningstar Growth ETF
VUG
+$3.73M
3
SGI
Somnigroup International
SGI
+$3.59M
4
FNJN
Finjan Holdings, Inc.
FNJN
+$3.48M
5
IWY icon
iShares Russell Top 200 Growth ETF
IWY
+$3.44M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 10.08%
2 Energy 8.64%
3 Industrials 7.57%
4 Financials 6.74%
5 Technology 5.31%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
XLI icon
301
State Street Industrial Select Sector SPDR ETF
XLI
$32.8B
– –
-3,287
Closed -$242K
XLK icon
302
State Street Technology Select Sector SPDR ETF
XLK
$115B
– –
-18,312
Closed -$657K
XOM icon
303
ExxonMobil
XOM
$644B
– –
-3,236
Closed -$270K
XOP icon
304
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.65B
– –
-1,440
Closed -$256K
XYZ
305
Block Inc
XYZ
$48.4B
– –
-4,740
Closed -$307K
VRAY
306
DELISTED
ViewRay, Inc.
VRAY
– –
-48,275
Closed -$334K
USWS
307
DELISTED
U.S. Well Services, Inc. Class A Common Stock
USWS
– –
-4,762
Closed -$987K
JCO
308
DELISTED
Nuveen Credit Opportunities 2022 Target Term Fund
JCO
– –
-48,868
Closed -$464K
FIV
309
DELISTED
First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest
FIV
– –
-14,733
Closed -$137K
JHB
310
DELISTED
Nuveen Corporate Income November 2021 Target Term Fund
JHB
– –
-86,782
Closed -$837K
SOGO
311
PUT
DELISTED
Sogou Inc. American Depositary Shares, each representing one Class A Ordinary Share
SOGO
– –
-55,300
Closed -$632K
LFACU
312
DELISTED
LF Capital Acquistion Corp. Unit
LFACU
– –
-105,700
Closed -$1.06M
JHY
313
DELISTED
Nuveen High Income 2020 Target Term Fund Common Shares of Beneficial Interest
JHY
– –
-54,008
Closed -$534K
FNJN
314
DELISTED
Finjan Holdings, Inc.
FNJN
– –
-1,021,912
Closed -$3.48M
RTN
315
DELISTED
Raytheon Company
RTN
– –
-1,983
Closed -$388K
TMCXU
316
DELISTED
Trinity Merger Corp. Unit
TMCXU
– –
-145,000
Closed -$1.46M
TMCXW
317
DELISTED
Trinity Merger Corp. Warrant
TMCXW
– –
-292,400
Closed -$117K
EMES
318
DELISTED
Emerge Energy Services LP
EMES
– –
-21,000
Closed -$156K
WFT
319
DELISTED
Weatherford International plc
WFT
– –
-18,000
Closed -$63K
GTYH
320
DELISTED
GTY Technology Holdings, Inc. Common Stock
GTYH
– –
-250,099
Closed -$2.52M
GTYHW
321
DELISTED
GTY Technology Holdings, Inc. Warrants
GTYHW
– –
-58,333
Closed -$73K
ESES
322
DELISTED
Eco-Stim Energy Solutions Inc. Common Stock
ESES
– –
-193,787
Closed -$126K
RSYS
323
DELISTED
Radisys Corp
RSYS
– –
-96,600
Closed -$68K
JHA
324
DELISTED
Nuveen High Inc Dec 2018 Tgt Trm
JHA
– –
-14,597
Closed -$143K
MPACW
325
DELISTED
Matlin & Partners Acquisition Corporation
MPACW
– –
-100,000
Closed -$68K
10 11 12
13
14

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TCMP
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FC
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HFF
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FIM
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EGP
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AWM
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AWMG
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B. Riley Financial's Q3 2018 Portfolio in Review

As of Q3 2018, B. Riley Financial held 348 positions worth $352M, down 7.7% from $382M the previous quarter. Its ten largest holdings account for 46% of the portfolio.

B. Riley Financial withdrew a net $28.9M in Q3 2018, closing 164 positions and reducing 65 holdings. Its most notable exit was Finjan Holdings, Inc., an estimated $3.48M position sold in full.

By sector, the portfolio is most concentrated in Consumer Discretionary at 10% of assets, up from 3.7% a quarter earlier, followed by Energy and Industrials.

Against the trend, B. Riley Financial opened a new position in Select Interior Concepts, Inc. Class A Common Stock worth $27.5M.

  • B. Riley Financial's largest Q3 2018 buy was Select Interior Concepts, Inc. Class A Common Stock: 2,583,142 shares worth $27.5M.
  • B. Riley Financial added most to Aegean Marine Petroleum Network in Q3 2018, an estimated $5.39M increase.
  • B. Riley Financial's biggest Q3 2018 reduction was Vanguard Morningstar Value ETF, cutting an estimated $3.78M.
  • B. Riley Financial fully exited Finjan Holdings, Inc. in Q3 2018, selling an estimated $3.48M.
  • B. Riley Financial's ten largest holdings make up 46% of its $352M portfolio in Q3 2018.
  • B. Riley Financial opened 30 new positions and closed 164 in Q3 2018.
  • B. Riley Financial's portfolio value fell 7.7% quarter-over-quarter to $352M.

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