BRF

B. Riley Financial Portfolio holdings

AUM $120M
This Quarter Return
+5.13%
1 Year Return
+51.73%
3 Year Return
-28.67%
5 Year Return
+51.76%
10 Year Return
–
AUM
$122M
AUM Growth
+$122M
Cap. Flow
-$20.3M
Cap. Flow %
-16.62%
Top 10 Hldgs %
35.37%
Holding
165
New
22
Increased
27
Reduced
35
Closed
18

Top Buys

1
VATE icon
INNOVATE Corp
VATE
$949K
2
NLST
Netlist, Inc.
NLST
$906K
3
MINT icon
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$727K
4
KEM
KEMET Corporation
KEM
$676K
5
FG
FGL Holdings Ordinary Shares
FG
$498K

Top Sells

1
UNTD
UNITED ONLINE INC COM NEW
UNTD
$15.7M
2
PRGX
PRGX Global, Inc.
PRGX
$4.27M
3
TIVO
Tivo Inc
TIVO
$2.01M
4
WPRT
Westport Fuel Systems
WPRT
$1.24M
5
NHLD
National Holdings Corporation
NHLD
$787K

Sector Composition

1 Technology 11.33%
2 Industrials 8.66%
3 Consumer Discretionary 8%
4 Financials 7.51%
5 Communication Services 0.95%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
EFA icon
26
iShares MSCI EAFE ETF
EFA
$65.4B
$1.5M 0.96%
25,282
-939
-4% -$55.5K
NYF icon
27
iShares New York Muni Bond ETF
NYF
$899M
$1.39M 0.89%
12,144
– –
LQD icon
28
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$29.4B
$1.38M 0.88%
11,170
+93
+0.8% +$11.5K
WPRT
29
Westport Fuel Systems
WPRT
$47.2M
$1.37M 0.88%
850,000
-767,870
-47% -$1.24M
VIG icon
30
Vanguard Dividend Appreciation ETF
VIG
$95.1B
$1.35M 0.86%
16,080
-100
-0.6% -$8.4K
EMB icon
31
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$13.4B
$1.23M 0.79%
10,516
-155
-1% -$18.2K
ARCC icon
32
Ares Capital
ARCC
$15.7B
$1.19M 0.76%
76,778
+1,000
+1% +$15.5K
AAPL icon
33
Apple
AAPL
$3.54T
$1.17M 0.75%
10,373
-6,249
-38% -$707K
QQQ icon
34
Invesco QQQ Trust
QQQ
$364B
$1.15M 0.73%
9,665
+2,052
+27% +$244K
DVY icon
35
iShares Select Dividend ETF
DVY
$20.6B
$1.11M 0.71%
12,945
– –
NLST
36
DELISTED
Netlist, Inc.
NLST
$906K 0.58%
+731,000
New +$906K
USMV icon
37
iShares MSCI USA Min Vol Factor ETF
USMV
$23.4B
$895K 0.57%
19,698
-769
-4% -$34.9K
AFT
38
DELISTED
Apollo Senior Floating Rate Fund Inc.
AFT
$845K 0.54%
49,893
– –
GNR icon
39
SPDR S&P Global Natural Resources ETF
GNR
$3.27B
$840K 0.54%
21,468
– –
VCLT icon
40
Vanguard Long-Term Corporate Bond ETF
VCLT
$6.71B
$810K 0.52%
8,464
– –
MUB icon
41
iShares National Muni Bond ETF
MUB
$38.6B
$792K 0.51%
7,020
-430
-6% -$48.5K
GMZ
42
DELISTED
Goldman Sachs MLP Income Opportunities Fund
GMZ
$759K 0.49%
79,899
– –
GARS
43
DELISTED
Garrison Capital Inc.
GARS
$741K 0.47%
73,155
-1,400
-2% -$14.2K
AET
44
DELISTED
Aetna Inc
AET
$693K 0.44%
6,000
– –
LDUR icon
45
PIMCO Enhanced Low Duration Active Exchange-Traded Fund
LDUR
$944M
$688K 0.44%
6,813
+750
+12% +$75.7K
DIA icon
46
SPDR Dow Jones Industrial Average ETF Trust
DIA
$39.7B
$678K 0.43%
3,711
-85
-2% -$15.5K
LDP icon
47
Cohen & Steers Duration Preferred & Income Fund
LDP
$625M
$666K 0.43%
26,508
-2,743
-9% -$68.9K
NTG
48
DELISTED
Tortoise Midstream Energy Fund, Inc. Common Stock
NTG
$646K 0.41%
32,319
+84
+0.3% +$1.6K
EEM icon
49
iShares MSCI Emerging Markets ETF
EEM
$19B
$619K 0.4%
16,524
+116
+0.7% +$4.35K
NBB icon
50
Nuveen Taxable Municipal Income Fund
NBB
$474M
$588K 0.38%
25,923
– –
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