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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
+6.58%
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
$156M
AUM Growth
-$16.8M
Cap. Flow
-$26.7M
Cap. Flow %
-17.09%
Top 10 Hldgs %
45.13%
Holding
164
New
23
Increased
28
Reduced
36
Closed
18

Top Buys

Rank Stock Value
1
NLST
Netlist, Inc.
NLST
+$1.09M
2
VATE icon
INNOVATE Corp
VATE
+$803K
3
MINT icon
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
+$726K
4
KEM
KEMET Corporation
KEM
+$634K
5
FG
FGL Holdings Ordinary Shares
FG
+$496K

Top Sells

Rank Stock Value
1
UNTD
UNITED ONLINE INC COM NEW
UNTD
+$15.7M
2
PRGX
PRGX Global, Inc.
PRGX
+$4.44M
3
TIVO
Tivo Inc
TIVO
+$2.05M
4
WPRT
Westport Fuel Systems
WPRT
+$1.12M
5
NHLD
National Holdings Corporation
NHLD
+$787K

Sector Composition

Rank Sector Weight
1 Technology 8.84%
2 Industrials 6.76%
3 Consumer Discretionary 6.24%
4 Financials 5.86%
5 Communication Services 0.74%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VWO icon
26
Vanguard FTSE Emerging Markets ETF
VWO
$117B
$1.56M 1%
41,376
-528
-1% -$19.7K
HPE icon
27
Hewlett Packard
HPE
$58.8B
$1.5M 0.96%
113,233
– –
EFA icon
28
iShares MSCI EAFE ETF
EFA
$76.4B
$1.5M 0.96%
25,282
-939
-4% -$54.4K
NYF icon
29
iShares New York Muni Bond ETF
NYF
$1.38B
$1.39M 0.89%
24,288
– –
LQD icon
30
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$34.3B
$1.38M 0.88%
11,170
+93
+0.8% +$11.5K
WPRT
31
Westport Fuel Systems
WPRT
$31.9M
$1.37M 0.88%
85,000
-76,787
-47% -$1.12M
VIG icon
32
Vanguard Dividend Appreciation ETF
VIG
$111B
$1.35M 0.86%
16,080
-100
-0.6% -$8.48K
EMB icon
33
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$14.9B
$1.23M 0.79%
10,516
-155
-1% -$18.1K
ARCC icon
34
Ares Capital
ARCC
$13.4B
$1.19M 0.76%
76,778
+1,000
+1% +$15.3K
AAPL icon
35
Apple
AAPL
$4.97T
$1.17M 0.75%
41,492
-24,996
-38% -$662K
QQQ icon
36
Invesco QQQ Trust
QQQ
$436B
$1.15M 0.73%
9,665
+2,052
+27% +$237K
DVY icon
37
iShares Select Dividend ETF
DVY
$23.8B
$1.11M 0.71%
12,945
– –
NLST
38
DELISTED
Netlist, Inc.
NLST
$906K 0.58%
+731,000
New +$1.09M
USMV icon
39
iShares MSCI USA Min Vol Factor ETF
USMV
$23.6B
$895K 0.57%
19,698
-769
-4% -$35.6K
AFT
40
DELISTED
Apollo Senior Floating Rate Fund Inc.
AFT
$845K 0.54%
49,893
– –
GNR icon
41
State Street SPDR S&P Global Natural Resources ETF
GNR
$4.75B
$840K 0.54%
21,468
– –
VCLT icon
42
Vanguard Long-Term Corporate Bond ETF
VCLT
$8.81B
$810K 0.52%
8,464
– –
MS icon
43
PUT
Morgan Stanley
MS
$319B
$802K 0.51%
+25,000
New +$746K
MUB icon
44
iShares National Muni Bond ETF
MUB
$45.2B
$792K 0.51%
7,020
-430
-6% -$48.7K
GMZ
45
DELISTED
Goldman Sachs MLP Income Opportunities Fund
GMZ
$759K 0.49%
11,414
– –
GARS
46
DELISTED
Garrison Capital Inc.
GARS
$741K 0.47%
73,155
-1,400
-2% -$14.6K
AET
47
DELISTED
Aetna Inc
AET
$693K 0.44%
6,000
– –
LDUR icon
48
PIMCO Enhanced Low Duration Active Exchange-Traded Fund
LDUR
$1.37B
$688K 0.44%
6,813
+750
+12% +$75.6K
DIA icon
49
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$45B
$678K 0.43%
3,711
-85
-2% -$15.6K
LDP icon
50
Cohen & Steers Duration Preferred & Income Fund
LDP
$591M
$666K 0.43%
26,508
-2,743
-9% -$68.9K
1
2
3 4 5

Similar funds

EIA
Eldridge Investment Advisors Manchester, New Hampshire $456M AUM 14.75% 1-Year Est. Return
TCMP
Thrive Capital Management (Pennsylvania) Fort Washington, Pennsylvania $456M AUM 13.52% 1-Year Est. Return
FC
Farringdon Capital London, United Kingdom $457M AUM 6.46% 1-Year Est. Return
HFF
Halter Ferguson Financial Carmel, Indiana $456M AUM 49.85% 1-Year Est. Return
FIM
FWL Investment Management Dallas, Texas $456M AUM 60.63% 1-Year Est. Return
EGP
Entrust Global Partners New York $456M AUM 26.51% 1-Year Est. Return
AWM
Adams Wealth Management Logan, Utah $455M AUM 22.33% 1-Year Est. Return
AWMG
Alliance Wealth Management Group Flemington, New Jersey $457M AUM 12.13% 1-Year Est. Return

B. Riley Financial's Q3 2016 Portfolio in Review

As of Q3 2016, B. Riley Financial held 164 positions worth $156M, down 9.7% from $173M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

B. Riley Financial withdrew a net $26.7M in Q3 2016, closing 18 positions and reducing 36 holdings. Its most notable exit was UNITED ONLINE INC COM NEW, an estimated $15.7M position sold in full.

By sector, the portfolio is most concentrated in Technology at 8.8% of assets, up from 6.9% a quarter earlier, followed by Industrials and Consumer Discretionary.

Against the trend, B. Riley Financial opened a new position in Netlist, Inc. worth $906K.

  • B. Riley Financial's largest Q3 2016 buy was Netlist, Inc.: 731,000 shares worth $906K.
  • B. Riley Financial added most to INNOVATE Corp in Q3 2016, an estimated $803K increase.
  • B. Riley Financial's biggest Q3 2016 reduction was PRGX Global, Inc., cutting an estimated $4.44M.
  • B. Riley Financial fully exited UNITED ONLINE INC COM NEW in Q3 2016, selling an estimated $15.7M.
  • B. Riley Financial's ten largest holdings make up 45% of its $156M portfolio in Q3 2016.
  • B. Riley Financial opened 23 new positions and closed 18 in Q3 2016.
  • B. Riley Financial's portfolio value fell 9.7% quarter-over-quarter to $156M.

Based on B. Riley Financial's 13F filing for Q3 2016, filed 15 Nov 2016.