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BRF

B. Riley Financial Portfolio holdings

AUM $434M
1-Year Est. Return 751.56%
This Fund
S&P 500
This Quarter Est. Return
+6.58%
1 Year Est. Return
+751.56%
3 Year Est. Return
+682.23%
5 Year Est. Return
+472.4%
10 Year Est. Return
+2,534.33%
AUM
$156M
AUM Growth
-$16.8M
Cap. Flow
-$20.6M
Cap. Flow %
-13.18%
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 Miscellaneous 62.95%
2 Financials 12.94%
3 Technology 9.18%
4 Industrials 6.76%
5 Consumer Discretionary 6.24%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NTG
51
DELISTED
Tortoise Midstream Energy Fund, Inc. Common Stock
NTG
$646K 0.41%
3,232
+8
+0.2% +$1.54K
EEM icon
52
iShares MSCI Emerging Markets ETF
EEM
$30.6B
$619K 0.4%
16,524
+116
+0.7% +$4.24K
NBB icon
53
Nuveen Taxable Municipal Income Fund
NBB
$432M
$588K 0.38%
25,923
– –
SPLK
54
DELISTED
Splunk Inc
SPLK
$562K 0.36%
9,579
– –
ACWX icon
55
iShares MSCI ACWI ex US ETF
ACWX
$12.3B
$554K 0.35%
13,358
+5,333
+66% +$217K
AIF
56
DELISTED
Apollo Tactical Income Fund Inc.
AIF
$536K 0.34%
34,649
– –
VGK icon
57
Vanguard FTSE Europe ETF
VGK
$30.1B
$522K 0.33%
10,716
– –
BRK.B icon
58
Berkshire Hathaway Class B
BRK.B
$1.11T
$516K 0.33%
3,571
– –
EFAV icon
59
iShares MSCI EAFE Min Vol Factor ETF
EFAV
$5.45B
$509K 0.33%
7,530
– –
PRGX
60
DELISTED
PRGX Global, Inc.
PRGX
$504K 0.32%
107,107
-906,488
-89% -$4.44M
IJH icon
61
iShares Core S&P Mid-Cap ETF
IJH
$122B
$498K 0.32%
16,080
– –
FG
62
DELISTED
FGL Holdings Ordinary Shares
FG
$498K 0.32%
+50,820
New +$496K
ON icon
63
ON Semiconductor
ON
$28.5B
$481K 0.31%
39,048
-731
-2% -$7.56K
UE icon
64
Urban Edge Properties
UE
$2.55B
$428K 0.27%
15,215
– –
IBB icon
65
iShares Biotechnology ETF
IBB
$10.3B
$420K 0.27%
4,356
+315
+8% +$30K
META icon
66
Meta Platforms (Facebook)
META
$1.71T
$401K 0.26%
3,123
+500
+19% +$62.1K
BKCC
67
DELISTED
BlackRock Capital Investment Corporation
BKCC
$384K 0.25%
46,412
+1,000
+2% +$8.39K
XTIA icon
68
XTI Aerospace
XTIA
$36.9M
– –
0
– –
MWW
69
CALL
DELISTED
Monster Worldwide Inc
MWW
$361K 0.23%
100,000
– –
PGX icon
70
Invesco Preferred ETF
PGX
$3.65B
$359K 0.23%
23,701
– –
XLV icon
71
State Street Health Care Select Sector SPDR ETF
XLV
$43.5B
$341K 0.22%
4,729
– –
SLRC icon
72
SLR Investment Corp
SLRC
$658M
$331K 0.21%
16,109
– –
LITE icon
73
Lumentum
LITE
$75.3B
$301K 0.19%
7,212
-1,094
-13% -$36K
BV
74
DELISTED
Bazaarvoice, Inc.
BV
$299K 0.19%
50,625
-10,429
-17% -$46.1K
AMLP icon
75
Alerian MLP ETF
AMLP
$13.4B
$297K 0.19%
4,687
-521
-10% -$33K
1 2
3
4 5

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BHWM
Bay Harbor Wealth Management Hunt Valley, Maryland $434M AUM 18.95% 1-Year Est. Return
CCMI
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CEI
Clark Estates Inc New York $434M AUM 15% 1-Year Est. Return
SWA
Shah Wealth Advisors Chino Hills, California $433M AUM
SCP
Seafarer Capital Partners Larkspur, California $434M AUM 22.8% 1-Year Est. Return
DCM
Divisar Capital Management San Francisco, California $434M AUM 170.22% 1-Year Est. Return
HSA
Hussman Strategic Advisors Ellicott City, Maryland $434M AUM 19.64% 1-Year Est. Return
SIAG
Safeguard Investment Advisory Group Corona, California $433M AUM 33.48% 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 $20.6M 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 Miscellaneous at 63% of assets, down from 65% a quarter earlier, followed by Financials and Technology.

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.