B. Riley Wealth Advisors’s UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com BDCS Stock Holding History

B. Riley Wealth Advisors’s Portfolio BDCS Stock Details BDCS Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q1	–	Sell	-200	Closed	-$5	–	2709
2014 Q4	$5	Buy	+200	New	+$4.72K	﹤0.01%	3197
2014 Q3	–	Sell	-200	Closed	-$5.29K	–	2523
2014 Q2	$5.29K	Buy	+200	New	+$5.05K	﹤0.01%	2021

Other funds holding BDCS

1IA

1834 Investment Advisors Milwaukee, Wisconsin $801M AUM 18.16% 1-Year Est. Return

LTFS

Ladenburg Thalmann Financial Services Miami, Florida $15.9B AUM 25.16% 1-Year Est. Return

ICOA

Investment Centers of America Bismarck, North Dakota $712K AUM 15.54% 1-Year Est. Return

VFS

VSR Financial Services Overland Park, Kansas $607M AUM 0.85% 1-Year Est. Return

Ameriprise Minneapolis, Minnesota $432B AUM 30.22% 1-Year Est. Return

AIG

American International Group New York $609M AUM 23.67% 1-Year Est. Return

Bank of Montreal Toronto, Ontario, Canada $269B AUM 31.4% 1-Year Est. Return

Thrivent Financial for Lutherans Minneapolis, Minnesota $52.5B AUM 27.12% 1-Year Est. Return

PNC Financial Services Group Pittsburgh, Pennsylvania $173B AUM 20.72% 1-Year Est. Return

WRM

Westport Resources Management Westport, Connecticut $138M AUM 14.6% 1-Year Est. Return

B. Riley Wealth Advisors's BDCS Position: Q1 2015 in Review

B. Riley Wealth Advisors sold out of UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com (BDCS) in Q1 2015, closing a stake of 200 shares — an estimated $5 sold.

B. Riley Wealth Advisors first reported a position in BDCS in Q2 2014 and held it in 2 quarters. The position peaked at $5.29K in Q2 2014. 17 funds tracked by Wall St. Rank hold BDCS as of Q1 2015.

B. Riley Wealth Advisors reported no remaining UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com position as of Q1 2015 after selling out during the quarter.
B. Riley Wealth Advisors sold 200 UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com shares in Q1 2015, an estimated $5.
B. Riley Wealth Advisors first reported a position in UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com in Q2 2014 and held it in 2 quarters.
B. Riley Wealth Advisors's UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com position peaked at $5.29K in Q2 2014.
17 funds tracked by Wall St. Rank held UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com as of Q1 2015.

Based on B. Riley Wealth Advisors's 13F filing for Q1 2015, filed 14 May 2015.