B. Riley Wealth Advisors’s Capstead Mortgage Corp. CMO Stock Holding History

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

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q3	–	Sell	-36,920	Closed	-$412K	–	637
2015 Q2	$412K	Sell	36,920 -1,924	-5%	-$22.7K	0.1%	253
2015 Q1	$457K	Sell	38,844 -37,400	-49%	-$450K	0.11%	244
2014 Q4	$5.18K	Buy	76,244 +38,401	+101%	+$488K	0.11%	238
2014 Q3	$463K	Sell	37,843 -45,515	-55%	-$594K	0.12%	224
2014 Q2	$549K	Buy	83,358 +39,593	+90%	+$514K	0.13%	180
2014 Q1	$554K	Sell	43,765 -1,401	-3%	-$17.7K	0.17%	135
2013 Q4	$546K	Buy	45,166 +1,021	+2%	+$12.2K	0.17%	141
2013 Q3	$520K	Buy	44,145 +30,893	+233%	+$365K	0.18%	137
2013 Q2	$160K	Buy	+13,252	New	+$168K	0.05%	410

Other funds holding CMO

BFA

BlackRock Fund Advisors San Francisco, California $542B AUM 18.13% 1-Year Est. Return

Vanguard Group Malvern, Pennsylvania $6.9T AUM 27.45% 1-Year Est. Return

JP Morgan Chase New York $1.56T AUM 27.86% 1-Year Est. Return

TIM

Thornburg Investment Management Santa Fe, New Mexico $9.63B AUM 35.65% 1-Year Est. Return

Northern Trust Chicago, Illinois $757B AUM 28.64% 1-Year Est. Return

Jennison Associates New York $145B AUM 34.61% 1-Year Est. Return

BIT

BlackRock Institutional Trust San Francisco, California $675B AUM 16.07% 1-Year Est. Return

State Street Boston, Massachusetts $2.9T AUM 29.55% 1-Year Est. Return

PIM

Paradice Investment Management Denver, Colorado $532M AUM 29.6% 1-Year Est. Return

American Century Companies Kansas City, Missouri $194B AUM 35% 1-Year Est. Return

B. Riley Wealth Advisors's CMO Position: Q3 2015 in Review

B. Riley Wealth Advisors sold out of Capstead Mortgage Corp. (CMO) in Q3 2015, closing a stake of 36,920 shares — an estimated $412K sold.

B. Riley Wealth Advisors first reported a position in CMO in Q2 2013 and held it in 9 quarters. The position peaked at $554K in Q1 2014. 189 funds tracked by Wall St. Rank hold CMO as of Q3 2015.

B. Riley Wealth Advisors reported no remaining Capstead Mortgage Corp. position as of Q3 2015 after selling out during the quarter.
B. Riley Wealth Advisors sold 36,920 Capstead Mortgage Corp. shares in Q3 2015, an estimated $412K.
B. Riley Wealth Advisors first reported a position in Capstead Mortgage Corp. in Q2 2013 and held it in 9 quarters.
B. Riley Wealth Advisors's Capstead Mortgage Corp. position peaked at $554K in Q1 2014.
189 funds tracked by Wall St. Rank held Capstead Mortgage Corp. as of Q3 2015.

Based on B. Riley Wealth Advisors's 13F filing for Q3 2015, filed 16 Nov 2015.