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BRWA

B. Riley Wealth Advisors Portfolio holdings

AUM $1.87B
1-Year Est. Return 37.01%
This Fund
S&P 500
This Quarter Est. Return
+5.8%
1 Year Est. Return
+37.01%
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$292M
AUM Growth
-$2.14M
Cap. Flow
-$11.3M
Cap. Flow %
-3.86%
Top 10 Hldgs %
17.77%
Holding
798
New
106
Increased
231
Reduced
265
Closed
131

Top Buys

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$6.26M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$4.65M
3
UST icon
ProShares Ultra 7-10 Year Treasury
UST
+$1.86M
4
STPP
iPath US Treasury Steepener ETN
STPP
+$1.47M
5
GOOG icon
Alphabet (Google) Class C
GOOG
+$1.27M

Top Sells

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$6.32M
2
SSO icon
ProShares Ultra S&P500
SSO
+$4.08M
3
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$3.97M
4
UWM icon
ProShares Ultra Russell2000
UWM
+$882K
5
EEM icon
iShares MSCI Emerging Markets ETF
EEM
+$853K

Sector Composition

Rank Sector Weight
1 Energy 9.49%
2 Technology 8.29%
3 Financials 6.24%
4 Healthcare 5.03%
5 Communication Services 4.94%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EMN icon
251
Eastman Chemical
EMN
$7.69B
$263K 0.09%
3,371
+11
+0.3% +$847
FXU icon
252
First Trust Utilities AlphaDEX Fund
FXU
$826M
$263K 0.09%
13,200
+300
+2% +$6.06K
ISCV icon
253
iShares Morningstar Small-Cap Value ETF
ISCV
$695M
$263K 0.09%
7,230
+2,016
+39% +$73K
SO icon
254
Southern Company
SO
$108B
$262K 0.09%
6,363
-728
-10% -$31.4K
LINE
255
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
$262K 0.09%
10,094
-9,595
-49% -$248K
GILD icon
256
Gilead Sciences
GILD
$165B
$261K 0.09%
4,151
-1,041
-20% -$62.2K
VWO icon
257
Vanguard FTSE Emerging Markets ETF
VWO
$117B
$260K 0.09%
6,482
+225
+4% +$8.9K
WPC icon
258
W.P. Carey
WPC
$16.6B
$260K 0.09%
4,099
– –
RCAP
259
DELISTED
RCS CAPITAL CORPORATION CLASS A COM
RCAP
$259K 0.09%
15,500
+6,900
+80% +$110K
RAI
260
DELISTED
Reynolds American Inc
RAI
$258K 0.09%
10,572
-854
-7% -$21.2K
GG
261
DELISTED
Goldcorp Inc
GG
$258K 0.09%
9,902
– –
HRZN icon
262
Horizon Technology Finance
HRZN
$294M
$256K 0.09%
19,227
+168
+0.9% +$2.32K
IYR icon
263
iShares US Real Estate ETF
IYR
$4.75B
$255K 0.09%
3,990
-4,289
-52% -$280K
PEO
264
Adams Natural Resources Fund
PEO
$731M
$253K 0.09%
9,741
-13,622
-58% -$350K
BNY
265
Bank of New York Mellon
BNY
$103B
$252K 0.09%
8,352
-198
-2% -$6.07K
ITM icon
266
VanEck Intermediate Muni ETF
ITM
$2.14B
$252K 0.09%
5,650
– –
AFL icon
267
Aflac
AFL
$65.5B
$249K 0.09%
8,030
+228
+3% +$6.86K
X
268
DELISTED
US Steel
X
$249K 0.09%
12,100
+7,655
+172% +$144K
NUV icon
269
Nuveen Municipal Value Fund
NUV
$1.91B
$246K 0.08%
26,935
-5,770
-18% -$52.6K
SWY
270
DELISTED
SAFEWAY INC
SWY
$246K 0.08%
8,600
-29
-0.3% -$691
AMGN icon
271
Amgen
AMGN
$209B
$244K 0.08%
2,179
-16
-0.7% -$1.74K
DINO icon
272
HF Sinclair
DINO
$16.2B
$244K 0.08%
5,788
+864
+18% +$37.5K
IAU icon
273
iShares Gold Trust
IAU
$62.8B
$244K 0.08%
9,449
-1,548
-14% -$40K
XPH icon
274
State Street SPDR S&P Pharmaceuticals ETF
XPH
$481M
$243K 0.08%
6,320
-40
-0.6% -$1.51K
BIV icon
275
Vanguard Intermediate-Term Bond ETF
BIV
$28.9B
$242K 0.08%
2,904
-96
-3% -$7.96K
9 10
11
12 13

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BCIM
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PCP
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EAM
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ACM
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WRBC
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B. Riley Wealth Advisors's Q3 2013 Portfolio in Review

As of Q3 2013, B. Riley Wealth Advisors held 798 positions worth $292M, down 0.73% from $295M the previous quarter. Its ten largest holdings account for 18% of the portfolio.

B. Riley Wealth Advisors withdrew a net $11.3M in Q3 2013, closing 131 positions and reducing 265 holdings. Its most notable exit was iShares Core S&P 500 ETF, an estimated $6.32M position sold in full.

By sector, the portfolio is most concentrated in Energy at 9.5% of assets, up from 8.6% a quarter earlier, followed by Technology and Financials.

Against the trend, B. Riley Wealth Advisors opened a new position in iPath US Treasury Steepener ETN worth $1.43M.

  • B. Riley Wealth Advisors's largest Q3 2013 buy was iPath US Treasury Steepener ETN: 36,312 shares worth $1.43M.
  • B. Riley Wealth Advisors added most to iShares 3-7 Year Treasury Bond ETF in Q3 2013, an estimated $6.26M increase.
  • B. Riley Wealth Advisors's biggest Q3 2013 reduction was ProShares Ultra S&P500, cutting an estimated $4.08M.
  • B. Riley Wealth Advisors fully exited iShares Core S&P 500 ETF in Q3 2013, selling an estimated $6.32M.
  • B. Riley Wealth Advisors's ten largest holdings make up 18% of its $292M portfolio in Q3 2013.
  • B. Riley Wealth Advisors opened 106 new positions and closed 131 in Q3 2013.
  • B. Riley Wealth Advisors's portfolio value fell 0.73% quarter-over-quarter to $292M.

Based on B. Riley Wealth Advisors's 13F filing for Q3 2013, filed 21 Oct 2013.