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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
VHT icon
376
Vanguard Health Care ETF
VHT
$18.5B
$177K 0.06%
1,900
-228
-11% -$20.9K
DNKN
377
DELISTED
Dunkin' Brands Group, Inc.
DNKN
$177K 0.06%
3,907
+400
+11% +$17.5K
AMT icon
378
American Tower
AMT
$83.5B
$176K 0.06%
+2,378
New +$172K
FIW icon
379
First Trust Water ETF
FIW
$1.87B
$176K 0.06%
5,600
– –
PAAS icon
380
Pan American Silver
PAAS
$17.9B
$176K 0.06%
16,693
+729
+5% +$8.87K
CEF icon
381
Sprott Physical Gold and Silver Trust
CEF
$7.38B
$175K 0.06%
11,908
-2,358
-17% -$35.1K
CMI icon
382
Cummins
CMI
$83.6B
$175K 0.06%
+1,314
New +$162K
YUM icon
383
Yum! Brands
YUM
$41.9B
$175K 0.06%
3,407
-130
-4% -$6.74K
ESRX
384
DELISTED
Express Scripts Holding Company
ESRX
$174K 0.06%
2,811
+1,003
+55% +$64.9K
BSP
385
DELISTED
AMERN STRATEGIC INCM PORTF II
BSP
$174K 0.06%
21,400
-21,546
-50% -$173K
BRCD
386
DELISTED
Brocade Communications Systems, Inc. NEW
BRCD
$173K 0.06%
+21,500
New +$154K
ITW icon
387
Illinois Tool Works
ITW
$84.1B
$172K 0.06%
2,250
+100
+5% +$7.31K
UNH icon
388
UnitedHealth
UNH
$382B
$172K 0.06%
+2,398
New +$172K
LO
389
DELISTED
LORILLARD INC COM STK
LO
$172K 0.06%
3,840
-7
-0.2% -$308
NSC icon
390
Norfolk Southern
NSC
$75.4B
$170K 0.06%
+2,202
New +$165K
DCP
391
DELISTED
DCP Midstream, LP
DCP
$170K 0.06%
3,421
-93
-3% -$4.73K
PXI icon
392
Invesco Dorsey Wright Energy Momentum ETF
PXI
$58.5M
$168K 0.06%
3,370
+180
+6% +$8.95K
SFY
393
DELISTED
SWIFT ENERGY CO (HOLDING COMPANY)
SFY
$168K 0.06%
14,700
– –
BPL
394
DELISTED
Buckeye Partners, L.P.
BPL
$167K 0.06%
2,551
-1
-0% -$69
TWC
395
DELISTED
TIME WARNER CABLE INC NEW COM STK
TWC
$167K 0.06%
1,494
-712
-32% -$80.1K
LOW icon
396
Lowe's Companies
LOW
$121B
$166K 0.06%
3,487
-45
-1% -$2.04K
EWZ icon
397
iShares MSCI Brazil ETF
EWZ
$8.98B
$165K 0.06%
+3,438
New +$153K
PEG icon
398
Public Service Enterprise Group
PEG
$38.7B
$165K 0.06%
5,017
+1,240
+33% +$41K
CL icon
399
Colgate-Palmolive
CL
$74.8B
$164K 0.06%
2,765
-306
-10% -$18.1K
TCPC icon
400
BlackRock TCP Capital
TCPC
$278M
$163K 0.06%
10,039
-6,310
-39% -$101K
14 15
16
17 18

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EPW
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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.