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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
IYW icon
476
iShares US Technology ETF
IYW
$23.5B
$128K 0.04%
+6,500
New +$126K
UEIC icon
477
Universal Electronics
UEIC
$58M
$128K 0.04%
+3,562
New +$112K
NE
478
DELISTED
Noble Corporation
NE
$127K 0.04%
+3,850
New +$131K
RFMD
479
DELISTED
RF MICRO DEVICES INC
RFMD
$127K 0.04%
22,508
+2,871
+15% +$15.1K
TEF
480
DELISTED
Telefonica
TEF
$126K 0.04%
11,131
-682
-6% -$7.05K
EFT
481
Eaton Vance Floating-Rate Income Trust
EFT
$283M
$125K 0.04%
8,010
+162
+2% +$2.64K
ES icon
482
Eversource Energy
ES
$27.8B
$125K 0.04%
3,034
-9
-0.3% -$381
SYNA icon
483
Synaptics
SYNA
$4.25B
$125K 0.04%
+2,819
New +$115K
NUVA
484
DELISTED
NuVasive, Inc.
NUVA
$125K 0.04%
5,092
-508
-9% -$12.5K
DNL icon
485
WisdomTree Global ex-U.S. Quality Growth Fund
DNL
$484M
$123K 0.04%
5,020
-520
-9% -$12.6K
RCG
486
RENN Fund
RCG
$21M
$123K 0.04%
83,898
-116,821
-58% -$169K
YHOO
487
DELISTED
Yahoo Inc
YHOO
$123K 0.04%
3,717
+234
+7% +$6.62K
COLE
488
DELISTED
COLE REAL ESTATE INVESTMENTS, INC COM
COLE
$123K 0.04%
+10,000
New +$114K
LAZ icon
489
Lazard
LAZ
$4.09B
$122K 0.04%
+3,379
New +$120K
ILCV icon
490
iShares Morningstar Value ETF
ILCV
$1.32B
$121K 0.04%
+3,310
New +$124K
NFJ
491
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.41B
$121K 0.04%
+7,209
New +$124K
TJX icon
492
TJX Companies
TJX
$176B
$121K 0.04%
4,282
+262
+7% +$6.97K
PWE
493
DELISTED
Penn West Energy Petroleum Ltd
PWE
$120K 0.04%
10,757
+100
+0.9% +$1.16K
GHY
494
PGIM Global High Yield Fund
GHY
$476M
$119K 0.04%
+6,800
New +$118K
TWX
495
DELISTED
Time Warner Inc
TWX
$119K 0.04%
+1,887
New +$113K
DCT
496
DELISTED
DCT Industrial Trust Inc.
DCT
$119K 0.04%
+4,125
New +$120K
CHI
497
Calamos Convertible Opportunities and Income Fund
CHI
$999M
$118K 0.04%
9,350
+800
+9% +$10.1K
FBIO icon
498
Fortress Biotech
FBIO
$109M
$118K 0.04%
1,118
+340
+44% +$41.7K
SU icon
499
Suncor Energy
SU
$78.8B
$118K 0.04%
3,300
+300
+10% +$9.98K
DFP
500
Flaherty & Crumrine Dynamic Preferred and Income Fund
DFP
$428M
$117K 0.04%
5,500
+1,500
+38% +$32.4K
18 19
20
21 22

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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.