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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
FEO
501
DELISTED
First Trust/abrdn Emerging Opportunity Fund
FEO
$117K 0.04%
6,130
+866
+16% +$16.2K
HZNP
502
DELISTED
Horizon Therapeutics Public Limited Company Ordinary Shares
HZNP
$117K 0.04%
+34,813
New +$91.8K
APU
503
DELISTED
AmeriGas Partners, L.P.
APU
$116K 0.04%
+2,700
New +$120K
RGC
504
DELISTED
Regal Entertainment Group
RGC
$116K 0.04%
+6,106
New +$114K
VE
505
DELISTED
VEOLIA ENVIRONNEMENT
VE
$116K 0.04%
6,775
-16,556
-71% -$242K
NAI
506
DELISTED
Allianzgi Intl & Prem Strategy Fnd Com Shs Of Bene Int
NAI
$116K 0.04%
10,990
-1,975
-15% -$19.6K
KR icon
507
Kroger
KR
$36.3B
$115K 0.04%
5,692
-66
-1% -$1.27K
POM
508
DELISTED
PEPCO HOLDINGS, INC.
POM
$115K 0.04%
6,248
+132
+2% +$2.57K
E icon
509
ENI
E
$72.9B
$114K 0.04%
2,480
– –
OHI icon
510
Omega Healthcare
OHI
$15.4B
$114K 0.04%
3,825
+325
+9% +$9.89K
AWR icon
511
American States Water
AWR
$3.45B
$113K 0.04%
4,100
-250
-6% -$7.13K
APO icon
512
Apollo Global Management
APO
$71.9B
$112K 0.04%
3,950
+300
+8% +$8.05K
PBA icon
513
Pembina Pipeline
PBA
$29B
$112K 0.04%
3,376
-210
-6% -$6.6K
HCR
514
DELISTED
Hi-Crush Inc. Common Stock
HCR
$112K 0.04%
+4,250
New +$100K
BCS.PRD.CL
515
DELISTED
Barclays Bank Plc
BCS.PRD.CL
$112K 0.04%
+4,400
New +$112K
BHI
516
DELISTED
Baker Hughes
BHI
$112K 0.04%
+2,271
New +$110K
CNVS icon
517
Cineverse
CNVS
$56.4M
$111K 0.04%
370
– –
AVY icon
518
Avery Dennison
AVY
$12.9B
$109K 0.04%
2,500
-300
-11% -$13.3K
LTC
519
LTC Properties
LTC
$2.14B
$109K 0.04%
2,866
-376
-12% -$14.3K
FRGI
520
DELISTED
Fiesta Restaurant Group, Inc.
FRGI
$108K 0.04%
+2,860
New +$96.9K
WMC
521
DELISTED
Western Asset Mortgage Capital Corporation
WMC
$108K 0.04%
675
-190
-22% -$30.8K
BBG
522
DELISTED
Bill Barrett Corp
BBG
$108K 0.04%
4,300
– –
CJES
523
DELISTED
C&J ENERGY SVCS LTD
CJES
$108K 0.04%
5,400
– –
ASMB icon
524
Assembly Biosciences
ASMB
$507M
$107K 0.04%
617
+12
+2% +$1.84K
FXO icon
525
First Trust Financials AlphaDEX Fund
FXO
$1.15B
$107K 0.04%
5,400
+400
+8% +$7.86K
19 20
21
22 23

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P3I
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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.