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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
VFL
601
DELISTED
abrdn National Municipal Income Fund
VFL
$73K 0.03%
6,098
-3,640
-37% -$43K
GMED icon
602
Globus Medical
GMED
$11.1B
$72K 0.02%
4,113
-2,795
-40% -$48.4K
MUFG icon
603
Mitsubishi UFJ Financial
MUFG
$247B
$71K 0.02%
11,110
+4,465
+67% +$28.4K
FTT
604
DELISTED
FEDERATED ENHANCED TREAS INCM FD COM BEN INTEREST
FTT
$71K 0.02%
5,517
-15,252
-73% -$196K
IGA
605
Voya Global Advantage and Premium Opportunity Fund
IGA
$155M
$70K 0.02%
5,843
– –
WU icon
606
Western Union
WU
$2.53B
$70K 0.02%
+3,748
New +$67.3K
CTF
607
DELISTED
Nuveen Long/Short Commodity Fd
CTF
$70K 0.02%
4,080
-288
-7% -$5.25K
HPS
608
John Hancock Preferred Income Fund III
HPS
$454M
$69K 0.02%
4,146
– –
DSL
609
DoubleLine Income Solutions Fund
DSL
$1.22B
$68K 0.02%
3,120
-12,305
-80% -$264K
RSO
610
DELISTED
Resource Capital Corp.
RSO
$68K 0.02%
2,865
-2,158
-43% -$53K
RGEN icon
611
Repligen
RGEN
$6.91B
$67K 0.02%
+6,034
New +$60K
ARK
612
DELISTED
BLACKROCK SR HIGH INCM FD INC
ARK
$65K 0.02%
16,431
-568
-3% -$2.26K
VSH icon
613
Vishay Intertechnology
VSH
$4.6B
$64K 0.02%
5,000
+574
+13% +$7.83K
CNSL
614
DELISTED
Consolidated Communications Holdings, Inc.
CNSL
$64K 0.02%
3,741
– –
ESIO
615
DELISTED
Electro Scientific Industries
ESIO
$64K 0.02%
5,512
+810
+17% +$9.35K
CCEC
616
Capital Clean Energy Carriers
CCEC
$1.37B
$63K 0.02%
1,007
-57
-5% -$3.68K
CAA
617
DELISTED
CalAtlantic Group, Inc.
CAA
$63K 0.02%
1,600
– –
IRR
618
DELISTED
VOYA NATURAL RESOURCES EQUITY INCOME FUND
IRR
$63K 0.02%
6,248
+74
+1% +$765
WHLR
619
Wheeler Real Estate Investment Trust
WHLR
$869K
– –
0
– –
BEL
620
DELISTED
Belmond Ltd.
BEL
$61K 0.02%
+4,690
New +$58.8K
GUT
621
Gabelli Utility Trust
GUT
$564M
$60K 0.02%
9,690
+3,002
+45% +$19.1K
IAE
622
Voya Asia Pacific High Dividend Equity Income Fund
IAE
$88.9M
$60K 0.02%
4,500
– –
HYF
623
DELISTED
MANAGED HIGH YLD PLUS FD INC
HYF
$60K 0.02%
29,837
-3,725
-11% -$7.32K
LLEN
624
DELISTED
L & L ENERGY INC COM STK (NV)
LLEN
$59K 0.02%
47,000
+31,500
+203% +$85.7K
BFK
625
DELISTED
BlackRock Municipal Income Trust
BFK
$58K 0.02%
4,500
+500
+13% +$6.37K
23 24
25
26 27

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ACM
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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.