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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
HIX
626
Western Asset High Income Fund II
HIX
$349M
$58K 0.02%
6,200
+300
+5% +$2.7K
KTOS icon
627
Kratos Defense & Security Solutions
KTOS
$9.12B
$58K 0.02%
6,992
-2,500
-26% -$18.9K
MTOR
628
DELISTED
MERITOR, Inc.
MTOR
$58K 0.02%
7,425
– –
MXWL
629
DELISTED
Maxwell Technologies Inc
MXWL
$57K 0.02%
+6,266
New +$54.3K
TGTX icon
630
TG Therapeutics
TGTX
$8.4B
$56K 0.02%
11,194
– –
WG
631
DELISTED
Willbros Group
WG
$56K 0.02%
6,075
-2,575
-30% -$21.6K
EAD
632
Allspring Income Opportunities Fund
EAD
$373M
$55K 0.02%
6,125
-500
-8% -$4.48K
EWS icon
633
iShares MSCI Singapore ETF
EWS
$1.03B
$55K 0.02%
2,054
-101
-5% -$2.65K
HL icon
634
Hecla Mining
HL
$9.76B
$55K 0.02%
17,491
-350
-2% -$1.14K
NHS
635
Neuberger High Yield Strategies Fund Inc
NHS
$251M
$55K 0.02%
4,231
-3,178
-43% -$40.9K
PSP icon
636
Invesco Global Listed Private Equity ETF
PSP
$232M
$55K 0.02%
959
-551
-36% -$31.8K
WIN
637
DELISTED
Windstream Holdings Inc
WIN
$55K 0.02%
884
-121
-12% -$7.81K
BRW
638
Saba Capital Income & Opportunities Fund
BRW
$336M
$53K 0.02%
4,345
– –
MWA icon
639
Mueller Water Products
MWA
$4.05B
$52K 0.02%
+6,458
New +$49.8K
BB icon
640
BlackBerry
BB
$4.74B
$50K 0.02%
+6,275
New +$60.9K
UNIS
641
DELISTED
Unilife Corporation
UNIS
$50K 0.02%
+1,500
New +$46.9K
SD
642
DELISTED
SANDRIDGE ENERGY, INC.
SD
$50K 0.02%
8,500
+2,000
+31% +$10.7K
GRPN icon
643
Groupon
GRPN
$1.07B
$49K 0.02%
+218
New +$43.4K
FST
644
DELISTED
FOREST OIL CORPORATION
FST
$49K 0.02%
8,100
– –
GFI icon
645
Gold Fields
GFI
$29.2B
$48K 0.02%
+10,500
New +$56.3K
SYMM
646
DELISTED
SYMMETRICOM INC
SYMM
$48K 0.02%
10,025
– –
AEG icon
647
Aegon
AEG
$13.6B
$46K 0.02%
9,088
+498
+6% +$2.54K
NCV
648
Virtus Convertible & Income Fund
NCV
$375M
$46K 0.02%
1,223
-50
-4% -$1.87K
TWER
649
DELISTED
Towerstream Corporation Common Stock
TWER
$46K 0.02%
810
– –
JTP
650
DELISTED
NUVEEN QUALITY PFD INCOME FD
JTP
$46K 0.02%
6,104
-961
-14% -$7.46K
24 25
26
27 28

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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.