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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
IDA icon
701
Idacorp
IDA
$8.24B
– –
-2,063
Closed -$99K
IGE icon
702
iShares North American Natural Resources ETF
IGE
$726M
– –
-7,546
Closed -$289K
IGIB icon
703
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
– –
-6,216
Closed -$335K
INTU icon
704
Intuit
INTU
$85.6B
– –
-2,650
Closed -$162K
IVE icon
705
iShares S&P 500 Value ETF
IVE
$49.6B
– –
-2,867
Closed -$217K
IVV icon
706
iShares Core S&P 500 ETF
IVV
$871B
– –
-39,298
Closed -$6.32M
IWB icon
707
iShares Russell 1000 ETF
IWB
$47.9B
– –
-3,174
Closed -$285K
IWR icon
708
iShares Russell Mid-Cap ETF
IWR
$56.5B
– –
-6,204
Closed -$201K
KDP icon
709
Keurig Dr Pepper
KDP
$42.3B
– –
-2,154
Closed -$99K
KEY icon
710
KeyCorp
KEY
$24.3B
– –
-4,911
Closed -$54K
LMT icon
711
Lockheed Martin
LMT
$134B
– –
-1,625
Closed -$176K
LUV icon
712
Southwest Airlines
LUV
$22.7B
– –
-6,520
Closed -$84K
MBB icon
713
iShares MBS ETF
MBB
$39.2B
– –
-1,826
Closed -$192K
MDT icon
714
Medtronic
MDT
$111B
– –
-2,393
Closed -$123K
MINT icon
715
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$16.9B
– –
-7,275
Closed -$737K
MLCO icon
716
Melco Resorts & Entertainment
MLCO
$2.19B
– –
-4,555
Closed -$102K
MPA icon
717
BlackRock MuniYield Pennsylvania Quality Fund
MPA
$142M
– –
-14,923
Closed -$212K
MRVL icon
718
Marvell Technology
MRVL
$157B
– –
-5,397
Closed -$63K
MUJ icon
719
BlackRock MuniHoldings New Jersey Quality Fund
MUJ
$643M
– –
-6,624
Closed -$95K
NRK icon
720
Nuveen New York AMT-Free Quality Municipal Income Fund
NRK
$904M
– –
-4,431
Closed -$59K
OIA icon
721
Invesco Municipal Income Opportunities Trust
OIA
$293M
– –
-5,687
Closed -$38K
OSUR icon
722
OraSure Technologies
OSUR
$277M
– –
-10,000
Closed -$39K
PCY icon
723
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.39B
– –
-3,380
Closed -$92K
PDT
724
John Hancock Premium Dividend Fund
PDT
$637M
– –
-10,317
Closed -$137K
PGF icon
725
Invesco Financial Preferred ETF
PGF
$676M
– –
-6,326
Closed -$113K
27 28
29
30 31

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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.