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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
SHY icon
51
iShares 1-3 Year Treasury Bond ETF
SHY
$25.4B
$1.19M 0.41%
14,092
-2,573
-15% -$217K
SDY icon
52
State Street SPDR S&P Dividend ETF
SDY
$22B
$1.18M 0.4%
17,037
-9,178
-35% -$633K
SLYV icon
53
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
$4.9B
$1.17M 0.4%
23,920
+130
+0.5% +$6.2K
KOG
54
DELISTED
KODIAK OIL & GAS CORP
KOG
$1.16M 0.4%
96,500
-30,000
-24% -$301K
SRLN icon
55
State Street Blackstone Senior Loan ETF
SRLN
$5.3B
$1.15M 0.39%
+23,011
New +$1.15M
VOX icon
56
Vanguard Communication Services ETF
VOX
$5.6B
$1.14M 0.39%
14,140
+3,000
+27% +$243K
COP icon
57
ConocoPhillips
COP
$141B
$1.13M 0.39%
16,286
-4,622
-22% -$308K
MIN
58
Aberdeen Intermediate Income Fund
MIN
$272M
$1.13M 0.38%
211,818
-2,868
-1% -$15.2K
DUK icon
59
Duke Energy
DUK
$100B
$1.1M 0.38%
16,539
-539
-3% -$36.8K
CB
60
DELISTED
CHUBB CORPORATION
CB
$1.08M 0.37%
12,089
+184
+2% +$15.9K
PTY icon
61
PIMCO Corporate & Income Opportunity Fund
PTY
$2.47B
$1.06M 0.36%
58,805
-30,189
-34% -$537K
MO icon
62
Altria Group
MO
$122B
$1.05M 0.36%
30,716
-2,002
-6% -$70.5K
DD
63
DELISTED
Du Pont De Nemours E I
DD
$1.05M 0.36%
18,876
+3,441
+22% +$188K
BAC icon
64
Bank of America
BAC
$436B
$994K 0.34%
72,017
-2,973
-4% -$42.4K
MCD icon
65
McDonald's
MCD
$192B
$984K 0.34%
10,226
+478
+5% +$46.7K
LQD icon
66
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$34.4B
$979K 0.33%
8,621
-4,142
-32% -$469K
FDN icon
67
First Trust Dow Jones Internet Index Fund ETF
FDN
$4.92B
$978K 0.33%
18,192
-4,727
-21% -$238K
LKM
68
DELISTED
Link Motion Inc.
LKM
$975K 0.33%
+44,738
New +$727K
RSP icon
69
Invesco S&P 500 Equal Weight ETF
RSP
$97.1B
$950K 0.32%
14,572
-4,791
-25% -$309K
IBM icon
70
IBM
IBM
$204B
$931K 0.32%
5,260
+283
+6% +$51.4K
LULU icon
71
lululemon athletica
LULU
$13.4B
$920K 0.31%
12,581
-1,202
-9% -$83.8K
XLE icon
72
State Street Energy Select Sector SPDR ETF
XLE
$38.8B
$908K 0.31%
21,908
-450
-2% -$18.5K
VOD icon
73
Vodafone
VOD
$36.4B
$894K 0.31%
24,934
+4,343
+21% +$137K
BOH icon
74
Bank of Hawaii
BOH
$3.17B
$880K 0.3%
16,163
+350
+2% +$18.9K
PSEC icon
75
Prospect Capital
PSEC
$1.12B
$875K 0.3%
78,361
-4,454
-5% -$49.5K
1 2
3
4 5

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BCIM
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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.