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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
WEN icon
751
Wendy's
WEN
$1.46B
– –
-7,836
Closed -$46K
XME icon
752
State Street SPDR S&P Metals & Mining ETF
XME
$3.76B
– –
-2,530
Closed -$84K
AMJ
753
DELISTED
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
– –
-3,065
Closed -$143K
NM
754
DELISTED
Navios Maritime Holdings Inc.
NM
– –
-927
Closed -$52K
CEQP
755
DELISTED
Crestwood Equity Partners LP
CEQP
– –
-2,014
Closed -$323K
PTR
756
DELISTED
PETROCHINA COMPANY LIMITED ADS (REP 100 H SHARES)
PTR
– –
-1,445
Closed -$160K
MFL
757
DELISTED
BLACKROCK MUNIHOLDINGS INVESTMENT QUALITY FUND
MFL
– –
-6,407
Closed -$91K
ANH
758
DELISTED
Anworth Mortgage Asset Corporation
ANH
– –
-8,920
Closed -$50K
PRGX
759
DELISTED
PRGX Global, Inc.
PRGX
– –
-10,100
Closed -$55K
GNC
760
DELISTED
GNC Holdings, Inc.
GNC
– –
-2,137
Closed -$94K
SDRL
761
DELISTED
Seadrill Limited Common Stock
SDRL
– –
-9
Closed -$93K
MLNX
762
DELISTED
Mellanox Technologies, Ltd.
MLNX
– –
-3,259
Closed -$161K
UQM
763
DELISTED
UQM Technologies, Inc.
UQM
– –
-22,000
Closed -$26K
VXZ
764
DELISTED
iPath S&P 500 VIX Mid-Term Futures ETN due 1/30/2019
VXZ
– –
-1,213
Closed -$112K
EMJ
765
DELISTED
Eaton Vance New Jersey Municipal Bond Fund
EMJ
– –
-4,267
Closed -$54K
MSP
766
DELISTED
Madison Strategic Sector
MSP
– –
-6,531
Closed -$76K
BLJ
767
DELISTED
BlackRock New Jersey Municipal Bond Trust
BLJ
– –
-5,122
Closed -$75K
TAL
768
DELISTED
TAL INTERNATIONAL GROUP, INC.
TAL
– –
-3,157
Closed -$138K
PSUN
769
DELISTED
PACIFIC SUNWEAR OF CAL. INC
PSUN
– –
-15,000
Closed -$54K
LF
770
DELISTED
LEAPFROG ENTERPRISES INC.
LF
– –
-8,055
Closed -$79K
CRBQ
771
DELISTED
Alps Etf Tr Global Commodity Equity ETF (DE)
CRBQ
– –
-2,728
Closed -$109K
GMCR
772
DELISTED
KEURIG GREEN MTN INC
GMCR
– –
-3,730
Closed -$281K
NES
773
DELISTED
NUVERRA ENVIRONMENTAL INC NEW COM STK (DE)
NES
– –
-843
Closed -$24K
CMLP
774
DELISTED
CRESTWOOD MIDSTREAM PARTNERS LP NEW UTS REP LTD PRT INT (DE)
CMLP
– –
-9,798
Closed -$218K
MCGC
775
DELISTED
MCG CAP CORP
MCGC
– –
-8,400
Closed -$44K
28 29 30
31
32

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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.