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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
UKK
776
DELISTED
PROSHARES ULTRA RUSSELL 2000 GROWTH
UKK
– –
-2,246
Closed -$152K
UKW
777
DELISTED
PROSHARES ULTRA RUSSELL MIDCAP GROWTH
UKW
– –
-1,761
Closed -$123K
STRZA
778
DELISTED
Starz - Series A
STRZA
– –
-3,829
Closed -$85K
YONG
779
DELISTED
YONGYE INTERNATIONAL, INC. COMMON STOCK
YONG
– –
-6,795
Closed -$36K
NUC
780
DELISTED
NUVEEN CALIF QUAL INCM MUNI FD
NUC
– –
-4,616
Closed -$71K
NPY
781
DELISTED
NUVEEN (PA)PREM INCM MUNI FD-2
NPY
– –
-5,100
Closed -$68K
GM.PRB
782
DELISTED
GENERAL MTRS CO JR PFD CONV SER B (DE)
GM.PRB
– –
-3,535
Closed -$170K
TSRX
783
DELISTED
TRIUS THERAPEUTICS INC COM STK (DE)
TSRX
– –
-11,000
Closed -$89K
ATVI
784
DELISTED
Activision Blizzard
ATVI
– –
-6,034
Closed -$86K
CY
785
DELISTED
Cypress Semiconductor
CY
– –
-8,623
Closed -$93K
SPLS
786
DELISTED
Staples Inc
SPLS
– –
-11,100
Closed -$176K
LNKD
787
DELISTED
LinkedIn Corporation
LNKD
– –
-1,077
Closed -$192K
KKD
788
DELISTED
KRISPY KREME DOUGHNUTS INC
KKD
– –
-5,473
Closed -$96K
OIL
789
DELISTED
Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In
OIL
– –
-5,748
Closed -$128K
TIVO
790
DELISTED
TIVO INC
TIVO
– –
-27,000
Closed -$298K
JJA
791
DELISTED
iPath Bloomberg Agriculture Subindex Total Return ETN due October 22, 2037
JJA
– –
-2,221
Closed -$113K
BAL
792
DELISTED
iPath Bloomberg Cotton Subindex Total Return ETN due June 24, 2038
BAL
– –
-2,130
Closed -$115K
AGN
793
DELISTED
Allergan Inc
AGN
– –
-1,664
Closed -$140K
JJE
794
DELISTED
iPath Bloomberg Energy Subindex Total Return ETN due October 22, 2037
JJE
– –
-6,728
Closed -$113K
ANAC
795
DELISTED
ANACOR PHARMACEUTICALS INC COM
ANAC
– –
-21,498
Closed -$120K
ARP
796
DELISTED
ATLAS RESOURCE PARTNERS L P COM UIT REPSTG LTD PTNRS
ARP
– –
-7,959
Closed -$174K
28 29 30 31
32

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BCIM
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PCP
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EAM
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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.