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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
SCHM icon
126
Schwab US Mid-Cap ETF
SCHM
$14.5B
$559K 0.19%
48,483
+12,342
+34% +$139K
WOLF icon
127
Wolfspeed
WOLF
$1.14B
$558K 0.19%
9,271
+7,164
+340% +$456K
SCHA icon
128
Schwab U.S Small- Cap ETF
SCHA
$22.2B
$554K 0.19%
45,932
+5,332
+13% +$62.6K
NLY icon
129
Annaly Capital Management
NLY
$17.4B
$550K 0.19%
11,877
-779
-6% -$36.7K
IGM icon
130
iShares Expanded Tech Sector ETF
IGM
$9.78B
$541K 0.19%
40,680
-132
-0.3% -$1.72K
PGX icon
131
Invesco Preferred ETF
PGX
$3.81B
$535K 0.18%
39,090
-22,788
-37% -$316K
UNP icon
132
Union Pacific
UNP
$175B
$528K 0.18%
6,802
+1,666
+32% +$132K
AIG icon
133
American International
AIG
$42.9B
$525K 0.18%
10,802
+638
+6% +$30.3K
DOC icon
134
Healthpeak Properties
DOC
$15.7B
$523K 0.18%
14,026
-137
-1% -$5.34K
AEP icon
135
American Electric Power
AEP
$72.4B
$522K 0.18%
12,036
+4,703
+64% +$209K
ADAM
136
Adamas Trust
ADAM
$783M
$521K 0.18%
20,887
-8,940
-30% -$225K
CMO
137
DELISTED
Capstead Mortgage Corp.
CMO
$520K 0.18%
44,145
+30,893
+233% +$365K
MITT
138
TPG Mortgage Investment Trust
MITT
$230M
$519K 0.18%
10,417
-9,602
-48% -$502K
BTU
139
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
$517K 0.18%
1,997
+435
+28% +$111K
CME icon
140
CME Group
CME
$93.5B
$514K 0.18%
6,952
+702
+11% +$51.7K
PH icon
141
Parker-Hannifin
PH
$125B
$508K 0.17%
+4,669
New +$481K
KRFT
142
DELISTED
KRAFT FOODS GROUP INC COM STK (VA)
KRFT
$508K 0.17%
9,683
-1,778
-16% -$97.4K
XLI icon
143
State Street Industrial Select Sector SPDR ETF
XLI
$33.3B
$502K 0.17%
10,814
+3,064
+40% +$139K
SCHB icon
144
Schwab US Broad Market ETF
SCHB
$42.9B
$496K 0.17%
72,450
-360
-0.5% -$2.45K
WFC.PRL icon
145
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.69B
$489K 0.17%
+430
New +$494K
F icon
146
Ford
F
$59.6B
$488K 0.17%
28,941
-5,587
-16% -$94.4K
CZA icon
147
Invesco Zacks Mid-Cap ETF
CZA
$192M
$486K 0.17%
11,480
+140
+1% +$5.79K
XLVS
148
DELISTED
POWERSHARES S&P SMALLCAP HEALTH CARE PORTFOLIO
XLVS
$484K 0.17%
9,860
+1,660
+20% +$81.5K
ETJ
149
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$563M
$481K 0.16%
44,471
-29,458
-40% -$323K
CRUS icon
150
Cirrus Logic
CRUS
$6.87B
$480K 0.16%
21,167
+9,814
+86% +$203K
4 5
6
7 8

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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.