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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
-1.27%
1 Year Est. Return
+37.01%
3 Year Est. Return
+105.27%
5 Year Est. Return
+122.55%
10 Year Est. Return
+465.52%
AUM
$384M
AUM Growth
-$41.6M
Cap. Flow
-$316M
Cap. Flow %
-82.26%
Top 10 Hldgs %
12.69%
Holding
2,640
New
189
Increased
71
Reduced
395
Closed
1,957

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$870K
2
SLV icon
iShares Silver Trust
SLV
+$579K
3
QID icon
ProShares UltraShort QQQ
QID
+$425K
4
WFT
Weatherford International plc
WFT
+$386K
5
KMI icon
Kinder Morgan
KMI
+$334K

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$22.8M
2
META icon
Meta Platforms (Facebook)
META
+$6.67M
3
CVX icon
Chevron
CVX
+$5.29M
4
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$4.71M
5
GE icon
GE Aerospace
GE
+$4.54M

Sector Composition

Rank Sector Weight
1 Miscellaneous 51.69%
2 Energy 7.27%
3 Technology 7.19%
4 Healthcare 6.93%
5 Financials 6.6%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NS
1801
DELISTED
NuStar Energy L.P.
NS
– –
-504
Closed -$31.3K
AEL
1802
DELISTED
American Equity Investment Life Holding Company
AEL
– –
-349
Closed -$8.59K
MDC
1803
DELISTED
M.D.C. Holdings, Inc.
MDC
– –
-11
Closed -$233
HTY
1804
DELISTED
JOHN HANCOCK TAX-ADVANTAGED GLOBAL SHAREHOLDER YIELD FUND
HTY
– –
-7,504
Closed -$97.6K
MTBL
1805
DELISTED
Moatable, Inc. American Depositary Share (each representing forty-five (45) Class A Ordinary Shares)
MTBL
– –
-3,333
Closed -$16.7K
BKCC
1806
DELISTED
BlackRock Capital Investment Corporation
BKCC
– –
-3,456
Closed -$31.5K
TGH
1807
DELISTED
Textainer Group Holdings limited
TGH
– –
-253
Closed -$9.78K
IMGN
1808
DELISTED
Immunogen Inc
IMGN
– –
-450
Closed -$5.33K
SFE
1809
DELISTED
Safeguard Scientifics, Inc.
SFE
– –
-161
Closed -$3.35K
CHS
1810
DELISTED
Chicos FAS, Inc.
CHS
– –
-3,850
Closed -$65.3K
ONCT
1811
DELISTED
Oncternal Therapeutics, Inc. Common Stock
ONCT
– –
-1
Closed -$1.3K
RPT
1812
DELISTED
RPT Realty Common Shares of Beneficial Interest (MD)
RPT
– –
-509
Closed -$8.46K
AAIC
1813
DELISTED
Arlington Asset Investment Corp.
AAIC
– –
-1,900
Closed -$51.9K
SGEN
1814
DELISTED
Seagen Inc. Common Stock
SGEN
– –
-200
Closed -$7.65K
NM
1815
DELISTED
Navios Maritime Holdings Inc.
NM
– –
-257
Closed -$26K
HEP
1816
DELISTED
Holly Energy Partners, L.P.
HEP
– –
-960
Closed -$33K
PACW
1817
DELISTED
PacWest Bancorp
PACW
– –
-170
Closed -$7.34K
HT
1818
DELISTED
Hersha Hospitality Trust Priority Class A Common Shares of Beneficial Interest
HT
– –
-625
Closed -$16.8K
AVTA
1819
DELISTED
Avantax, Inc. Common Stock
AVTA
– –
-109
Closed -$2.06K
VMW
1820
DELISTED
VMware, Inc
VMW
– –
-564
Closed -$54.6K
ARGO
1821
DELISTED
Argo Group International Holdings, Ltd.
ARGO
– –
-288
Closed -$10.6K
ICPT
1822
DELISTED
Intercept Pharmaceuticals, Inc.
ICPT
– –
-90
Closed -$21.3K
CEQP
1823
DELISTED
Crestwood Equity Partners LP
CEQP
– –
-118
Closed -$17.6K
SVVC
1824
DELISTED
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
– –
-4,400
Closed -$93.5K
CIR
1825
DELISTED
CIRCOR International, Inc
CIR
– –
-200
Closed -$15.4K
71 72
73
74 75

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B. Riley Wealth Advisors's Q3 2014 Portfolio in Review

As of Q3 2014, B. Riley Wealth Advisors held 2,640 positions worth $384M, down 9.8% from $426M the previous quarter. Its ten largest holdings account for 13% of the portfolio.

B. Riley Wealth Advisors withdrew a net $316M in Q3 2014, closing 1,957 positions and reducing 395 holdings. Its most notable exit was iShares 7-10 Year Treasury Bond ETF, an estimated $2.28M position sold in full.

By sector, the portfolio is most concentrated in Miscellaneous at 52% of assets, up from 35% a quarter earlier, followed by Energy and Technology.

Against the trend, B. Riley Wealth Advisors opened a new position in Weatherford International plc worth $357K.

  • B. Riley Wealth Advisors's largest Q3 2014 buy was Weatherford International plc: 17,182 shares worth $357K.
  • B. Riley Wealth Advisors added most to State Street SPDR S&P 500 ETF Trust in Q3 2014, an estimated $870K increase.
  • B. Riley Wealth Advisors's biggest Q3 2014 reduction was Apple, cutting an estimated $22.8M.
  • B. Riley Wealth Advisors fully exited iShares 7-10 Year Treasury Bond ETF in Q3 2014, selling an estimated $2.28M.
  • B. Riley Wealth Advisors's ten largest holdings make up 13% of its $384M portfolio in Q3 2014.
  • B. Riley Wealth Advisors opened 189 new positions and closed 1,957 in Q3 2014.
  • B. Riley Wealth Advisors's portfolio value fell 9.8% quarter-over-quarter to $384M.

Based on B. Riley Wealth Advisors's 13F filing for Q3 2014, filed 14 Nov 2014.