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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
SNLN
1826
DELISTED
Highland/iBoxx Senior Loan ETF
SNLN
– –
-2,190
Closed -$43.6K
HYLD
1827
DELISTED
High Yield ETF
HYLD
– –
-1,239
Closed -$66K
PDCE
1828
DELISTED
PDC Energy, Inc.
PDCE
– –
-300
Closed -$18.9K
SPPI
1829
DELISTED
Spectrum Pharmaceuticals Inc
SPPI
– –
-850
Closed -$6.91K
NIQ
1830
DELISTED
NUVEEN INTERMEDIATE DURATION QUALITY MUNICIPAL TERM FUND
NIQ
– –
-4,000
Closed -$51.3K
DCP
1831
DELISTED
DCP Midstream, LP
DCP
– –
-3,192
Closed -$182K
CS
1832
DELISTED
Credit Suisse Group
CS
– –
-86
Closed -$2.44K
DBD
1833
DELISTED
Diebold Nixdorf Incorporated
DBD
– –
-1,969
Closed -$79.1K
ACOR
1834
DELISTED
Acorda Therapeutics
ACOR
– –
-3
Closed -$10.1K
BBBY
1835
DELISTED
Bed Bath & Beyond Inc
BBBY
– –
-473
Closed -$27.1K
FRC
1836
DELISTED
First Republic Bank
FRC
– –
-799
Closed -$43.9K
AUY
1837
DELISTED
Yamana Gold, Inc.
AUY
– –
-3,613
Closed -$29.7K
AIMC
1838
DELISTED
Altra Industrial Motion Corp
AIMC
– –
-200
Closed -$7.28K
MGU
1839
DELISTED
Macquarie Global Infrastructure Total Return Fund, Inc.
MGU
– –
-185
Closed -$4.76K
FCRD
1840
DELISTED
First Eagle Alternative Capital BDC, Inc. Common Stock
FCRD
– –
-9,200
Closed -$129K
CAJ
1841
DELISTED
Canon, Inc.
CAJ
– –
-4,450
Closed -$146K
UMPQ
1842
DELISTED
Umpqua Holdings Corp
UMPQ
– –
-750
Closed -$13.4K
RFP
1843
DELISTED
Resolute Forest Products Inc.
RFP
– –
-92
Closed -$1.54K
LCI
1844
DELISTED
Lannett Company, Inc.
LCI
– –
-758
Closed -$150K
VIVO
1845
DELISTED
Meridian Bioscience Inc
VIVO
– –
-200
Closed -$4.13K
TTM
1846
DELISTED
Tata Motors Limited
TTM
– –
-733
Closed -$28.6K
SWIR
1847
DELISTED
Sierra Wireless
SWIR
– –
-1,012
Closed -$20.4K
DS
1848
DELISTED
Drive Shack Inc.
DS
– –
-232
Closed -$1.2K
RBCN
1849
DELISTED
Rubicon Technology, Inc.
RBCN
– –
-120
Closed -$10.5K
TEN
1850
DELISTED
Tenneco Inc. Class A Voting Common Stock
TEN
– –
-900
Closed -$59.1K
72 73
74
75 76

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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.