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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
ETFC
1926
DELISTED
E*Trade Financial Corporation
ETFC
– –
-713
Closed -$15.2K
PSV
1927
DELISTED
Hermitage Offshore Services Ltd.
PSV
– –
-100
Closed -$19.1K
SHLO
1928
DELISTED
Shiloh Industries Inc
SHLO
– –
-5,815
Closed -$107K
AFH
1929
DELISTED
Atlas Financial Holdings, Inc. Ordinary Shares
AFH
– –
-4,885
Closed -$74.1K
GCE
1930
DELISTED
Claymore/Robb CEF GS Connect ETN
GCE
– –
-1,850
Closed -$35.5K
GSB
1931
DELISTED
GlobalSCAPE, Inc.
GSB
– –
-50
Closed -$123
STPP
1932
DELISTED
iPath US Treasury Steepener ETN
STPP
– –
-345
Closed -$12.8K
DNR
1933
DELISTED
Denbury Resources, Inc.
DNR
– –
-3,265
Closed -$60.3K
NE
1934
DELISTED
Noble Corporation
NE
– –
-1,041
Closed -$30.5K
LM
1935
DELISTED
Legg Mason, Inc.
LM
– –
-2,175
Closed -$112K
GNC
1936
DELISTED
GNC Holdings, Inc.
GNC
– –
-6
Closed -$209
AXE
1937
DELISTED
Anixter International Inc
AXE
– –
-56
Closed -$5.6K
SDRL
1938
DELISTED
Seadrill Limited Common Stock
SDRL
– –
-19
Closed -$204K
EQM
1939
DELISTED
EQM Midstream Partners, LP
EQM
– –
-178
Closed -$17.2K
WBC
1940
DELISTED
WABCO HOLDINGS INC.
WBC
– –
-1,109
Closed -$118K
GULF
1941
DELISTED
WisdomTree Middle East Dividend Fund
GULF
– –
-300
Closed -$6.32K
TSLF
1942
DELISTED
THL CREDIT SENIOR LOAN FUND
TSLF
– –
-700
Closed -$12.8K
AVH
1943
DELISTED
AVIANCA HOLDINGS S.A.
AVH
– –
-1,017
Closed -$16.3K
SSI
1944
DELISTED
Stage Stores Inc
SSI
– –
-333
Closed -$6.22K
TTP
1945
DELISTED
TORTOISE PIPELINE & ENERGY FUND, INC.
TTP
– –
-150
Closed -$21.4K
MLNX
1946
DELISTED
Mellanox Technologies, Ltd.
MLNX
– –
-116
Closed -$4.05K
KOL
1947
DELISTED
VanEck Vectors Coal ETF
KOL
– –
-70
Closed -$13.1K
GMZ
1948
DELISTED
Goldman Sachs MLP Income Opportunities Fund
GMZ
– –
-733
Closed -$107K
S
1949
DELISTED
Sprint Corporation
S
– –
-1,898
Closed -$16.2K
AKS
1950
DELISTED
AK Steel Holding Corp
AKS
– –
-1,000
Closed -$7.96K
76 77
78
79 80

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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.