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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
XPLR
2051
DELISTED
Xplore Technologies Corp.
XPLR
– –
-4,500
Closed -$26K
NSH
2052
DELISTED
NuStar GP Holdings LLC
NSH
– –
-899
Closed -$35.2K
VR
2053
DELISTED
Validus Hold Ltd
VR
– –
-6
Closed -$215
JASO
2054
DELISTED
JA Solar Holdings, Co., Ltd
JASO
– –
-4,033
Closed -$43.8K
KND
2055
DELISTED
Kindred Healthcare
KND
– –
-1,000
Closed -$23.1K
ALOG
2056
DELISTED
Analogic Corp
ALOG
– –
-96
Closed -$7.51K
LAYN
2057
DELISTED
Layne Christensen Co
LAYN
– –
-1,900
Closed -$25.3K
GXP
2058
DELISTED
Great Plains Energy Incorporated
GXP
– –
-3,153
Closed -$84.7K
ADRE
2059
DELISTED
Invesco BLDRS Emerging Markets 50 ADR Index Fund
ADRE
– –
-401
Closed -$15.7K
NFO
2060
DELISTED
Invesco Insider Sentiment ETF
NFO
– –
-750
Closed -$37.2K
DBV
2061
DELISTED
Invesco DB G10 Currency Harvest Fund
DBV
– –
-2,069
Closed -$54K
LQ
2062
DELISTED
La Quinta Holdings Inc.
LQ
– –
-100
Closed -$1.91K
OAKS
2063
DELISTED
Five Oaks Investment Corp.
OAKS
– –
-3,000
Closed -$33.9K
WIN
2064
DELISTED
Windstream Holdings Inc
WIN
– –
-1,105
Closed -$86.2K
EVEP
2065
DELISTED
EV Energy Partners, L.P.
EVEP
– –
-250
Closed -$9.9K
GRR
2066
DELISTED
Asia Tigers Fund
GRR
– –
-1,499
Closed -$18.1K
SPIL
2067
DELISTED
Siliconware Precision Industries Co Ltd
SPIL
– –
-300
Closed -$2.46K
DYN
2068
DELISTED
Dynegy, Inc.
DYN
– –
-747
Closed -$26K
WG
2069
DELISTED
Willbros Group
WG
– –
-7,275
Closed -$89.8K
SPXH
2070
DELISTED
Janus Velocity Volatility Hedged Large Cap ETF
SPXH
– –
-1,562
Closed -$46.7K
BBG
2071
DELISTED
Bill Barrett Corp
BBG
– –
-1,500
Closed -$40.2K
CASC
2072
DELISTED
Cascadian Therapeutics, Inc.
CASC
– –
-5
Closed -$87
CCC
2073
DELISTED
Calgon Carbon Corp
CCC
– –
-383
Closed -$8.55K
CPN
2074
DELISTED
Calpine Corporation
CPN
– –
-6,350
Closed -$151K
SNI
2075
DELISTED
Scripps Networks Interactive, Inc Common Class A
SNI
– –
-984
Closed -$79.8K
81 82
83
84 85

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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.