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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
RGC
2076
DELISTED
Regal Entertainment Group
RGC
– –
-8,693
Closed -$183K
CAA
2077
DELISTED
CalAtlantic Group, Inc.
CAA
– –
-1,100
Closed -$47.3K
WAC
2078
DELISTED
Walter Investment Mgt Corp
WAC
– –
-292
Closed -$8.7K
TIME
2079
DELISTED
Time Inc.
TIME
– –
-284
Closed -$6.87K
SYT
2080
DELISTED
Syngenta Ag
SYT
– –
-292
Closed -$21.9K
POT
2081
DELISTED
Potash Corp Of Saskatchewan
POT
– –
-10,056
Closed -$177K
AGU
2082
DELISTED
Agrium
AGU
– –
-250
Closed -$22.9K
TKF
2083
DELISTED
Turkish Inv Fund
TKF
– –
-600
Closed -$7.2K
UGAZ
2084
DELISTED
VelocityShares 3x Long Natural Gas ETN linked to the S&P GSCI Natural Gas Index ER due February 9, 2
UGAZ
– –
0
– -$2.31K
ABCO
2085
DELISTED
Advisory Board Co
ABCO
– –
-258
Closed -$13.4K
RICE
2086
DELISTED
Rice Energy Inc.
RICE
– –
-120
Closed -$3.65K
LVLT
2087
DELISTED
Level 3 Communications Inc
LVLT
– –
-986
Closed -$43.3K
FSBK
2088
DELISTED
First South Bancorp Inc/VA
FSBK
– –
-38
Closed -$304
CUNB
2089
DELISTED
CU Bancorp
CUNB
– –
-3,161
Closed -$60.3K
BSTG
2090
DELISTED
Biostage, Inc. Common Stock
BSTG
– –
-300
Closed -$3.13K
ALR
2091
DELISTED
Alere Inc
ALR
– –
-1,050
Closed -$39.3K
PRXL
2092
DELISTED
Parexel International Corp
PRXL
– –
-7
Closed -$348
WBMD
2093
DELISTED
WebMD Health Corp.
WBMD
– –
-250
Closed -$12.1K
DFT
2094
DELISTED
DuPont Fabros Technology Inc.
DFT
– –
-192
Closed -$5.18K
NVDQ
2095
DELISTED
Novadaq Technologies Inc.
NVDQ
– –
-2,350
Closed -$38.7K
NSR
2096
DELISTED
Neustar Inc
NSR
– –
-193
Closed -$5.01K
SFR
2097
DELISTED
Starwood Waypoint Homes
SFR
– –
-202
Closed -$5.29K
GML
2098
DELISTED
SPDR S&P Emerging Latin America ETF
GML
– –
-95
Closed -$6.11K
PNRA
2099
DELISTED
Panera Bread Co
PNRA
– –
-432
Closed -$64.7K
WCST
2100
DELISTED
Wecast Network, Inc. Common Stock
WCST
– –
-3,000
Closed -$8.07K
82 83
84
85 86

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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.