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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
PHF
2376
DELISTED
Pacholder High Yield
PHF
– –
-2,407
Closed -$21.6K
AES.PRC.CL
2377
DELISTED
AES Corporation Class C Preferred
AES.PRC.CL
– –
-200
Closed -$10.4K
WNR
2378
DELISTED
Western Refining Inc
WNR
– –
-173
Closed -$6.51K
KMI.WS
2379
DELISTED
Kinder Morgan Inc
KMI.WS
– –
-1,883
Closed -$5.24K
WWAV
2380
DELISTED
The WhiteWave Foods Company
WWAV
– –
-19,349
Closed -$310K
NTT
2381
DELISTED
Nippon Telegraph & Telephone
NTT
– –
-13,595
Closed -$214K
ICN
2382
DELISTED
WisdomTree Indian Rupee Strategy Fund
ICN
– –
-250
Closed -$5.35K
BCS.PRA.CL
2383
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
– –
-1,495
Closed -$38.3K
VNR
2384
DELISTED
Vanguard Natural Resources, LLC
VNR
– –
-5,561
Closed -$179K
FDML
2385
DELISTED
Federal-Mogul Holdings Corporation
FDML
– –
-500
Closed -$10.1K
ACAS
2386
DELISTED
American Capital Ltd
ACAS
– –
-499
Closed -$7.63K
AIXG
2387
DELISTED
Aixtron SE
AIXG
– –
-11
Closed -$164
NWBO
2388
DELISTED
Northwest Biotherapeutics, Inc. Common stock
NWBO
– –
-2,000
Closed -$13.4K
LNKD
2389
DELISTED
LinkedIn Corporation
LNKD
– –
-3
Closed -$560
LXK
2390
DELISTED
Lexmark Intl Inc
LXK
– –
-666
Closed -$32.1K
MLPN
2391
DELISTED
Credit Suisse X- Links Cushing MLP Infrastructure ETN's due April 20, 2020
MLPN
– –
-66
Closed -$2.37K
SCTY
2392
DELISTED
SolarCity Corporation
SCTY
– –
-12,350
Closed -$436K
PWX
2393
DELISTED
Providence & Worcester Railroad Company
PWX
– –
-500
Closed -$9.09K
MWW
2394
DELISTED
Monster Worldwide Inc
MWW
– –
-100
Closed -$654
JGV
2395
DELISTED
NUVEEN GLOBAL EQUITY INCOME FUND
JGV
– –
-2,300
Closed -$33.9K
PNY
2396
DELISTED
PIEDMONT NATURAL GAS CO INC(NC
PNY
– –
-500
Closed -$18.7K
CCXE
2397
DELISTED
WISDOMTREE COMMODITY COUNTRY EQUITY FND (DE)
CCXE
– –
-935
Closed -$30K
GNAT
2398
DELISTED
WISDOMTREE TR GLOBAL NATURAL RESOURCES FND (DE)
GNAT
– –
-500
Closed -$11.5K
NQS
2399
DELISTED
NUVEEN SELECT QUALITY MUNI FD
NQS
– –
-305
Closed -$4.22K
AMTG
2400
DELISTED
APOLLO RESIDENTIAL MTG INC COM STK
AMTG
– –
-4,447
Closed -$74.3K
94 95
96
97 98

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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.