B. Riley Wealth Management’s First Trust Large Cap Core AlphaDEX Fund FEX Stock Holding History

B. Riley Wealth Management’s Portfolio FEX Stock Details FEX Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q3	–	Sell	-5,042	Closed	-$231K	–	343
2015 Q2	$231K	Sell	5,042 -513	-9%	-$24.1K	0.18%	159
2015 Q1	$258K	Buy	5,555 +250	+5%	+$11.5K	0.19%	150
2014 Q4	$242K	Hold	5,305	–	–	0.2%	132
2014 Q3	$230K	Sell	5,305 -1,455	-22%	-$64.4K	0.17%	166
2014 Q2	$299K	Sell	6,760 -393	-5%	-$16.8K	0.19%	143
2014 Q1	$301K	Buy	+7,153	New	+$294K	0.22%	118

Other funds holding FEX

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

LPL Financial San Diego, California $377B AUM 19.32% 1-Year Est. Return

AIM

Astor Investment Management Chicago, Illinois $185M AUM 8.46% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

AGA

Accuvest Global Advisors Provo, Utah $107M AUM 6.41% 1-Year Est. Return

ACM

Aviance Capital Management Sarasota, Florida $668M AUM 6.48% 1-Year Est. Return

RJFSA

Raymond James Financial Services Advisors St. Petersburg, Florida $75.1B AUM 31.89% 1-Year Est. Return

Cambridge Investment Research Advisors Fairfield, Iowa $38.8B AUM 21.88% 1-Year Est. Return

B. Riley Wealth Management's FEX Position: Q3 2015 in Review

B. Riley Wealth Management sold out of First Trust Large Cap Core AlphaDEX Fund (FEX) in Q3 2015, closing a stake of 5,042 shares — an estimated $231K sold.

B. Riley Wealth Management first reported a position in FEX in Q1 2014 and held it in 6 quarters. The position peaked at $301K in Q1 2014. 102 funds tracked by Wall St. Rank hold FEX as of Q3 2015.

B. Riley Wealth Management reported no remaining First Trust Large Cap Core AlphaDEX Fund position as of Q3 2015 after selling out during the quarter.
B. Riley Wealth Management sold 5,042 First Trust Large Cap Core AlphaDEX Fund shares in Q3 2015, an estimated $231K.
B. Riley Wealth Management first reported a position in First Trust Large Cap Core AlphaDEX Fund in Q1 2014 and held it in 6 quarters.
B. Riley Wealth Management's First Trust Large Cap Core AlphaDEX Fund position peaked at $301K in Q1 2014.
102 funds tracked by Wall St. Rank held First Trust Large Cap Core AlphaDEX Fund as of Q3 2015.

Based on B. Riley Wealth Management's 13F filing for Q3 2015, filed 13 Oct 2015.