B. Riley Wealth Management’s Vanguard S&P Mid-Cap 400 ETF IVOO Stock Holding History

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

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q3	–	Sell	-1,962	Closed	-$99K	–	454
2015 Q2	$99K	Hold	1,962	–	–	0.08%	277
2015 Q1	$100K	Buy	1,962 +128	+7%	+$6.37K	0.08%	286
2014 Q4	$89K	Hold	1,834	–	–	0.07%	294
2014 Q3	$85K	Hold	1,834	–	–	0.06%	318
2014 Q2	$88K	Buy	1,834 +172	+10%	+$7.96K	0.06%	368
2014 Q1	$77K	Buy	+1,662	New	+$75.1K	0.06%	363

Other funds holding IVOO

TCB

Texas Capital Bancshares Dallas, Texas $254M AUM 27.01% 1-Year Est. Return

UBS Group Zurich, Switzerland $786B AUM 40.34% 1-Year Est. Return

Morgan Stanley New York $1.89T AUM 35.08% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.55T AUM 33.47% 1-Year Est. Return

RJFSA

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

Commonwealth Equity Services Waltham, Massachusetts $79.5B AUM 27.1% 1-Year Est. Return

IRON Financial Northbrook, Illinois $242M AUM 17.3% 1-Year Est. Return

Wells Fargo San Francisco, California $617B AUM 30.33% 1-Year Est. Return

LPL Financial San Diego, California $445B AUM 25.58% 1-Year Est. Return

Susquehanna International Group Bala Cynwyd, Pennsylvania $1.28T AUM 58.89% 1-Year Est. Return

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

B. Riley Wealth Management sold out of Vanguard S&P Mid-Cap 400 ETF (IVOO) in Q3 2015, closing a stake of 1,962 shares — an estimated $99K sold.

B. Riley Wealth Management first reported a position in IVOO in Q1 2014 and held it in 6 quarters. The position peaked at $100K in Q1 2015. 49 funds tracked by Wall St. Rank hold IVOO as of Q3 2015.

B. Riley Wealth Management reported no remaining Vanguard S&P Mid-Cap 400 ETF position as of Q3 2015 after selling out during the quarter.
B. Riley Wealth Management sold 1,962 Vanguard S&P Mid-Cap 400 ETF shares in Q3 2015, an estimated $99K.
B. Riley Wealth Management first reported a position in Vanguard S&P Mid-Cap 400 ETF in Q1 2014 and held it in 6 quarters.
B. Riley Wealth Management's Vanguard S&P Mid-Cap 400 ETF position peaked at $100K in Q1 2015.
49 funds tracked by Wall St. Rank held Vanguard S&P Mid-Cap 400 ETF as of Q3 2015.

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