B. Riley Wealth Management’s Flaherty & Crumrine Preferred and Income Fund PFD Stock Holding History

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

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q3	–	Sell	-1,000	Closed	-$13K	–	585
2015 Q2	$13K	Hold	1,000	–	–	0.01%	693
2015 Q1	$15K	Hold	1,000	–	–	0.01%	676
2014 Q4	$14K	Hold	1,000	–	–	0.01%	665
2014 Q3	$13K	Hold	1,000	–	–	0.01%	714
2014 Q2	$14K	Buy	+1,000	New	+$14.5K	0.01%	752

Other funds holding PFD

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

CRC

Curi RMB Capital Chicago, Illinois $5.62B AUM 18.93% 1-Year Est. Return

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

DADC

D.A. Davidson & Co Great Falls, Montana $16.5B AUM 19.94% 1-Year Est. Return

PAG

Private Advisor Group Morristown, New Jersey $21.3B AUM 22.13% 1-Year Est. Return

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

CCM

Covington Capital Management Los Angeles, California $2.32B AUM 12.18% 1-Year Est. Return

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

NCM

Noesis Capital Mangement Boca Raton, Florida $676M AUM 34.17% 1-Year Est. Return

WAM

Wolverine Asset Management Chicago, Illinois $10.4B AUM 4.78% 1-Year Est. Return

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

B. Riley Wealth Management sold out of Flaherty & Crumrine Preferred and Income Fund (PFD) in Q3 2015, closing a stake of 1,000 shares — an estimated $13K sold.

B. Riley Wealth Management first reported a position in PFD in Q2 2014 and held it in 5 quarters. The position peaked at $15K in Q1 2015. 23 funds tracked by Wall St. Rank hold PFD as of Q3 2015.

B. Riley Wealth Management reported no remaining Flaherty & Crumrine Preferred and Income Fund position as of Q3 2015 after selling out during the quarter.
B. Riley Wealth Management sold 1,000 Flaherty & Crumrine Preferred and Income Fund shares in Q3 2015, an estimated $13K.
B. Riley Wealth Management first reported a position in Flaherty & Crumrine Preferred and Income Fund in Q2 2014 and held it in 5 quarters.
B. Riley Wealth Management's Flaherty & Crumrine Preferred and Income Fund position peaked at $15K in Q1 2015.
23 funds tracked by Wall St. Rank held Flaherty & Crumrine Preferred and Income Fund as of Q3 2015.

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