B. Riley Wealth Management’s THE CUSHING ROYALTY & INCOME FUND SRF Stock Holding History

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

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q3	–	Sell	-285	Closed	-$6K	–	870
2015 Q2	$6K	Buy	285 +6	+2%	+$154	﹤0.01%	844
2015 Q1	$7K	Buy	279 +8	+3%	+$251	0.01%	814
2014 Q4	$10K	Sell	271 -455	-63%	-$31.4K	0.01%	740
2014 Q3	$65K	Buy	726 +6	+0.8%	+$597	0.05%	363
2014 Q2	$72K	Buy	720 +167	+30%	+$16.2K	0.05%	402
2014 Q1	$51K	Buy	+553	New	+$49.6K	0.04%	437

Other funds holding SRF

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

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

Stifel Financial St. Louis, Missouri $109B AUM 21.36% 1-Year Est. Return

Guggenheim Capital Chicago, Illinois $12.9B AUM 27.3% 1-Year Est. Return

ICM

Ionic Capital Management New York $1.37B AUM 48.26% 1-Year Est. Return

TFS Capital West Chester, Pennsylvania $255M AUM 32.31% 1-Year Est. Return

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

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

SSB

Sandy Spring Bank Olney, Maryland $2.38B AUM 8.14% 1-Year Est. Return

FNBT

FineMark National Bank & Trust Fort Myers, Florida $3.2B AUM 18.28% 1-Year Est. Return

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

B. Riley Wealth Management sold out of THE CUSHING ROYALTY & INCOME FUND (SRF) in Q3 2015, closing a stake of 285 shares — an estimated $6K sold.

B. Riley Wealth Management first reported a position in SRF in Q1 2014 and held it in 6 quarters. The position peaked at $72K in Q2 2014. 16 funds tracked by Wall St. Rank hold SRF as of Q3 2015.

B. Riley Wealth Management reported no remaining THE CUSHING ROYALTY & INCOME FUND position as of Q3 2015 after selling out during the quarter.
B. Riley Wealth Management sold 285 THE CUSHING ROYALTY & INCOME FUND shares in Q3 2015, an estimated $6K.
B. Riley Wealth Management first reported a position in THE CUSHING ROYALTY & INCOME FUND in Q1 2014 and held it in 6 quarters.
B. Riley Wealth Management's THE CUSHING ROYALTY & INCOME FUND position peaked at $72K in Q2 2014.
16 funds tracked by Wall St. Rank held THE CUSHING ROYALTY & INCOME FUND as of Q3 2015.

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