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BRWM

B. Riley Wealth Management Portfolio holdings

AUM $85.5M
1-Year Est. Return 3.46%
This Fund
S&P 500
This Quarter Est. Return
-1.04%
1 Year Est. Return
+3.46%
3 Year Est. Return
+49.59%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$135M
AUM Growth
-$19.8M
Cap. Flow
-$16.3M
Cap. Flow %
-12.14%
Top 10 Hldgs %
14.08%
Holding
1,244
New
112
Increased
247
Reduced
283
Closed
141

Top Buys

Rank Stock Value
1
FXD icon
First Trust Consumer Discretionary AlphaDEX Fund
FXD
+$1.53M
2
SLB icon
SLB Ltd
SLB
+$819K
3
ATVI
Activision Blizzard
ATVI
+$811K
4
MS icon
Morgan Stanley
MS
+$801K
5
X
US Steel
X
+$773K

Top Sells

Rank Stock Value
1
FXU icon
First Trust Utilities AlphaDEX Fund
FXU
+$1.22M
2
THRM icon
Gentherm
THRM
+$1.19M
3
JPM icon
JPMorgan Chase
JPM
+$1.11M
4
FXR icon
First Trust Industrials/Producer Durables AlphaDEX Fund
FXR
+$1.08M
5
FXN icon
First Trust Energy AlphaDEX Fund
FXN
+$1.03M

Sector Composition

Rank Sector Weight
1 Energy 13.16%
2 Financials 7.77%
3 Industrials 7.53%
4 Technology 6.13%
5 Consumer Staples 4.95%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
WYNN icon
226
Wynn Resorts
WYNN
$10.3B
$160K 0.12%
856
-99
-10% -$19.6K
MXF
227
Mexico Fund
MXF
$314M
$159K 0.12%
5,810
-2,300
-28% -$64.6K
VBK icon
228
Vanguard Morningstar Small-Cap Growth ETF
VBK
$23.1B
$157K 0.12%
1,307
– –
HEDJ icon
229
WisdomTree Europe Hedged Equity Fund
HEDJ
$1.83B
$153K 0.11%
5,300
+1,000
+23% +$28.8K
AAL icon
230
American Airlines Group
AAL
$10.1B
$152K 0.11%
4,300
+950
+28% +$37.4K
VV icon
231
Vanguard Morningstar Large-Cap ETF
VV
$52.4B
$152K 0.11%
1,691
-183
-10% -$16.6K
UCO icon
232
ProShares Ultra Bloomberg Crude Oil
UCO
$420M
$151K 0.11%
+80
New +$168K
SMM
233
DELISTED
Salient Midstream & MLP Fund
SMM
$151K 0.11%
5,200
-4,050
-44% -$119K
DEM icon
234
WisdomTree Emerging Markets High Dividend Fund
DEM
$3.9B
$150K 0.11%
3,150
+300
+11% +$15.6K
NMFC icon
235
New Mountain Finance
NMFC
$651M
$148K 0.11%
10,100
– –
ROSE
236
DELISTED
ROSETTA RESOURCES INC
ROSE
$147K 0.11%
3,300
– –
TYG
237
Tortoise Energy Infrastructure Corp
TYG
$1.09B
$146K 0.11%
764
+1
+0.1% +$191
SCTY
238
DELISTED
SolarCity Corporation
SCTY
$146K 0.11%
2,455
+1,850
+306% +$127K
LLY icon
239
Eli Lilly
LLY
$1.02T
$144K 0.11%
2,235
-65
-3% -$4.12K
VNR
240
DELISTED
Vanguard Natural Resources, LLC
VNR
$140K 0.1%
5,131
-984
-16% -$29.7K
MMM icon
241
3M
MMM
$90.9B
$139K 0.1%
1,176
+3
+0.3% +$361
ETN icon
242
Eaton
ETN
$161B
$137K 0.1%
2,164
-420
-16% -$29.8K
GSK icon
243
GSK
GSK
$104B
$137K 0.1%
2,386
+572
+32% +$35.1K
KKR icon
244
KKR & Co
KKR
$91.1B
$137K 0.1%
6,155
+1,041
+20% +$24.4K
MPC icon
245
Marathon Petroleum
MPC
$92.4B
$137K 0.1%
3,250
+1,398
+75% +$59.3K
VEA icon
246
Vanguard FTSE Developed Markets ETF
VEA
$229B
$137K 0.1%
3,449
-1,625
-32% -$67.6K
GWPH
247
DELISTED
GW Pharmaceuticals Plc American Depositary Shares
GWPH
$137K 0.1%
1,700
+1,200
+240% +$106K
IJK icon
248
iShares S&P Mid-Cap 400 Growth ETF
IJK
$10.7B
$132K 0.1%
3,512
-2,844
-45% -$110K
CRCM
249
DELISTED
CARE.COM, INC.
CRCM
$132K 0.1%
16,300
-1,800
-10% -$17.1K
DUK icon
250
Duke Energy
DUK
$97.8B
$129K 0.1%
1,737
+11
+0.6% +$803
8 9
10
11 12

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EL
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PGF
Pelham Global Financials London, United Kingdom $78.9M AUM 32.04% 1-Year Est. Return
SM
Saya Management New York $78.3M AUM 26.31% 1-Year Est. Return
BA
Bivin & Associates Ponca City, Oklahoma $93.1M AUM
HIH
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IRF
IBM Retirement Fund Armonk, New York $72.1M AUM 12.04% 1-Year Est. Return
FA
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CRCM
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B. Riley Wealth Management's Q3 2014 Portfolio in Review

As of Q3 2014, B. Riley Wealth Management held 1,244 positions worth $135M, down 13% from $154M the previous quarter. Its ten largest holdings account for 14% of the portfolio.

B. Riley Wealth Management withdrew a net $16.3M in Q3 2014, closing 141 positions and reducing 283 holdings. Its most notable exit was Textron, an estimated $918K position sold in full.

By sector, the portfolio is most concentrated in Energy at 13% of assets, up from 12% a quarter earlier, followed by Financials and Industrials.

Against the trend, B. Riley Wealth Management opened a new position in US Steel worth $863K.

  • B. Riley Wealth Management's largest Q3 2014 buy was US Steel: 22,050 shares worth $863K.
  • B. Riley Wealth Management added most to First Trust Consumer Discretionary AlphaDEX Fund in Q3 2014, an estimated $1.53M increase.
  • B. Riley Wealth Management's biggest Q3 2014 reduction was First Trust Utilities AlphaDEX Fund, cutting an estimated $1.22M.
  • B. Riley Wealth Management fully exited Textron in Q3 2014, selling an estimated $918K.
  • B. Riley Wealth Management's ten largest holdings make up 14% of its $135M portfolio in Q3 2014.
  • B. Riley Wealth Management opened 112 new positions and closed 141 in Q3 2014.
  • B. Riley Wealth Management's portfolio value fell 13% quarter-over-quarter to $135M.

Based on B. Riley Wealth Management's 13F filing for Q3 2014, filed 3 Oct 2014.