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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
NWLIA
301
DELISTED
NATL WESTN LIFE INS CO CL A
NWLIA
$98K 0.07%
400
– –
PAA icon
302
Plains All American Pipeline
PAA
$17.3B
$97K 0.07%
1,650
-364
-18% -$21.3K
PWB icon
303
Invesco Large Cap Growth ETF
PWB
$2.29B
$97K 0.07%
3,578
– –
DRYS
304
DELISTED
DryShips Inc. Common Stock
DRYS
– –
0
– –
SDIV icon
305
Global X SuperDividend ETF
SDIV
$1.22B
$94K 0.07%
1,310
+19
+1% +$1.46K
APO icon
306
Apollo Global Management
APO
$72.4B
$93K 0.07%
3,940
– –
RTX icon
307
RTX Corp
RTX
$290B
$93K 0.07%
1,406
+3
+0.2% +$206
TJX icon
308
TJX Companies
TJX
$174B
$93K 0.07%
3,172
-192
-6% -$5.41K
APC
309
DELISTED
Anadarko Petroleum
APC
$93K 0.07%
925
-400
-30% -$43.1K
JPM icon
310
JPMorgan Chase
JPM
$935B
$92K 0.07%
1,534
-18,922
-93% -$1.11M
VB icon
311
Vanguard Morningstar Small-Cap ETF
VB
$79.5B
$92K 0.07%
838
– –
MNDT
312
DELISTED
Mandiant, Inc. Common Stock
MNDT
$91K 0.07%
3,000
– –
AB icon
313
AllianceBernstein
AB
$3.43B
$90K 0.07%
3,472
+56
+2% +$1.5K
AHRT
314
AH Realty Trust
AHRT
$529M
$88K 0.07%
9,700
– –
CPHD
315
DELISTED
Cepheid Inc
CPHD
$88K 0.07%
+2,000
New +$84.4K
VYM icon
316
Vanguard High Dividend Yield ETF
VYM
$80.9B
$87K 0.06%
1,320
– –
BUI icon
317
BlackRock Utilities, Infrastructure & Power Opportunities Trust
BUI
$725M
$86K 0.06%
4,316
+18
+0.4% +$367
IVOO icon
318
Vanguard S&P Mid-Cap 400 ETF
IVOO
$3.71B
$85K 0.06%
1,834
– –
CSG
319
DELISTED
CHAMBERS STR PPTYS COM
CSG
$85K 0.06%
11,338
-5,600
-33% -$43.9K
WY icon
320
Weyerhaeuser
WY
$18B
$84K 0.06%
2,645
+23
+0.9% +$754
CWB icon
321
State Street SPDR Bloomberg Convertible Securities ETF
CWB
$5.6B
$83K 0.06%
1,685
-75
-4% -$3.77K
MRO
322
DELISTED
Marathon Oil Corporation
MRO
$83K 0.06%
2,214
+8
+0.4% +$317
MU icon
323
Micron Technology
MU
$930B
$82K 0.06%
2,400
-6,587
-73% -$213K
ENLK
324
DELISTED
EnLink Midstream Partners, LP
ENLK
$82K 0.06%
2,700
-321
-11% -$9.82K
BKF icon
325
iShares MSCI BIC ETF
BKF
$78.1M
$81K 0.06%
2,197
-1,423
-39% -$56.9K
11 12
13
14 15

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EL
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PGF
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SM
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BA
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HIH
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IRF
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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.