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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
+0.98%
1 Year Est. Return
+3.46%
3 Year Est. Return
+49.59%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$573M
AUM Growth
+$573M
Cap. Flow
+$4.89M
Cap. Flow %
0.85%
Top 10 Hldgs %
26.12%
Holding
450
New
56
Increased
121
Reduced
172
Closed
56

Top Buys

Rank Stock Value
1
FTSM icon
First Trust Enhanced Short Maturity ETF
FTSM
+$2.95M
2
IMCG icon
iShares Morningstar Mid-Cap Growth ETF
IMCG
+$1.9M
3
BIL icon
State Street SPDR Bloomberg 1-3 Month T-Bill ETF
BIL
+$1.73M
4
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$1.51M
5
IHI icon
iShares US Medical Devices ETF
IHI
+$1.37M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$4.57M
2
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$2.69M
3
VUG icon
Vanguard Morningstar Growth ETF
VUG
+$2.18M
4
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$1.15M
5
CSM icon
ProShares Large Cap Core Plus
CSM
+$1.1M

Sector Composition

Rank Sector Weight
1 Technology 8.57%
2 Consumer Discretionary 4.74%
3 Financials 3.92%
4 Energy 3.74%
5 Industrials 3.48%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
REFR icon
376
Research Frontiers
REFR
$15.8M
$57K 0.01%
+17,900
New +$68K
ACB
377
Aurora Cannabis
ACB
$175M
$56K 0.01%
+106
New +$78.5K
CCX.WS
378
DELISTED
Churchill Capital Corp II Warrants, each exercisable for one share of Class A common stock at an exe
CCX.WS
$56K 0.01%
+38,888
New +$53.5K
SANW
379
DELISTED
S&W Seed Co
SANW
$51K 0.01%
1,139
-1,525
-57% -$76.5K
BRPM.WS
380
DELISTED
B. Riley Principal Merger Corp. Warrants, each whole warrant exercisable for one share of Class A co
BRPM.WS
$45K 0.01%
100,832
– –
HCR
381
DELISTED
Hi-Crush Inc. Common Stock
HCR
$35K 0.01%
20,000
-2,500
-11% -$4.8K
VANI icon
382
Vivani Medical
VANI
$115M
$33K 0.01%
1,650
-50
-3% -$986
AVLR
383
DELISTED
Avalara, Inc.
AVLR
$28K ﹤0.01%
+413
New +$33.4K
TURN
384
DELISTED
180 Degree Capital
TURN
$24K ﹤0.01%
+3,667
New +$22.6K
AXP icon
385
American Express
AXP
$233B
$21K ﹤0.01%
+180
New +$22.1K
AABA
386
DELISTED
Altaba Inc
AABA
$11K ﹤0.01%
+565
New +$37.4K
HL icon
387
Hecla Mining
HL
$9.68B
$9K ﹤0.01%
+5,000
New +$9.01K
SBI
388
Western Asset Intermediate Muni Fund
SBI
$107M
$8K ﹤0.01%
+925
New +$8.45K
ASM
389
Avino Silver & Gold Mines
ASM
$969M
$6K ﹤0.01%
+10,000
New +$6.47K
CGRN
390
DELISTED
Capstone Green Energy Corporation Common Stock
CGRN
$5K ﹤0.01%
1,000
– –
APA icon
391
APA Corp
APA
$13B
$3K ﹤0.01%
+103
New +$2.47K
ATNM icon
392
Actinium Pharmaceuticals
ATNM
$25.5M
$1K ﹤0.01%
+200
New +$1.39K
ADBE icon
393
Adobe
ADBE
$99.9B
– –
-895
Closed -$264
APD icon
394
Air Products & Chemicals
APD
$65.2B
– –
-937
Closed -$212
APO icon
395
Apollo Global Management
APO
$74.6B
– –
-6,155
Closed -$211
ARCC icon
396
Ares Capital
ARCC
$13.8B
– –
-73,333
Closed -$1.32K
ARKK icon
397
ARK Innovation ETF
ARKK
$5.84B
– –
-7,820
Closed -$375
BBH icon
398
VanEck Biotech ETF
BBH
$398M
– –
-852
Closed -$110
BILI icon
399
Bilibili
BILI
$8.05B
– –
-11,208
Closed -$182
BLUE
400
DELISTED
bluebird bio
BLUE
– –
-154
Closed -$254
14 15
16
17 18

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B. Riley Wealth Management's Q3 2019 Portfolio in Review

As of Q3 2019, B. Riley Wealth Management held 450 positions worth $573M, up 87,981% from $651K the previous quarter. Its ten largest holdings account for 26% of the portfolio.

B. Riley Wealth Management's Q3 2019 filing shows 56 new, 121 increased, 172 reduced and 56 closed positions. Its largest new stake was iShares Morningstar Mid-Cap Growth ETF: 45,588 shares worth $1.85M. The largest sale was Invesco QQQ Trust, an estimated $4.57M.

By sector, the portfolio is most concentrated in Technology at 8.6% of assets, up from 8% a quarter earlier, followed by Consumer Discretionary and Financials.

  • B. Riley Wealth Management's largest Q3 2019 buy was iShares Morningstar Mid-Cap Growth ETF: 45,588 shares worth $1.85M.
  • B. Riley Wealth Management added most to First Trust Enhanced Short Maturity ETF in Q3 2019, an estimated $2.95M increase.
  • B. Riley Wealth Management's biggest Q3 2019 reduction was Invesco QQQ Trust, cutting an estimated $4.57M.
  • B. Riley Wealth Management fully exited Broadmark Realty Capital Inc. Common Stock in Q3 2019, selling an estimated $1.49K.
  • B. Riley Wealth Management's ten largest holdings make up 26% of its $573M portfolio in Q3 2019.
  • B. Riley Wealth Management opened 56 new positions and closed 56 in Q3 2019.
  • B. Riley Wealth Management's portfolio value rose 87,981% quarter-over-quarter to $573M.

Based on B. Riley Wealth Management's 13F filing for Q3 2019, filed 15 Nov 2019.