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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
COL
426
DELISTED
Rockwell Collins
COL
$47K 0.03%
600
-400
-40% -$30.8K
KOG
427
DELISTED
KODIAK OIL & GAS CORP
KOG
$47K 0.03%
3,500
-1,000
-22% -$15K
ACWV icon
428
iShares MSCI Global Min Vol Factor ETF
ACWV
$3.32B
$46K 0.03%
690
+40
+6% +$2.69K
PH icon
429
Parker-Hannifin
PH
$123B
$46K 0.03%
404
– –
SYLD icon
430
Cambria Shareholder Yield ETF
SYLD
$987M
$46K 0.03%
1,550
– –
AOD
431
abrdn Total Dynamic Dividend Fund
AOD
$1.11B
$45K 0.03%
5,403
+1,223
+29% +$10.8K
NFLX icon
432
Netflix
NFLX
$299B
$45K 0.03%
7,000
– –
WEC icon
433
WEC Energy
WEC
$35.7B
$45K 0.03%
1,068
+9
+0.8% +$400
LVLT
434
DELISTED
Level 3 Communications Inc
LVLT
$45K 0.03%
1,000
– –
BSV icon
435
Vanguard Short-Term Bond ETF
BSV
$44.7B
$44K 0.03%
552
– –
SUN icon
436
Sunoco
SUN
$14.4B
$44K 0.03%
+800
New +$42.2K
VRTX icon
437
Vertex Pharmaceuticals
VRTX
$121B
$44K 0.03%
+400
New +$38.1K
CPE
438
DELISTED
Callon Petroleum Company
CPE
$44K 0.03%
500
– –
PE
439
DELISTED
PARSLEY ENERGY INC
PE
$44K 0.03%
+2,100
New +$45.8K
CHK.PRD
440
DELISTED
Chesapeake Energy Corp. 4.5% Cum. Cnvrtbl. Prfrd. Stock
CHK.PRD
$44K 0.03%
460
-350
-43% -$33.5K
LGCY
441
DELISTED
Legacy Reserves Inc. Common Stock
LGCY
$44K 0.03%
1,500
-720
-32% -$21.8K
ARII
442
DELISTED
American Railcar Industries, Inc.
ARII
$44K 0.03%
600
– –
LO
443
DELISTED
LORILLARD INC COM STK
LO
$44K 0.03%
749
+7
+0.9% +$424
PKO
444
DELISTED
Pimco Income Opportunity Fund
PKO
$44K 0.03%
1,613
+22
+1% +$630
AGG icon
445
iShares Core US Aggregate Bond ETF
AGG
$137B
$43K 0.03%
396
– –
EEM icon
446
iShares MSCI Emerging Markets ETF
EEM
$28.8B
$43K 0.03%
1,048
+325
+45% +$14.4K
EMLP icon
447
First Trust North American Energy Infrastructure Fund
EMLP
$4.11B
$43K 0.03%
1,588
-6,412
-80% -$175K
TWO
448
Two Harbors Investment
TWO
$1.27B
$43K 0.03%
563
+125
+29% +$10.4K
BX icon
449
Blackstone
BX
$102B
$42K 0.03%
1,371
– –
CHI
450
Calamos Convertible Opportunities and Income Fund
CHI
$1.01B
$42K 0.03%
3,159
+929
+42% +$12.8K
16 17
18
19 20

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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.