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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
CNI icon
451
Canadian National Railway
CNI
$76.9B
$42K 0.03%
601
– –
OPK icon
452
Opko Health
OPK
$985M
$42K 0.03%
+5,000
New +$43.9K
PCY icon
453
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.38B
$42K 0.03%
1,508
– –
AXE
454
DELISTED
Anixter International Inc
AXE
$42K 0.03%
500
– –
DO
455
DELISTED
Diamond Offshore Drilling
DO
$42K 0.03%
1,246
+16
+1% +$708
IEF icon
456
iShares 7-10 Year Treasury Bond ETF
IEF
$47.1B
$40K 0.03%
393
– –
XNTK icon
457
State Street SPDR NYSE Technology ETF
XNTK
$2.06B
$40K 0.03%
828
– –
XSD icon
458
State Street SPDR S&P Semiconductor ETF
XSD
$2.72B
$40K 0.03%
1,100
– –
TEP
459
DELISTED
Tallgrass Energy Partners, LP
TEP
$40K 0.03%
649
+349
+116% +$14.8K
MHR
460
DELISTED
MAGNUM HUNTER RESOURCES CORP (DEL)
MHR
$40K 0.03%
7,350
-3,800
-34% -$25.1K
FDX icon
461
FedEx
FDX
$72.7B
$39K 0.03%
245
-395
-62% -$60K
IWR icon
462
iShares Russell Mid-Cap ETF
IWR
$56B
$39K 0.03%
1,000
– –
NES
463
DELISTED
NUVERRA ENVIRONMENTAL INC NEW COM STK (DE)
NES
$39K 0.03%
2,650
-150
-5% -$2.38K
CB icon
464
Chubb
CB
$135B
$38K 0.03%
364
– –
IMCG icon
465
iShares Morningstar Mid-Cap Growth ETF
IMCG
$3.92B
$38K 0.03%
1,566
– –
PAYX icon
466
Paychex
PAYX
$41.6B
$38K 0.03%
872
+7
+0.8% +$294
TAN icon
467
Invesco Solar ETF
TAN
$1.42B
$38K 0.03%
950
-3,095
-77% -$132K
WDC icon
468
Western Digital
WDC
$188B
$38K 0.03%
529
– –
APA icon
469
APA Corp
APA
$13.2B
$37K 0.03%
400
-2,746
-87% -$272K
HSY icon
470
Hershey
HSY
$35.2B
$37K 0.03%
390
– –
IGIB icon
471
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
$37K 0.03%
688
+2
+0.3% +$110
BCIC
472
BCP Investment Corp
BCIC
$89.1M
$37K 0.03%
450
– –
VGK icon
473
Vanguard FTSE Europe ETF
VGK
$30.7B
$37K 0.03%
683
-570
-45% -$32.9K
XRT icon
474
State Street SPDR S&P Retail ETF
XRT
$449M
$37K 0.03%
876
– –
WFM
475
DELISTED
Whole Foods Market Inc
WFM
$37K 0.03%
990
-3,694
-79% -$141K
17 18
19
20 21

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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.