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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
LULU icon
501
lululemon athletica
LULU
$13.5B
$33K 0.02%
800
-200
-20% -$8.05K
TD icon
502
Toronto Dominion Bank
TD
$198B
$33K 0.02%
675
+5
+0.7% +$259
BPZ
503
DELISTED
BPZ RESOURCES INC COM STK
BPZ
$33K 0.02%
17,500
+3,000
+21% +$7.63K
EFOR
504
Everforth Inc
EFOR
$1.17B
$32K 0.02%
1,200
– –
BIV icon
505
Vanguard Intermediate-Term Bond ETF
BIV
$28.8B
$32K 0.02%
383
– –
IWC icon
506
iShares Micro-Cap ETF
IWC
$1.44B
$32K 0.02%
465
-1,385
-75% -$101K
RIG icon
507
Transocean
RIG
$5.89B
$32K 0.02%
1,029
-100
-9% -$3.91K
TGI
508
DELISTED
Triumph Group
TGI
$32K 0.02%
+500
New +$33.5K
TRN icon
509
Trinity Industries
TRN
$2.49B
$32K 0.02%
972
-417
-30% -$13.8K
CX icon
510
Cemex
CX
$17.1B
$31K 0.02%
2,705
-5,400
-67% -$62.7K
KIE icon
511
State Street SPDR S&P Insurance ETF
KIE
$649M
$31K 0.02%
1,500
– –
MFIC icon
512
MidCap Financial Investment
MFIC
$787M
$31K 0.02%
+1,300
New +$33.7K
TPST icon
513
Tempest Therapeutics
TPST
$13.7M
$31K 0.02%
1
– –
OILT
514
DELISTED
OILTANKING PARTNERS L P UIT LTD PARTNERSHIP INT (DE)
OILT
$31K 0.02%
+640
New +$31.2K
EOS
515
Eaton Vance Enhance Equity Income Fund II
EOS
$1.13B
$30K 0.02%
2,226
– –
FBT icon
516
First Trust NYSE Arca Biotechnology Index Fund
FBT
$2.78B
$30K 0.02%
335
-220
-40% -$19.1K
ISD
517
PGIM High Yield Bond Fund
ISD
$415M
$30K 0.02%
1,824
+39
+2% +$673
IYF icon
518
iShares US Financials ETF
IYF
$4.67B
$30K 0.02%
740
– –
SMC
519
Summit Midstream
SMC
$426M
$30K 0.02%
+40
New +$30.7K
BKCC
520
DELISTED
BlackRock Capital Investment Corporation
BKCC
$30K 0.02%
3,600
+1,000
+38% +$9.03K
HAS icon
521
Hasbro
HAS
$13.2B
$29K 0.02%
530
+4
+0.8% +$210
IVR icon
522
Invesco Mortgage Capital
IVR
$759M
$29K 0.02%
190
+50
+36% +$8.55K
XLE icon
523
State Street Energy Select Sector SPDR ETF
XLE
$39.6B
$29K 0.02%
650
+300
+86% +$14.5K
AREX
524
DELISTED
Approach Resources Inc.
AREX
$29K 0.02%
2,000
+500
+33% +$9.34K
CWEN icon
525
Clearway Energy Class C
CWEN
$4.94B
$28K 0.02%
+1,200
New +$31.2K
19 20
21
22 23

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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
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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
Friess Associates Greenville, Delaware $59.9M AUM 3.42% 1-Year Est. Return
CRCM
Corbett Road Capital Management Mclean, Virginia $58.4M AUM 5.67% 1-Year Est. Return

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.