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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
SLYG icon
551
State Street SPDR S&P 600 Small Cap Growth ETF
SLYG
$5.07B
$26K 0.02%
620
-16
-3% -$702
HCAP
552
DELISTED
Harvest Capital Credit Corporation
HCAP
$26K 0.02%
2,000
– –
AMGN icon
553
Amgen
AMGN
$208B
$25K 0.02%
182
– –
BGY icon
554
BlackRock Enhanced International Dividend Trust
BGY
$524M
$25K 0.02%
3,381
– –
DLTR icon
555
Dollar Tree
DLTR
$24.4B
$25K 0.02%
452
– –
EXAS
556
DELISTED
Exact Sciences
EXAS
$25K 0.02%
1,300
+800
+160% +$14.7K
IGR
557
CBRE Global Real Estate Income Fund
IGR
$709M
$25K 0.02%
3,000
– –
LCII icon
558
LCI Industries
LCII
$2.49B
$25K 0.02%
600
– –
PTH icon
559
Invesco Dorsey Wright Healthcare Momentum ETF
PTH
$221M
$25K 0.02%
1,515
– –
QQQ icon
560
Invesco QQQ Trust
QQQ
$453B
$25K 0.02%
260
+48
+23% +$4.68K
APTS
561
DELISTED
Preferred Apartment Communities, Inc.
APTS
$25K 0.02%
3,009
+2,509
+502% +$22.1K
DBC icon
562
Invesco DB Commodity Index Tracking Fund
DBC
$1.69B
$24K 0.02%
1,045
– –
IRT icon
563
Independence Realty Trust
IRT
$3.92B
$24K 0.02%
2,500
+1,300
+108% +$13K
NPK icon
564
National Presto Industries
NPK
$870M
$24K 0.02%
400
– –
WPC icon
565
W.P. Carey
WPC
$16.8B
$24K 0.02%
387
+4
+1% +$262
MTEM
566
DELISTED
Molecular Templates, Inc.
MTEM
$24K 0.02%
17
-7
-29% -$4.84K
SJI
567
DELISTED
South Jersey Industries, Inc.
SJI
$24K 0.02%
930
+400
+75% +$11.2K
CVA
568
DELISTED
Covanta Holding Corporation
CVA
$24K 0.02%
+1,135
New +$23.7K
FTR
569
DELISTED
Frontier Communications Corp.
FTR
$24K 0.02%
251
– –
AFL icon
570
Aflac
AFL
$64.9B
$23K 0.02%
810
– –
IAK icon
571
iShares US Insurance ETF
IAK
$508M
$23K 0.02%
500
– –
WCC
572
WESCO International
WCC
$16.7B
$23K 0.02%
300
– –
MACK
573
DELISTED
Merrimack Pharmaceuticals, Inc.
MACK
$23K 0.02%
334
+38
+13% +$2.03K
BAC.PRL icon
574
Bank of America Series L
BAC.PRL
$3.97B
$22K 0.02%
20
– –
BIL icon
575
State Street SPDR Bloomberg 1-3 Month T-Bill ETF
BIL
$47.1B
$22K 0.02%
243
-402
-62% -$36.8K
21 22
23
24 25

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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
Saya Management New York $78.3M AUM 26.31% 1-Year Est. Return
BA
Bivin & Associates Ponca City, Oklahoma $93.1M AUM
HIH
HRS Investment Holdings New York $77.4M AUM 16.69% 1-Year Est. Return
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.