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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
-7.42%
1 Year Est. Return
+3.46%
3 Year Est. Return
+49.59%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$70.5M
AUM Growth
-$55.2M
Cap. Flow
-$48.2M
Cap. Flow %
-68.35%
Top 10 Hldgs %
25.26%
Holding
1,058
New
7
Increased
48
Reduced
79
Closed
910

Top Buys

Rank Stock Value
1
FDN icon
First Trust Dow Jones Internet Index Fund ETF
FDN
+$988K
2
FXD icon
First Trust Consumer Discretionary AlphaDEX Fund
FXD
+$910K
3
FXG icon
First Trust Consumer Staples AlphaDEX Fund
FXG
+$800K
4
VOX icon
Vanguard Communication Services ETF
VOX
+$784K
5
VHT icon
Vanguard Health Care ETF
VHT
+$783K

Top Sells

Rank Stock Value
1
SH icon
ProShares Short S&P500
SH
+$2.28M
2
PDP icon
Invesco Dorsey Wright Momentum ETF
PDP
+$1.59M
3
FXL icon
First Trust Technology AlphaDEX Fund
FXL
+$1.52M
4
AAPL icon
Apple
AAPL
+$1M
5
SBUX icon
Starbucks
SBUX
+$743K

Sector Composition

Rank Sector Weight
1 Industrials 9.11%
2 Healthcare 8.08%
3 Technology 7.35%
4 Communication Services 6.76%
5 Consumer Staples 6.59%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PBH icon
576
Prestige Consumer Healthcare
PBH
$2.38B
– –
-350
Closed -$16K
PBJ icon
577
Invesco Food & Beverage ETF
PBJ
$108M
– –
-100
Closed -$3K
PBR icon
578
Petrobras
PBR
$125B
– –
-500
Closed -$4K
PBT
579
Permian Basin Royalty Trust
PBT
$1.38B
– –
-14,250
Closed -$114K
PCY icon
580
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.38B
– –
-1,426
Closed -$39K
PDI icon
581
PIMCO Dynamic Income Fund
PDI
$7.39B
– –
-2,990
Closed -$87K
PDP icon
582
Invesco Dorsey Wright Momentum ETF
PDP
$1.46B
– –
-37,020
Closed -$1.59M
PEG icon
583
Public Service Enterprise Group
PEG
$38.2B
– –
-738
Closed -$28K
PEP icon
584
PepsiCo
PEP
$190B
– –
-773
Closed -$72K
PFD
585
Flaherty & Crumrine Preferred and Income Fund
PFD
$145M
– –
-1,000
Closed -$13K
PFF icon
586
iShares Preferred and Income Securities ETF
PFF
$13.3B
– –
-429
Closed -$16K
PFN
587
PIMCO Income Strategy Fund II
PFN
$698M
– –
-718
Closed -$7K
PFX icon
588
PhenixFIN
PFX
$83.1M
– –
-25
Closed -$4K
PGR icon
589
Progressive
PGR
$123B
– –
-1,000
Closed -$27K
PH icon
590
Parker-Hannifin
PH
$123B
– –
-106
Closed -$12K
PHO icon
591
Invesco Water Resources ETF
PHO
$2.01B
– –
-150
Closed -$3K
PHK
592
PIMCO High Income Fund
PHK
$867M
– –
-1,500
Closed -$14K
PHT
593
DELISTED
Pioneer High Income Fund
PHT
– –
-3,900
Closed -$45K
PIE icon
594
Invesco Dorsey Wright Emerging Markets Momentum ETF
PIE
$237M
– –
-538
Closed -$9K
PII icon
595
Polaris
PII
$3.82B
– –
-136
Closed -$20K
PIZ icon
596
Invesco Dorsey Wright Developed Markets Momentum ETF
PIZ
$724M
– –
-437
Closed -$10K
PKG icon
597
Packaging Corp of America
PKG
$21.9B
– –
-115
Closed -$7K
PKW icon
598
Invesco BuyBack Achievers ETF
PKW
$1.72B
– –
-7,798
Closed -$379K
PLUG icon
599
Plug Power
PLUG
$2.87B
– –
-4,000
Closed -$9K
PM icon
600
Philip Morris
PM
$297B
– –
-2,263
Closed -$181K
22 23
24
25 26

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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 2015 Portfolio in Review

As of Q3 2015, B. Riley Wealth Management held 1,058 positions worth $70.5M, down 44% from $126M the previous quarter. Its ten largest holdings account for 25% of the portfolio.

B. Riley Wealth Management withdrew a net $48.2M in Q3 2015, closing 910 positions and reducing 79 holdings. Its most notable exit was ProShares Short S&P500, an estimated $2.28M position sold in full.

By sector, the portfolio is most concentrated in Industrials at 9.1% of assets, up from 7.9% a quarter earlier, followed by Healthcare and Technology.

Against the trend, B. Riley Wealth Management opened a new position in Vanguard Health Care ETF worth $699K.

  • B. Riley Wealth Management's largest Q3 2015 buy was Vanguard Health Care ETF: 5,707 shares worth $699K.
  • B. Riley Wealth Management added most to First Trust Dow Jones Internet Index Fund ETF in Q3 2015, an estimated $988K increase.
  • B. Riley Wealth Management's biggest Q3 2015 reduction was Apple, cutting an estimated $1M.
  • B. Riley Wealth Management fully exited ProShares Short S&P500 in Q3 2015, selling an estimated $2.28M.
  • B. Riley Wealth Management's ten largest holdings make up 25% of its $70.5M portfolio in Q3 2015.
  • B. Riley Wealth Management opened 7 new positions and closed 910 in Q3 2015.
  • B. Riley Wealth Management's portfolio value fell 44% quarter-over-quarter to $70.5M.

Based on B. Riley Wealth Management's 13F filing for Q3 2015, filed 13 Oct 2015.