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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
+2.95%
1 Year Est. Return
+3.46%
3 Year Est. Return
+49.59%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$122M
AUM Growth
-$12.4M
Cap. Flow
-$12M
Cap. Flow %
-9.78%
Top 10 Hldgs %
15.89%
Holding
1,192
New
89
Increased
238
Reduced
283
Closed
136

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$1.29M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$1.17M
3
BA icon
Boeing
BA
+$1M
4
XLF icon
State Street Financial Select Sector SPDR ETF
XLF
+$943K
5
FV icon
First Trust Dorsey Wright Focus 5 ETF
FV
+$821K

Top Sells

Rank Stock Value
1
FXD icon
First Trust Consumer Discretionary AlphaDEX Fund
FXD
+$1.47M
2
FXZ icon
First Trust Materials AlphaDEX Fund
FXZ
+$1.31M
3
FXH icon
First Trust Health Care AlphaDEX Fund
FXH
+$1.1M
4
LNC icon
Lincoln National
LNC
+$903K
5
DAL icon
Delta Air Lines
DAL
+$897K

Sector Composition

Rank Sector Weight
1 Energy 9.85%
2 Technology 7.98%
3 Industrials 7.77%
4 Financials 6.97%
5 Healthcare 6.08%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FCAN
651
DELISTED
First Trust Canada AlphaDEX Fund
FCAN
$16K 0.01%
523
– –
BH icon
652
Biglari Holdings Class B
BH
$1.25B
$15K 0.01%
60
– –
GDX icon
653
VanEck Gold Miners ETF
GDX
$22.7B
$15K 0.01%
850
– –
ICMB icon
654
Investcorp Credit Management BDC
ICMB
$11.1M
$15K 0.01%
1,410
– –
NVS icon
655
Novartis
NVS
$297B
$15K 0.01%
187
– –
SU icon
656
Suncor Energy
SU
$79.4B
$15K 0.01%
500
– –
TNL icon
657
Travel + Leisure Co
TNL
$4.66B
$15K 0.01%
388
– –
TFCFA
658
DELISTED
Twenty-First Century Fox, Inc. Class A
TFCFA
$15K 0.01%
400
– –
WX
659
DELISTED
WUXI PHARMATECH, CAYMAN INC REPSTG 8 ORD SHS
WX
$15K 0.01%
450
– –
TEG
660
DELISTED
INTEGRYS ENERGY GROUP INC COM (USA)
TEG
$15K 0.01%
200
– –
AMT icon
661
American Tower
AMT
$80.8B
$14K 0.01%
145
– –
EFV icon
662
iShares MSCI EAFE Value ETF
EFV
$28.8B
$14K 0.01%
291
+3
+1% +$158
NZF icon
663
Nuveen Municipal Credit Income Fund
NZF
$2.4B
$14K 0.01%
1,030
+353
+52% +$4.85K
PFD
664
Flaherty & Crumrine Preferred and Income Fund
PFD
$145M
$14K 0.01%
1,000
– –
PNC icon
665
PNC Financial Services
PNC
$99.7B
$14K 0.01%
158
– –
PNNT
666
Pennant Park Investment Corp
PNNT
$215M
$14K 0.01%
1,500
+373
+33% +$3.91K
SCZ icon
667
iShares MSCI EAFE Small-Cap ETF
SCZ
$13.4B
$14K 0.01%
308
-30
-9% -$1.42K
SLVO icon
668
Credit Suisse X-Links Silver Shares Covered Call ETNs due April 21 2033
SLVO
$11.3M
$14K 0.01%
65
– –
SPNT icon
669
SiriusPoint
SPNT
$2.75B
$14K 0.01%
1,000
-3,000
-75% -$43.9K
TAL icon
670
TAL Education Group
TAL
$6.93B
$14K 0.01%
3,000
-42,300
-93% -$222K
UYG icon
671
ProShares Ultra Financials
UYG
$828M
$14K 0.01%
600
– –
WMC
672
DELISTED
Western Asset Mortgage Capital Corporation
WMC
$14K 0.01%
100
-55
-35% -$8.2K
AKRX
673
DELISTED
Akorn Inc
AKRX
$14K 0.01%
400
– –
ATHE
674
Alterity Therapeutics
ATHE
$80.1M
$13K 0.01%
135
– –
BBWI icon
675
Bath & Body Works
BBWI
$4.06B
$13K 0.01%
197
– –
25 26
27
28 29

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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 Q4 2014 Portfolio in Review

As of Q4 2014, B. Riley Wealth Management held 1,192 positions worth $122M, down 9.2% from $135M the previous quarter. Its ten largest holdings account for 16% of the portfolio.

B. Riley Wealth Management withdrew a net $12M in Q4 2014, closing 136 positions and reducing 283 holdings. Its most notable exit was High Yield ETF, an estimated $608K position sold in full.

By sector, the portfolio is most concentrated in Energy at 9.8% of assets, down from 13% a quarter earlier, followed by Technology and Industrials.

Against the trend, B. Riley Wealth Management opened a new position in Amedisys worth $789K.

  • B. Riley Wealth Management's largest Q4 2014 buy was Amedisys: 26,900 shares worth $789K.
  • B. Riley Wealth Management added most to Apple in Q4 2014, an estimated $1.29M increase.
  • B. Riley Wealth Management's biggest Q4 2014 reduction was First Trust Consumer Discretionary AlphaDEX Fund, cutting an estimated $1.47M.
  • B. Riley Wealth Management fully exited High Yield ETF in Q4 2014, selling an estimated $608K.
  • B. Riley Wealth Management's ten largest holdings make up 16% of its $122M portfolio in Q4 2014.
  • B. Riley Wealth Management opened 89 new positions and closed 136 in Q4 2014.
  • B. Riley Wealth Management's portfolio value fell 9.2% quarter-over-quarter to $122M.

Based on B. Riley Wealth Management's 13F filing for Q4 2014, filed 28 Jan 2015.