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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
SO icon
651
Southern Company
SO
$109B
– –
-917
Closed -$38K
SONY icon
652
Sony
SONY
$137B
– –
-500
Closed -$2K
SPHD icon
653
Invesco S&P 500 High Dividend Low Volatility ETF
SPHD
$3.34B
– –
-200
Closed -$6K
SPLV icon
654
Invesco S&P 500 Low Volatility ETF
SPLV
$7.21B
– –
-1,958
Closed -$71K
SPXS icon
655
Direxion Daily S&P 500 Bear 3x ETF
SPXS
$339M
– –
-1
Closed -$9K
SPXU icon
656
ProShares UltraPro Short S&P 500
SPXU
$432M
– –
-13
Closed -$176K
SRPT icon
657
Sarepta Therapeutics
SRPT
$1.57B
– –
-800
Closed -$24K
NSLR
658
Neostellar Capital Corp
NSLR
$269M
– –
-6,930
Closed -$46K
STAG icon
659
STAG Industrial
STAG
$7.38B
– –
-3,765
Closed -$75K
STE icon
660
Steris
STE
$22.3B
– –
-200
Closed -$12K
STKL
661
DELISTED
SunOpta
STKL
– –
-4,400
Closed -$47K
STWD icon
662
Starwood Property Trust
STWD
$5.92B
– –
-350
Closed -$7K
SU icon
663
Suncor Energy
SU
$79.4B
– –
-500
Closed -$13K
SUI icon
664
Sun Communities
SUI
$15.2B
– –
-350
Closed -$21K
SVC
665
Service Properties Trust
SVC
$1.04B
– –
-47
Closed -$6K
SVM
666
Silvercorp Metals
SVM
$2.07B
– –
-500
Closed –
SVRA icon
667
Savara
SVRA
$1.12B
– –
-9
Closed –
SWBI icon
668
Smith & Wesson
SWBI
$651M
– –
-358
Closed -$4K
SYF icon
669
Synchrony
SYF
$24.7B
– –
-3,000
Closed -$98K
SYLD icon
670
Cambria Shareholder Yield ETF
SYLD
$987M
– –
-1,950
Closed -$60K
SYNA icon
671
Synaptics
SYNA
$4.19B
– –
-536
Closed -$46K
SYY icon
672
Sysco
SYY
$40.8B
– –
-2,947
Closed -$106K
TAL icon
673
TAL Education Group
TAL
$6.93B
– –
-3,000
Closed -$17K
TAN icon
674
Invesco Solar ETF
TAN
$1.39B
– –
-100
Closed -$3K
TBT icon
675
ProShares Trust UltraShort Lehman 20+ Year Treasury
TBT
$304M
– –
-1,001
Closed -$49K
25 26
27
28 29

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EL
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PGF
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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 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.