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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
AKRX
701
DELISTED
Akorn Inc
AKRX
$14K 0.01%
+400
New +$14.3K
HNR
702
DELISTED
Harvest Natural Resources
HNR
$14K 0.01%
1,000
-1,250
-56% -$22.8K
RGP
703
DELISTED
REGENCY ENERGY PARTNERS LP COMMON UTS REP LIMITED PART INTS
RGP
$14K 0.01%
455
+7
+2% +$222
BOBE
704
DELISTED
Bob Evans Farms, Inc.
BOBE
$14K 0.01%
309
+2
+0.7% +$93
NPF
705
DELISTED
NUVEEN PREMIER MUNI INCOME FD
NPF
$14K 0.01%
1,111
-493
-31% -$6.65K
AAP icon
706
Advance Auto Parts
AAP
$3.35B
$13K 0.01%
+100
New +$13.1K
AMT icon
707
American Tower
AMT
$80.8B
$13K 0.01%
145
– –
BH icon
708
Biglari Holdings Class B
BH
$1.25B
$13K 0.01%
60
-5
-8% -$1.25K
EAD
709
Allspring Income Opportunities Fund
EAD
$372M
$13K 0.01%
1,500
– –
EWZ icon
710
iShares MSCI Brazil ETF
EWZ
$9.28B
$13K 0.01%
300
– –
IGM icon
711
iShares Expanded Tech Sector ETF
IGM
$10B
$13K 0.01%
810
– –
IGSB icon
712
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$23B
$13K 0.01%
264
– –
MKC icon
713
McCormick & Company Non-Voting
MKC
$13.7B
$13K 0.01%
400
– –
PFD
714
Flaherty & Crumrine Preferred and Income Fund
PFD
$145M
$13K 0.01%
1,000
– –
PLUG icon
715
Plug Power
PLUG
$2.87B
$13K 0.01%
3,000
– –
PNC icon
716
PNC Financial Services
PNC
$99.7B
$13K 0.01%
158
-13
-8% -$1.1K
PNR icon
717
Pentair
PNR
$10.4B
$13K 0.01%
298
-829
-74% -$38.3K
VCIT icon
718
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
$66.2B
$13K 0.01%
159
– –
CPL
719
DELISTED
CPFL Energia S.A.
CPL
$13K 0.01%
952
– –
TFCFA
720
DELISTED
Twenty-First Century Fox, Inc. Class A
TFCFA
$13K 0.01%
400
– –
SD
721
DELISTED
SANDRIDGE ENERGY, INC.
SD
$13K 0.01%
3,250
– –
EFII
722
DELISTED
Electronics for Imaging
EFII
$13K 0.01%
300
– –
BPT
723
DELISTED
BP Prudhoe Bay Royalty Trust
BPT
$12K 0.01%
132
+52
+65% +$4.86K
DBA icon
724
Invesco DB Agriculture Fund
DBA
$1.23B
$12K 0.01%
500
-9,471
-95% -$248K
DLR icon
725
Digital Realty Trust
DLR
$69.7B
$12K 0.01%
199
– –
27 28
29
30 31

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CRCM
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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.