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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
ENLC
51
DELISTED
ENLINK MIDSTREAM, LLC
ENLC
$576K 0.43%
13,960
-4,310
-24% -$174K
BP icon
52
BP
BP
$112B
$555K 0.41%
15,458
+5,592
+57% +$221K
GM icon
53
General Motors
GM
$80.9B
$555K 0.41%
17,395
+1,104
+7% +$38.5K
VOO icon
54
Vanguard S&P 500 ETF
VOO
$956B
$554K 0.41%
3,070
+2,500
+439% +$453K
PG icon
55
Procter & Gamble
PG
$340B
$553K 0.41%
6,607
-922
-12% -$75.5K
ET icon
56
Energy Transfer Partners
ET
$69.5B
$540K 0.4%
17,520
+400
+2% +$11.7K
PJP icon
57
Invesco Pharmaceuticals ETF
PJP
$445M
$530K 0.39%
8,341
-270
-3% -$16.7K
UNP icon
58
Union Pacific
UNP
$174B
$521K 0.39%
4,812
+2
+0% +$207
CVX icon
59
Chevron
CVX
$382B
$506K 0.38%
4,242
-282
-6% -$36K
EOG icon
60
EOG Resources
EOG
$77.7B
$500K 0.37%
5,050
+4,000
+381% +$435K
WPZ
61
DELISTED
Williams Partners L.P.
WPZ
$500K 0.37%
8,339
-1,061
-11% -$62.7K
COP icon
62
ConocoPhillips
COP
$144B
$496K 0.37%
6,491
+178
+3% +$14.6K
GHY
63
PGIM Global High Yield Fund
GHY
$476M
$486K 0.36%
29,487
+1,514
+5% +$26.1K
ARP
64
DELISTED
ATLAS RESOURCE PARTNERS L P COM UIT REPSTG LTD PTNRS
ARP
$476K 0.35%
24,500
+7,100
+41% +$141K
EMES
65
DELISTED
Emerge Energy Services LP
EMES
$470K 0.35%
4,077
+1,377
+51% +$162K
FEZ icon
66
State Street SPDR EURO STOXX 50 ETF
FEZ
$4.29B
$454K 0.34%
11,450
+5,200
+83% +$214K
KO icon
67
Coca-Cola
KO
$383B
$454K 0.34%
10,652
-2,597
-20% -$107K
PSEC icon
68
Prospect Capital
PSEC
$1.08B
$454K 0.34%
45,931
-6,458
-12% -$68.1K
OCSI
69
DELISTED
Oaktree Strategic Income Corporation
OCSI
$453K 0.34%
+38,400
New +$497K
IWS icon
70
iShares Russell Mid-Cap Value ETF
IWS
$15.7B
$447K 0.33%
6,386
+6,249
+4,561% +$448K
PKW icon
71
Invesco BuyBack Achievers ETF
PKW
$1.72B
$446K 0.33%
9,969
+8,969
+897% +$405K
GILD icon
72
Gilead Sciences
GILD
$165B
$444K 0.33%
4,175
-5,900
-59% -$578K
JNJ icon
73
Johnson & Johnson
JNJ
$640B
$443K 0.33%
4,165
+17
+0.4% +$1.76K
CVRR
74
DELISTED
CVR Refining, LP
CVRR
$438K 0.33%
18,840
-2,825
-13% -$69.4K
AIG icon
75
American International
AIG
$42.5B
$437K 0.32%
8,096
+1,822
+29% +$99.5K
1 2
3
4 5

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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
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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
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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.