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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
FLRN icon
726
State Street SPDR Bloomberg Investment Grade Floating Rate ETF
FLRN
$3.08B
$12K 0.01%
397
– –
FPX icon
727
First Trust US Equity Opportunities ETF
FPX
$1.47B
$12K 0.01%
+268
New +$13K
GAIN icon
728
Gladstone Investment Corp
GAIN
$643M
$12K 0.01%
1,719
+31
+2% +$232
PNNT
729
Pennant Park Investment Corp
PNNT
$215M
$12K 0.01%
1,127
-1,000
-47% -$11.5K
QAI icon
730
NYLI Hedge Multi-Strategy Tracker ETF
QAI
$1.01B
$12K 0.01%
417
– –
UNG icon
731
United States Natural Gas Fund
UNG
$456M
$12K 0.01%
36
– –
UYG icon
732
ProShares Ultra Financials
UYG
$828M
$12K 0.01%
600
-1,554
-72% -$33.3K
VTLE
733
DELISTED
Vital Energy
VTLE
$12K 0.01%
28
– –
AAIC
734
DELISTED
Arlington Asset Investment Corp.
AAIC
$12K 0.01%
500
-500
-50% -$13.5K
NUAN
735
DELISTED
Nuance Communications, Inc.
NUAN
$12K 0.01%
924
– –
TEG
736
DELISTED
INTEGRYS ENERGY GROUP INC COM (USA)
TEG
$12K 0.01%
200
– –
CMO
737
DELISTED
Capstead Mortgage Corp.
CMO
$12K 0.01%
+1,000
New +$13K
CYS
738
DELISTED
CYS Investments Inc.
CYS
$12K 0.01%
1,500
-300
-17% -$2.71K
CB
739
DELISTED
CHUBB CORPORATION
CB
$12K 0.01%
133
+1
+0.8% +$91
BHP icon
740
BHP
BHP
$215B
$11K 0.01%
237
– –
DEO icon
741
Diageo
DEO
$49B
$11K 0.01%
101
– –
DWX icon
742
State Street SPDR S&P International Dividend ETF
DWX
$529M
$11K 0.01%
250
– –
EQNR icon
743
Equinor
EQNR
$97.7B
$11K 0.01%
431
– –
MGM icon
744
MGM Resorts International
MGM
$11.4B
$11K 0.01%
500
-100
-17% -$2.49K
NVO
745
Novo Nordisk
NVO
$208B
$11K 0.01%
500
– –
PIE icon
746
Invesco Dorsey Wright Emerging Markets Momentum ETF
PIE
$237M
$11K 0.01%
601
– –
PIZ icon
747
Invesco Dorsey Wright Developed Markets Momentum ETF
PIZ
$724M
$11K 0.01%
486
– –
USB icon
748
US Bancorp
USB
$98.2B
$11K 0.01%
265
-7,070
-96% -$299K
VALE icon
749
Vale
VALE
$64.1B
$11K 0.01%
1,069
-1,000
-48% -$13.4K
VBR icon
750
Vanguard Morningstar Small-Cap Value ETF
VBR
$37.1B
$11K 0.01%
120
– –
28 29
30
31 32

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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 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.