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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
VPU
751
Vanguard Utilities ETF
VPU
$8.46B
$11K 0.01%
122
– –
SRCL
752
DELISTED
Stericycle Inc
SRCL
$11K 0.01%
100
-1,850
-95% -$218K
ARRS
753
DELISTED
ARRIS International plc Ordinary Shares
ARRS
$11K 0.01%
+400
New +$12.5K
RICE
754
DELISTED
Rice Energy Inc.
RICE
$11K 0.01%
450
– –
EGAS
755
DELISTED
Gas Natural Inc.
EGAS
$11K 0.01%
1,000
– –
VTG
756
DELISTED
VANTAGE DRILLING COMPANY ORD SHS (KY)
VTG
$11K 0.01%
9,000
+4,000
+80% +$7.14K
FHY
757
DELISTED
First Trust Strategic High
FHY
$11K 0.01%
722
– –
AGNC icon
758
AGNC Investment
AGNC
$12.4B
$10K 0.01%
500
– –
AXDX
759
DELISTED
Accelerate Diagnostics
AXDX
$10K 0.01%
47
– –
BBDC icon
760
Barings BDC
BBDC
$864M
$10K 0.01%
400
– –
BBWI icon
761
Bath & Body Works
BBWI
$4.06B
$10K 0.01%
197
+2
+1% +$101
EVV
762
Eaton Vance Limited Duration Income Fund
EVV
$1.06B
$10K 0.01%
700
– –
HE icon
763
Hawaiian Electric Industries
HE
$2.23B
$10K 0.01%
400
– –
HII icon
764
Huntington Ingalls Industries
HII
$12.9B
$10K 0.01%
100
– –
HIMX
765
Himax Technologies
HIMX
$2.19B
$10K 0.01%
1,000
– –
HYG icon
766
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$15.9B
$10K 0.01%
110
+1
+0.9% +$94
IDV icon
767
iShares International Select Dividend ETF
IDV
$8.45B
$10K 0.01%
300
– –
KWEB icon
768
KraneShares CSI China Internet ETF
KWEB
$5.64B
$10K 0.01%
300
– –
LYB icon
769
LyondellBasell Industries
LYB
$20B
$10K 0.01%
100
– –
MOO icon
770
VanEck Agribusiness ETF
MOO
$972M
$10K 0.01%
200
– –
ORI icon
771
Old Republic International
ORI
$10.5B
$10K 0.01%
712
+207
+41% +$3.16K
SABA
772
Saba Capital Income & Opportunities Fund II
SABA
$220M
$10K 0.01%
100
-152
-60% -$2.44K
SNY icon
773
Sanofi
SNY
$103B
$10K 0.01%
183
+150
+455% +$8.06K
STE icon
774
Steris
STE
$22.3B
$10K 0.01%
200
– –
UHS icon
775
Universal Health Services
UHS
$10.2B
$10K 0.01%
+100
New +$10.6K
29 30
31
32 33

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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.