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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
VOC icon
776
VOC Energy
VOC
$50.7M
$10K 0.01%
800
-2,700
-77% -$40.8K
VOX icon
777
Vanguard Communication Services ETF
VOX
$5.59B
$10K 0.01%
123
– –
XBI icon
778
State Street SPDR S&P Biotech ETF
XBI
$9.95B
$10K 0.01%
210
– –
MIE
779
DELISTED
COHEN & STEERS MLP INCOME AND ENERGY OPPORTUNITY FUND, INC.
MIE
$10K 0.01%
500
– –
GLOG
780
DELISTED
GASLOG LTD
GLOG
$10K 0.01%
460
-540
-54% -$13.9K
RAI
781
DELISTED
Reynolds American Inc
RAI
$10K 0.01%
342
+4
+1% +$116
EROC
782
DELISTED
EAGLE ROCK ENERGY PARTNERS, L.P. COM UNITS RPTNG LTD PRTNR
EROC
$10K 0.01%
+3,000
New +$13.1K
PETM
783
DELISTED
PETSMART INC
PETM
$10K 0.01%
155
– –
MNR
784
DELISTED
Monmouth Real Estate Investment Corp
MNR
$10K 0.01%
1,000
-1,500
-60% -$15.7K
AMX icon
785
America Movil
AMX
$76.1B
$9K 0.01%
372
– –
BLV icon
786
Vanguard Long-Term Bond ETF
BLV
$5.71B
$9K 0.01%
108
– –
BTZ icon
787
BlackRock Credit Allocation Income Trust
BTZ
$930M
$9K 0.01%
700
– –
CG icon
788
Carlyle Group
CG
$16.6B
$9K 0.01%
303
+102
+51% +$3.33K
CMA
789
DELISTED
Comerica
CMA
$9K 0.01%
+200
New +$10K
DLNG icon
790
Dynagas LNG Partners
DLNG
$132M
$9K 0.01%
+400
New +$9.54K
DVN icon
791
Devon Energy
DVN
$52.1B
$9K 0.01%
135
– –
EWC icon
792
iShares MSCI Canada ETF
EWC
$6.13B
$9K 0.01%
314
+2
+0.6% +$64
FET icon
793
Forum Energy Technologies
FET
$708M
$9K 0.01%
15
– –
FSLR icon
794
First Solar
FSLR
$22.7B
$9K 0.01%
150
– –
HBAN icon
795
Huntington Bancshares
HBAN
$34.4B
$9K 0.01%
1,000
– –
IWV icon
796
iShares Russell 3000 ETF
IWV
$19.6B
$9K 0.01%
78
+45
+136% +$5.3K
JPI
797
DELISTED
Nuveen Preferred Securities & Income Opportunities Fund
JPI
$9K 0.01%
+400
New +$9.3K
JWN
798
DELISTED
Nordstrom
JWN
$9K 0.01%
146
– –
LPLA icon
799
LPL Financial
LPLA
$28.3B
$9K 0.01%
200
– –
MGA icon
800
Magna International
MGA
$18.7B
$9K 0.01%
204
+2
+1% +$110
30 31
32
33 34

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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.