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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
-7.42%
1 Year Est. Return
+3.46%
3 Year Est. Return
+49.59%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$70.5M
AUM Growth
-$55.2M
Cap. Flow
-$48.2M
Cap. Flow %
-68.35%
Top 10 Hldgs %
25.26%
Holding
1,058
New
7
Increased
48
Reduced
79
Closed
910

Top Buys

Rank Stock Value
1
FDN icon
First Trust Dow Jones Internet Index Fund ETF
FDN
+$988K
2
FXD icon
First Trust Consumer Discretionary AlphaDEX Fund
FXD
+$910K
3
FXG icon
First Trust Consumer Staples AlphaDEX Fund
FXG
+$800K
4
VOX icon
Vanguard Communication Services ETF
VOX
+$784K
5
VHT icon
Vanguard Health Care ETF
VHT
+$783K

Top Sells

Rank Stock Value
1
SH icon
ProShares Short S&P500
SH
+$2.28M
2
PDP icon
Invesco Dorsey Wright Momentum ETF
PDP
+$1.59M
3
FXL icon
First Trust Technology AlphaDEX Fund
FXL
+$1.52M
4
AAPL icon
Apple
AAPL
+$1M
5
SBUX icon
Starbucks
SBUX
+$743K

Sector Composition

Rank Sector Weight
1 Industrials 9.11%
2 Healthcare 8.08%
3 Technology 7.35%
4 Communication Services 6.76%
5 Consumer Staples 6.59%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
XRT icon
776
State Street SPDR S&P Retail ETF
XRT
$449M
– –
-876
Closed -$43K
YELP icon
777
Yelp
YELP
$1.45B
– –
-2,200
Closed -$94K
YUM icon
778
Yum! Brands
YUM
$41.8B
– –
-417
Closed -$27K
ZBH icon
779
Zimmer Biomet
ZBH
$18.2B
– –
-42
Closed -$4K
ZBRA icon
780
Zebra Technologies
ZBRA
$14B
– –
-425
Closed -$47K
NBIS
781
Nebius Group N.V.
NBIS
$48.3B
– –
-300
Closed -$4K
FLG
782
Flagstar Bank National Association
FLG
$5.93B
– –
-708
Closed -$39K
TVRD
783
Tvardi Therapeutics
TVRD
$19.7M
– –
-13
Closed -$5K
INFN
784
DELISTED
Infinera Corporation Common Stock
INFN
– –
-14,700
Closed -$308K
NDP
785
DELISTED
TORTOISE ENERGY INDEPENDENCE FUND, INC.
NDP
– –
-9
Closed -$1K
MRO
786
DELISTED
Marathon Oil Corporation
MRO
– –
-3,151
Closed -$83K
SAVE
787
DELISTED
Spirit Airlines, Inc.
SAVE
– –
-764
Closed -$47K
SRCL
788
DELISTED
Stericycle Inc
SRCL
– –
-100
Closed -$13K
VGR
789
DELISTED
Vector Group Ltd.
VGR
– –
-720
Closed -$9K
TUP
790
DELISTED
Tupperware Brands Corporation
TUP
– –
-267
Closed -$17K
SLCA
791
DELISTED
U.S. SILICA HOLDINGS, INC.
SLCA
– –
-6,650
Closed -$195K
AIF
792
DELISTED
Apollo Tactical Income Fund Inc.
AIF
– –
-10,000
Closed -$157K
FEN
793
DELISTED
First Trust Energy Income and Growth Fund
FEN
– –
-575
Closed -$18K
PXD
794
DELISTED
Pioneer Natural Resource Co.
PXD
– –
-650
Closed -$90K
CPE
795
DELISTED
Callon Petroleum Company
CPE
– –
-500
Closed -$41K
BKCC
796
DELISTED
BlackRock Capital Investment Corporation
BKCC
– –
-2,000
Closed -$18K
MRTX
797
DELISTED
Mirati Therapeutics, Inc. Common Stock
MRTX
– –
-82
Closed -$2K
ONCT
798
DELISTED
Oncternal Therapeutics, Inc. Common Stock
ONCT
– –
-7
Closed -$13K
VRTV
799
DELISTED
VERITIV CORPORATION
VRTV
– –
-21
Closed –
PACW
800
DELISTED
PacWest Bancorp
PACW
– –
-450
Closed -$21K
30 31
32
33 34

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HIH
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CRCM
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B. Riley Wealth Management's Q3 2015 Portfolio in Review

As of Q3 2015, B. Riley Wealth Management held 1,058 positions worth $70.5M, down 44% from $126M the previous quarter. Its ten largest holdings account for 25% of the portfolio.

B. Riley Wealth Management withdrew a net $48.2M in Q3 2015, closing 910 positions and reducing 79 holdings. Its most notable exit was ProShares Short S&P500, an estimated $2.28M position sold in full.

By sector, the portfolio is most concentrated in Industrials at 9.1% of assets, up from 7.9% a quarter earlier, followed by Healthcare and Technology.

Against the trend, B. Riley Wealth Management opened a new position in Vanguard Health Care ETF worth $699K.

  • B. Riley Wealth Management's largest Q3 2015 buy was Vanguard Health Care ETF: 5,707 shares worth $699K.
  • B. Riley Wealth Management added most to First Trust Dow Jones Internet Index Fund ETF in Q3 2015, an estimated $988K increase.
  • B. Riley Wealth Management's biggest Q3 2015 reduction was Apple, cutting an estimated $1M.
  • B. Riley Wealth Management fully exited ProShares Short S&P500 in Q3 2015, selling an estimated $2.28M.
  • B. Riley Wealth Management's ten largest holdings make up 25% of its $70.5M portfolio in Q3 2015.
  • B. Riley Wealth Management opened 7 new positions and closed 910 in Q3 2015.
  • B. Riley Wealth Management's portfolio value fell 44% quarter-over-quarter to $70.5M.

Based on B. Riley Wealth Management's 13F filing for Q3 2015, filed 13 Oct 2015.