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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
NZF icon
801
Nuveen Municipal Credit Income Fund
NZF
$2.4B
$9K 0.01%
677
-177
-21% -$2.46K
SBRA icon
802
Sabra Healthcare REIT
SBRA
$5.34B
$9K 0.01%
+400
New +$11.1K
SJNK icon
803
State Street SPDR Bloomberg Short Term High Yield Bond ETF
SJNK
$4.89B
$9K 0.01%
330
– –
VOE icon
804
Vanguard Morningstar Mid-Cap Value ETF
VOE
$23.7B
$9K 0.01%
115
– –
VOT icon
805
Vanguard Morningstar Mid-Cap Growth ETF
VOT
$19.2B
$9K 0.01%
98
– –
VTRS icon
806
Viatris
VTRS
$20.4B
$9K 0.01%
200
-450
-69% -$21.9K
TEN
807
DELISTED
Tenneco Inc. Class A Voting Common Stock
TEN
$9K 0.01%
500
+300
+150% +$19K
MDP
808
DELISTED
Meredith Corporation
MDP
$9K 0.01%
226
+1
+0.4% +$47
HSBC.PRA
809
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$9K 0.01%
387
– –
PRCP
810
DELISTED
Perceptron Inc
PRCP
$9K 0.01%
1,000
– –
BSJH
811
DELISTED
Guggenheim BulletShares 2017 High Yield Corporate Bond ETF
BSJH
$9K 0.01%
370
– –
HAR
812
DELISTED
Harman International Industries
HAR
$9K 0.01%
+100
New +$11.2K
BSJG
813
DELISTED
Guggenheim BulletShares 2016 High Yield Corporate Bond ETF
BSJG
$9K 0.01%
370
– –
LGF
814
DELISTED
Lions Gate Entertainment
LGF
$9K 0.01%
300
– –
RKT
815
DELISTED
ROCK-TENN COMPANY CL-A
RKT
$9K 0.01%
+200
New +$9.93K
DNY
816
DELISTED
DONNELLEY R R & SONS CO
DNY
$9K 0.01%
+600
New +$9K
AGZ icon
817
iShares Agency Bond ETF
AGZ
$564M
$8K 0.01%
76
– –
APD icon
818
Air Products & Chemicals
APD
$65.7B
$8K 0.01%
68
– –
ARWR icon
819
Arrowhead Research
ARWR
$11.9B
$8K 0.01%
600
– –
BDJ icon
820
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.73B
$8K 0.01%
1,049
+6
+0.6% +$50
BUD icon
821
AB InBev
BUD
$170B
$8K 0.01%
75
-50
-40% -$5.58K
CHY
822
Calamos Convertible and High Income Fund
CHY
$1.01B
$8K 0.01%
625
– –
EMLC icon
823
VanEck JP Morgan EM Local Currency Bond ETF
EMLC
$4.79B
$8K 0.01%
193
– –
HES
824
DELISTED
Hess
HES
$8K 0.01%
91
-300
-77% -$29.7K
HPQ icon
825
HP
HPQ
$24.9B
$8K 0.01%
557
-12,215
-96% -$198K
31 32
33
34 35

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PGF
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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.