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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
KMF
801
DELISTED
Kayne Anderson NextGen Energy & Infrastructure, Inc.
KMF
– –
-500
Closed -$14K
JPS
802
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
– –
-1,000
Closed -$8K
RAD
803
DELISTED
Rite Aid Corporation
RAD
– –
-50
Closed -$8K
CEN
804
DELISTED
Center Coast Brookfield MLP & Energy Infrastructure Fund
CEN
– –
-700
Closed -$106K
MMP
805
DELISTED
Magellan Midstream Partners, L.P.
MMP
– –
-420
Closed -$30K
GLCN
806
DELISTED
VanEck China Growth Leaders ETF
GLCN
– –
-2,849
Closed -$164K
HYLD
807
DELISTED
High Yield ETF
HYLD
– –
-7,603
Closed -$308K
MTEM
808
DELISTED
Molecular Templates, Inc.
MTEM
– –
-18
Closed -$12K
GLOP
809
DELISTED
GASLOG PARTNERS LP
GLOP
– –
-2,400
Closed -$54K
BLCM
810
DELISTED
Bellicum Pharmaceuticals, Inc.
BLCM
– –
-36
Closed -$7K
TA
811
DELISTED
TravelCenters of America LLC
TA
– –
-3,120
Closed -$231K
EXD
812
DELISTED
Eaton Vance TaxManaged Buy-Write Strategy Fund
EXD
– –
-1,000
Closed -$12K
AUY
813
DELISTED
Yamana Gold, Inc.
AUY
– –
-250
Closed –
LCI
814
DELISTED
Lannett Company, Inc.
LCI
– –
-725
Closed -$172K
SJI
815
DELISTED
South Jersey Industries, Inc.
SJI
– –
-930
Closed -$22K
RBCN
816
DELISTED
Rubicon Technology, Inc.
RBCN
– –
-4
Closed –
ABMD
817
DELISTED
Abiomed Inc
ABMD
– –
-5,800
Closed -$381K
TEN
818
DELISTED
Tenneco Inc. Class A Voting Common Stock
TEN
– –
-200
Closed -$11K
SRLP
819
DELISTED
SPRAGUE RESOURCES LP
SRLP
– –
-2,680
Closed -$68K
TWTR
820
DELISTED
Twitter, Inc.
TWTR
– –
-5,755
Closed -$208K
RJA
821
DELISTED
AB Svensk Ekportkredit ELEMENTS Linked to the Rogers International Commodity Index-Agriculture Total Return
RJA
– –
-12,675
Closed -$92K
SHLX
822
DELISTED
Shell Midstream Partners, L.P.
SHLX
– –
-800
Closed -$36K
MNDT
823
DELISTED
Mandiant, Inc. Common Stock
MNDT
– –
-4,400
Closed -$215K
SMM
824
DELISTED
Salient Midstream & MLP Fund
SMM
– –
-11,556
Closed -$233K
SAFM
825
DELISTED
Sanderson Farms Inc
SAFM
– –
-276
Closed -$20K
31 32
33
34 35

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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 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.