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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
HSIC icon
826
Henry Schein
HSIC
$9.77B
$8K 0.01%
186
– –
IGD
827
Voya Global Equity Dividend and Premium Opportunity Fund
IGD
$517M
$8K 0.01%
900
-1,000
-53% -$9.57K
IYG icon
828
iShares US Financial Services ETF
IYG
$2.16B
$8K 0.01%
312
– –
KNOP icon
829
KNOT Offshore Partners
KNOP
$372M
$8K 0.01%
+350
New +$9.55K
SAN icon
830
Banco Santander
SAN
$201B
$8K 0.01%
950
+13
+1% +$117
SNN icon
831
Smith & Nephew
SNN
$13.3B
$8K 0.01%
250
– –
SVM
832
Silvercorp Metals
SVM
$2.07B
$8K 0.01%
5,500
– –
NBIS
833
Nebius Group N.V.
NBIS
$48.3B
$8K 0.01%
300
– –
JPS
834
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
$8K 0.01%
1,000
– –
MCEP
835
DELISTED
Mid-Con Energy Partners, LP
MCEP
$8K 0.01%
+20
New +$9.05K
PSV
836
DELISTED
Hermitage Offshore Services Ltd.
PSV
$8K 0.01%
+50
New +$9.49K
SGYP
837
DELISTED
Synergy Pharmaceuticals, Inc Common Stock
SGYP
$8K 0.01%
3,000
-2,000
-40% -$7.25K
IL
838
DELISTED
IntraLinks Holdings Inc.
IL
$8K 0.01%
+1,000
New +$8.41K
NRF
839
DELISTED
NorthStar Realty Finance Corp.
NRF
$8K 0.01%
+250
New +$8.75K
JTP
840
DELISTED
NUVEEN QUALITY PFD INCOME FD
JTP
$8K 0.01%
+1,000
New +$8.34K
ORIG
841
DELISTED
Ocean Rig UDW Inc. Class A Common Shares
ORIG
– –
0
– –
PCL
842
DELISTED
PLUM CREEK TIMBER CO (REIT)
PCL
$8K 0.01%
220
– –
COV
843
DELISTED
COVIDIEN PLC COM SHS NEW (IRELAND)
COV
$8K 0.01%
100
– –
JRO
844
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$8K 0.01%
751
– –
BAL
845
DELISTED
iPath Bloomberg Cotton Subindex Total Return ETN due June 24, 2038
BAL
$8K 0.01%
200
– –
ACAD icon
846
Acadia Pharmaceuticals
ACAD
$4.43B
$7K 0.01%
+300
New +$7.02K
AVK
847
Advent Convertible and Income Fund
AVK
$547M
$7K 0.01%
422
+6
+1% +$110
AWP
848
abrdn Global Premier Properties Fund
AWP
$372M
$7K 0.01%
348
– –
CCJ icon
849
Cameco
CCJ
$37.6B
$7K 0.01%
400
– –
CME icon
850
CME Group
CME
$96.3B
$7K 0.01%
90
– –
32 33
34
35 36

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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.