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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
MIC
826
DELISTED
Macquarie Infrastructure Holdings, LLC
MIC
– –
-1,275
Closed -$105K
WMC
827
DELISTED
Western Asset Mortgage Capital Corporation
WMC
– –
-100
Closed -$14K
CDK
828
DELISTED
CDK Global, Inc.
CDK
– –
-69
Closed -$3K
APTS
829
DELISTED
Preferred Apartment Communities, Inc.
APTS
– –
-2,500
Closed -$24K
CERN
830
DELISTED
Cerner Corp
CERN
– –
-5,400
Closed -$372K
ANAT
831
DELISTED
American National Group, Inc. Common Stock
ANAT
– –
-3,000
Closed -$306K
DISCK
832
DELISTED
Discovery, Inc. Series C Common Stock
DISCK
– –
-2,168
Closed -$67K
KRA
833
DELISTED
Kraton Corporation
KRA
– –
-31
Closed –
ARNA
834
DELISTED
Arena Pharmaceuticals Inc
ARNA
– –
-40
Closed -$1K
GSS
835
DELISTED
Golden Star Resources Ltd.
GSS
– –
-200
Closed –
RDS.A
836
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
– –
-2,274
Closed -$129K
RDS.B
837
DELISTED
Royal Dutch Shell PLC ADS Class B
RDS.B
– –
-1,320
Closed -$75K
PCI
838
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
– –
-300
Closed -$6K
ENBL
839
DELISTED
ENABLE MIDSTREAM PARTNERS, LP
ENBL
– –
-6,000
Closed -$95K
MDP
840
DELISTED
Meredith Corporation
MDP
– –
-228
Closed -$11K
CVA
841
DELISTED
Covanta Holding Corporation
CVA
– –
-1,166
Closed -$24K
GGM
842
DELISTED
GUGGENHEIM CREDIT ALLOCATION FUND
GGM
– –
-845
Closed -$18K
TLGT
843
DELISTED
Teligent, Inc
TLGT
– –
-200
Closed -$12K
SQBG
844
DELISTED
Sequential Brands Group, Inc.
SQBG
– –
-75
Closed -$45K
MIE
845
DELISTED
COHEN & STEERS MLP INCOME AND ENERGY OPPORTUNITY FUND, INC.
MIE
– –
-500
Closed -$8K
ALXN
846
DELISTED
Alexion Pharmaceuticals
ALXN
– –
-25
Closed -$4K
CATM
847
DELISTED
Cardtronics plc Class A Ordinary Shares (UK)
CATM
– –
-600
Closed -$22K
GLOG
848
DELISTED
GASLOG LTD
GLOG
– –
-1,000
Closed -$19K
GWPH
849
DELISTED
GW Pharmaceuticals Plc American Depositary Shares
GWPH
– –
-1,115
Closed -$136K
OCSI
850
DELISTED
Oaktree Strategic Income Corporation
OCSI
– –
-19,900
Closed -$183K
32 33
34
35 36

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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.