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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
DHR icon
851
Danaher
DHR
$137B
$7K 0.01%
149
– –
DPG
852
Duff & Phelps Utility and Infrastructure Fund
DPG
$521M
$7K 0.01%
331
+5
+2% +$109
INGR icon
853
Ingredion
INGR
$6.27B
$7K 0.01%
100
– –
IWP icon
854
iShares Russell Mid-Cap Growth ETF
IWP
$19.8B
$7K 0.01%
178
– –
LH icon
855
Labcorp
LH
$25B
$7K 0.01%
84
– –
MGK icon
856
Vanguard Morningstar Mega Cap Growth ETF
MGK
$32.5B
$7K 0.01%
485
– –
MT icon
857
ArcelorMittal
MT
$52.9B
$7K 0.01%
241
-437
-64% -$14.5K
RSG icon
858
Republic Services
RSG
$64.8B
$7K 0.01%
200
– –
TXN icon
859
Texas Instruments
TXN
$252B
$7K 0.01%
200
-511
-72% -$24.5K
ERF
860
DELISTED
Enerplus Corporation
ERF
$7K 0.01%
400
-3
-0.7% -$66
SCU
861
DELISTED
Sculptor Capital Management, Inc. Class A Common Stock
SCU
$7K 0.01%
71
– –
SRLP
862
DELISTED
SPRAGUE RESOURCES LP
SRLP
$7K 0.01%
300
-1,730
-85% -$43K
CLD
863
DELISTED
Cloud Peak Energy Inc
CLD
$7K 0.01%
+625
New +$9.46K
KANG
864
DELISTED
iKang Healthcare Group, Inc.
KANG
$7K 0.01%
+400
New +$7.81K
GURI
865
DELISTED
Global X Guru International Index ETF
GURI
$7K 0.01%
+475
New +$7.6K
SE
866
DELISTED
Spectra Energy Corp Wi
SE
$7K 0.01%
200
– –
BLOX
867
DELISTED
Infoblox Inc
BLOX
$7K 0.01%
500
– –
HCC
868
DELISTED
HCC INSURANCES HOLDINGS INC
HCC
$7K 0.01%
151
– –
IMUC
869
DELISTED
ImmunoCellular Therapeutics, Ltd.
IMUC
$7K 0.01%
200
– –
JGV
870
DELISTED
NUVEEN GLOBAL EQUITY INCOME FUND
JGV
$7K 0.01%
594
+10
+2% +$142
CP icon
871
Canadian Pacific Kansas City
CP
$78.1B
$6K ﹤0.01%
150
– –
EFG icon
872
iShares MSCI EAFE Growth ETF
EFG
$16.6B
$6K ﹤0.01%
100
-2,190
-96% -$155K
FLOT icon
873
iShares Floating Rate Bond ETF
FLOT
$10.2B
$6K ﹤0.01%
125
– –
IDLV icon
874
Invesco S&P International Developed Low Volatility ETF
IDLV
$345M
$6K ﹤0.01%
200
– –
IGA
875
Voya Global Advantage and Premium Opportunity Fund
IGA
$157M
$6K ﹤0.01%
+527
New +$6.41K
33 34
35
36 37

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EL
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PGF
Pelham Global Financials London, United Kingdom $78.9M AUM 32.04% 1-Year Est. Return
SM
Saya Management New York $78.3M AUM 26.31% 1-Year Est. Return
BA
Bivin & Associates Ponca City, Oklahoma $93.1M AUM
HIH
HRS Investment Holdings New York $77.4M AUM 16.69% 1-Year Est. Return
IRF
IBM Retirement Fund Armonk, New York $72.1M AUM 12.04% 1-Year Est. Return
FA
Friess Associates Greenville, Delaware $59.9M AUM 3.42% 1-Year Est. Return
CRCM
Corbett Road Capital Management Mclean, Virginia $58.4M AUM 5.67% 1-Year Est. Return

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.