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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
MCEP
851
DELISTED
Mid-Con Energy Partners, LP
MCEP
– –
-251
Closed -$25K
PE
852
DELISTED
PARSLEY ENERGY INC
PE
– –
-2,100
Closed -$36K
WPX
853
DELISTED
WPX Energy, Inc.
WPX
– –
-99
Closed -$1K
HDS
854
DELISTED
HD Supply Holdings, Inc.
HDS
– –
-1,412
Closed -$49K
JCAP
855
DELISTED
Jernigan Capital, Inc.
JCAP
– –
-1,200
Closed -$24K
FHK
856
DELISTED
First Trust Hong Kong AlphaDEX Fund
FHK
– –
-415
Closed -$16K
IMMU
857
DELISTED
Immunomedics Inc
IMMU
– –
-4,070
Closed -$16K
KNOW
858
DELISTED
Direxion All Cap Insider Sentiment Shares
KNOW
– –
-1,180
Closed -$41K
MNK
859
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
– –
-417
Closed -$49K
NBL
860
DELISTED
Noble Energy, Inc.
NBL
– –
-400
Closed -$17K
PER
861
DELISTED
SANDRIDGE PERMIAN TRUST
PER
– –
-2,620
Closed -$19K
LOGM
862
DELISTED
LogMein, Inc.
LOGM
– –
-100
Closed -$6K
LM
863
DELISTED
Legg Mason, Inc.
LM
– –
-933
Closed -$48K
HCR
864
DELISTED
Hi-Crush Inc. Common Stock
HCR
– –
-5,020
Closed -$154K
CHK
865
DELISTED
Chesapeake Energy Corporation
CHK
– –
-5
Closed -$11K
CHK.PRD
866
DELISTED
Chesapeake Energy Corp. 4.5% Cum. Cnvrtbl. Prfrd. Stock
CHK.PRD
– –
-400
Closed -$29K
AXE
867
DELISTED
Anixter International Inc
AXE
– –
-500
Closed -$32K
SDRL
868
DELISTED
Seadrill Limited Common Stock
SDRL
– –
-8
Closed -$23K
EQM
869
DELISTED
EQM Midstream Partners, LP
EQM
– –
-400
Closed -$32K
SRF
870
DELISTED
THE CUSHING ROYALTY & INCOME FUND
SRF
– –
-285
Closed -$6K
AKRX
871
DELISTED
Akorn Inc
AKRX
– –
-2,600
Closed -$113K
S
872
DELISTED
Sprint Corporation
S
– –
-78
Closed –
INF
873
DELISTED
BROOKFIELD GLOBAL LISTED INFRASTRUCTURE INCOME FUND INC.
INF
– –
-200
Closed -$3K
PIR
874
DELISTED
Pier 1 Imports, Inc.
PIR
– –
-7
Closed -$1K
CRCM
875
DELISTED
CARE.COM, INC.
CRCM
– –
-4,300
Closed -$25K
33 34
35
36 37

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EL
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PGF
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SM
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BA
Bivin & Associates Ponca City, Oklahoma $93.1M AUM
HIH
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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 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.