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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
WIN
926
DELISTED
Windstream Holdings Inc
WIN
– –
-50
Closed -$1K
EVEP
927
DELISTED
EV Energy Partners, L.P.
EVEP
– –
-125
Closed -$1K
COW
928
DELISTED
iPath Bloomberg Livestock Subindex Total Return ETN due October 22, 2037
COW
– –
-2,030
Closed -$53K
BBG
929
DELISTED
Bill Barrett Corp
BBG
– –
-3,950
Closed -$33K
CASC
930
DELISTED
Cascadian Therapeutics, Inc.
CASC
– –
-833
Closed -$18K
BWLD
931
DELISTED
Buffalo Wild Wings, Inc.
BWLD
– –
-400
Closed -$62K
POT
932
DELISTED
Potash Corp Of Saskatchewan
POT
– –
-538
Closed -$16K
AGU
933
DELISTED
Agrium
AGU
– –
-483
Closed -$51K
BSJH
934
DELISTED
Guggenheim BulletShares 2017 High Yield Corporate Bond ETF
BSJH
– –
-370
Closed -$9K
UGAZ
935
DELISTED
VelocityShares 3x Long Natural Gas ETN linked to the S&P GSCI Natural Gas Index ER due February 9, 2
UGAZ
– –
-6
Closed -$170K
RICE
936
DELISTED
Rice Energy Inc.
RICE
– –
-450
Closed -$9K
CEMP
937
DELISTED
Cempra, Inc.
CEMP
– –
-2,500
Closed -$85K
LVLT
938
DELISTED
Level 3 Communications Inc
LVLT
– –
-900
Closed -$47K
KITE
939
DELISTED
Kite Pharma, Inc.
KITE
– –
-142
Closed -$8K
CAB
940
DELISTED
Cabela's Inc
CAB
– –
-3,750
Closed -$187K
VTTI
941
DELISTED
VTTI Energy Partners LP
VTTI
– –
-1,400
Closed -$35K
MACK
942
DELISTED
Merrimack Pharmaceuticals, Inc.
MACK
– –
-64
Closed -$6K
MBLY
943
DELISTED
Mobileye N.V.
MBLY
– –
-2,500
Closed -$132K
WFM
944
DELISTED
Whole Foods Market Inc
WFM
– –
-12,752
Closed -$502K
RAI
945
DELISTED
Reynolds American Inc
RAI
– –
-868
Closed -$32K
WPT
946
DELISTED
World Point Terminals, LP
WPT
– –
-500
Closed -$8K
OKS
947
DELISTED
Oneok Partners LP
OKS
– –
-4,000
Closed -$136K
PWE
948
DELISTED
Penn West Energy Petroleum Ltd
PWE
– –
-328
Closed –
SALE
949
DELISTED
RetailMeNot, Inc. Series 1
SALE
– –
-500
Closed -$8K
WINT
950
DELISTED
Windtree Therapeutics Inc
WINT
– –
-91
Closed –
36 37
38
39 40

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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.