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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
HIO
951
Western Asset High Income Opportunity Fund
HIO
$336M
$3K ﹤0.01%
602
– –
IGV icon
952
iShares Expanded Tech-Software Sector ETF
IGV
$12.7B
$3K ﹤0.01%
220
-195
-47% -$3.38K
IHI icon
953
iShares US Medical Devices ETF
IHI
$3.13B
$3K ﹤0.01%
204
– –
ITA icon
954
iShares US Aerospace & Defense ETF
ITA
$14.2B
$3K ﹤0.01%
72
– –
NDSN icon
955
Nordson
NDSN
$16.6B
$3K ﹤0.01%
41
+1
+3% +$78
PHO icon
956
Invesco Water Resources ETF
PHO
$2.01B
$3K ﹤0.01%
150
– –
PNW icon
957
Pinnacle West Capital
PNW
$12.2B
$3K ﹤0.01%
66
+1
+2% +$56
SPIB icon
958
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF
SPIB
$11.5B
$3K ﹤0.01%
90
– –
UI icon
959
Ubiquiti
UI
$33.7B
$3K ﹤0.01%
100
– –
VDC icon
960
Vanguard Consumer Staples ETF
VDC
$7.97B
$3K ﹤0.01%
34
– –
VIPS icon
961
Vipshop
VIPS
$7.37B
$3K ﹤0.01%
200
-200
-50% -$4.12K
VIV icon
962
Telefônica Brasil
VIV
$20.6B
$3K ﹤0.01%
+300
New +$6.07K
WIP icon
963
State Street SPDR FTSE International Government Inflation-Protected Bond ETF
WIP
$473M
$3K ﹤0.01%
61
– –
XRX icon
964
Xerox
XRX
$387M
$3K ﹤0.01%
108
-1,327
-92% -$46.3K
WUBA
965
DELISTED
58.com Inc
WUBA
$3K ﹤0.01%
+100
New +$4.63K
ACHN
966
DELISTED
Achillion Pharmaceuticals
ACHN
$3K ﹤0.01%
400
-1,000
-71% -$9.28K
HOS
967
DELISTED
Hornbeck Offshore Services, Inc.
HOS
$3K ﹤0.01%
95
– –
JO
968
DELISTED
iPath Bloomberg Coffee Subindex Total Return ETN due June 24, 2038
JO
$3K ﹤0.01%
100
– –
SIAL
969
DELISTED
SIGMA - ALDRICH CORP
SIAL
$3K ﹤0.01%
29
-170
-85% -$18.1K
SLXP
970
DELISTED
SALIX PHARMACEUTICALS LTD DEL
SLXP
$3K ﹤0.01%
25
-1,009
-98% -$146K
WR
971
DELISTED
Westar Energy Inc
WR
$3K ﹤0.01%
100
– –
SGY
972
DELISTED
Stone Energy
SGY
$3K ﹤0.01%
2
– –
PLD
973
DELISTED
PROLOGIS
PLD
$3K ﹤0.01%
89
– –
POM
974
DELISTED
PEPCO HOLDINGS, INC.
POM
$3K ﹤0.01%
120
+2
+2% +$54
ADI icon
975
Analog Devices
ADI
$179B
$2K ﹤0.01%
54
– –
37 38
39
40 41

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EL
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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.