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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
LINE
976
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
– –
-2,400
Closed -$21K
SSE
977
DELISTED
SEVENTY SEVEN ENERGY INC COM
SSE
– –
-45
Closed –
ADT
978
DELISTED
ADT Corp
ADT
– –
-200
Closed -$6K
NXZ
979
DELISTED
NUVEEN DIV ADV MUNI FD-2
NXZ
– –
-1,088
Closed -$14K
JMI
980
DELISTED
JAVELIN MTG INVESTMENT CORP COM
JMI
– –
-526
Closed -$3K
GMCR
981
DELISTED
KEURIG GREEN MTN INC
GMCR
– –
-100
Closed -$7K
PCL
982
DELISTED
PLUM CREEK TIMBER CO (REIT)
PCL
– –
-250
Closed -$10K
NGLS
983
DELISTED
TARGA RESOURCES PARTNERS LP COM UTS REPTG LTD PARTERSHIP INT
NGLS
– –
-800
Closed -$30K
BRCM
984
DELISTED
BROADCOM CORP CL-A
BRCM
– –
-2,500
Closed -$128K
NES
985
DELISTED
NUVERRA ENVIRONMENTAL INC NEW COM STK (DE)
NES
– –
-1,550
Closed -$9K
RBY
986
DELISTED
RUBICON MENERALS CORP (F)
RBY
– –
-250
Closed –
SD
987
DELISTED
SANDRIDGE ENERGY, INC.
SD
– –
-1,050
Closed –
DOM
988
DELISTED
DOMINION RES BLACK WARRIOR TR
DOM
– –
-1,375
Closed -$4K
BSJF
989
DELISTED
GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF
BSJF
– –
-371
Closed -$9K
ISH
990
DELISTED
INTL SHIPHOLDING CORP
ISH
– –
-2,000
Closed -$12K
CSG
991
DELISTED
CHAMBERS STR PPTYS COM
CSG
– –
-7,300
Closed -$58K
WX
992
DELISTED
WUXI PHARMATECH, CAYMAN INC REPSTG 8 ORD SHS
WX
– –
-450
Closed -$19K
SIAL
993
DELISTED
SIGMA - ALDRICH CORP
SIAL
– –
-29
Closed -$4K
REMY
994
DELISTED
REMY INTL INC NEW COMMON
REMY
– –
-4,000
Closed -$88K
EROC
995
DELISTED
EAGLE ROCK ENERGY PARTNERS, L.P. COM UNITS RPTNG LTD PRTNR
EROC
– –
-3,000
Closed -$7K
VTG
996
DELISTED
VANTAGE DRILLING COMPANY ORD SHS (KY)
VTG
– –
-19,000
Closed -$3K
MEA
997
DELISTED
METALICO INC
MEA
– –
-1,000
Closed –
NSLP
998
DELISTED
NEW SOURCE ENERGY PARTNERS L P COM UNIT REPST LTD
NSLP
– –
-1,060
Closed -$4K
BRLI
999
DELISTED
BIO-REFERENCE LABS INC-NEW-
BRLI
– –
-2,000
Closed -$82K
DTV
1000
DELISTED
DIRECTV COM STK (DE)
DTV
– –
-700
Closed -$64K
38 39
40
41 42

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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.