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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
BT
1001
DELISTED
BT Group plc (ADR)
BT
$2K ﹤0.01%
88
– –
LLL
1002
DELISTED
L3 Technologies, Inc.
LLL
$2K ﹤0.01%
25
– –
FCE.A
1003
DELISTED
Forest City Realty Trust, Inc.
FCE.A
$2K ﹤0.01%
142
– –
SHLM
1004
DELISTED
Schulman (A.) Inc
SHLM
$2K ﹤0.01%
80
– –
RSO
1005
DELISTED
Resource Capital Corp.
RSO
$2K ﹤0.01%
150
– –
APLP
1006
DELISTED
Archrock Partners, L.P. Common Units representing Limited Partner Interests
APLP
$2K ﹤0.01%
75
– –
IPN
1007
DELISTED
SPDR S&P International Industrial Sector
IPN
$2K ﹤0.01%
90
– –
IPD
1008
DELISTED
SPDR S&P International Consumer Discretionary Sector
IPD
$2K ﹤0.01%
70
– –
PWE
1009
DELISTED
Penn West Energy Petroleum Ltd
PWE
$2K ﹤0.01%
328
– –
WINT
1010
DELISTED
Windtree Therapeutics Inc
WINT
$2K ﹤0.01%
91
– –
ARIA
1011
DELISTED
Ariad Pharmaceuticals Inc
ARIA
$2K ﹤0.01%
500
– –
CTF
1012
DELISTED
Nuveen Long/Short Commodity Fd
CTF
$2K ﹤0.01%
200
– –
RNF
1013
DELISTED
RENTECH NITROGEN PARTNERS, L.P. INT
RNF
$2K ﹤0.01%
200
– –
IO
1014
DELISTED
ION Geophysical Corporation
IO
$2K ﹤0.01%
67
– –
CPWR
1015
DELISTED
COMPUWARE CORP
CPWR
$2K ﹤0.01%
208
-1,354
-87% -$12.7K
EMKR
1016
DELISTED
Emcore Corp
EMKR
$2K ﹤0.01%
50
– –
PLCM
1017
DELISTED
POLYCOM INC
PLCM
$2K ﹤0.01%
200
– –
CVVT
1018
DELISTED
CHINA VALVES TECHNOLOGY INC NEW COM STK (NV)
CVVT
$2K ﹤0.01%
4,450
– –
IPS
1019
DELISTED
SPDR S&P International Consumer Staples Sector
IPS
$2K ﹤0.01%
70
– –
ACN icon
1020
Accenture
ACN
$102B
$1K ﹤0.01%
24
-120
-83% -$9.62K
ALEX
1021
DELISTED
Alexander & Baldwin
ALEX
$1K ﹤0.01%
43
– –
CNQ icon
1022
Canadian Natural Resources
CNQ
$99.4B
$1K ﹤0.01%
87
– –
DBE icon
1023
Invesco DB Energy Fund
DBE
$90.6M
$1K ﹤0.01%
70
– –
DHC
1024
Diversified Healthcare Trust
DHC
$2.15B
$1K ﹤0.01%
89
+2
+2% +$45
DHY
1025
Credit Suisse High Yield Credit Fund
DHY
$242M
$1K ﹤0.01%
605
– –
39 40
41
42 43

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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
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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.