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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
KRFT
1001
DELISTED
KRAFT FOODS GROUP INC COM STK (VA)
KRFT
– –
-757
Closed -$64K
RKT
1002
DELISTED
ROCK-TENN COMPANY CL-A
RKT
– –
-200
Closed -$12K
MCP
1003
DELISTED
MOLYCORP INC COM STK
MCP
– –
-100
Closed –
BPZ
1004
DELISTED
BPZ RESOURCES INC COM STK
BPZ
– –
-3,000
Closed –
WPZ
1005
DELISTED
Williams Partners L.P.
WPZ
– –
-2,676
Closed -$129K
GTAT
1006
DELISTED
GT ADVANCED TECHNOLOGIES INC COM STK (DE)
GTAT
– –
-600
Closed –
AMZG
1007
DELISTED
AMERICAN EAGLE ENERGY CORP NEW COM STK (NV)
AMZG
– –
-1,000
Closed –
QBC
1008
DELISTED
CUBIC ENERGY INC
QBC
– –
-2,000
Closed –
VLNC
1009
DELISTED
VALENCE TECHNOLOGY INC
VLNC
– –
-10,000
Closed –
FHY
1010
DELISTED
First Trust Strategic High
FHY
– –
-432
Closed -$5K
AWH
1011
DELISTED
Allied World Assurance Co Hld Lt
AWH
– –
-250
Closed -$10K
EXXI
1012
DELISTED
ENERGY XXI LTD COM SHS
EXXI
– –
-400
Closed -$1K
TYC
1013
DELISTED
TYCO INTL PLC COM SHS (IRL)
TYC
– –
-92
Closed -$3K
ATVI
1014
DELISTED
Activision Blizzard
ATVI
– –
-175
Closed -$4K
DISH
1015
DELISTED
DISH Network Corp.
DISH
– –
-200
Closed -$13K
EBIX
1016
DELISTED
Ebix Inc
EBIX
– –
-1,000
Closed -$32K
WLL
1017
DELISTED
Whiting Petroleum Corporation
WLL
– –
-8
Closed -$77K
CELP
1018
DELISTED
Cypress Environmental Partners, L.P.
CELP
– –
-2,472
Closed -$40K
PSXP
1019
DELISTED
PHILLIPS 66 PARTNERS LP
PSXP
– –
-500
Closed -$36K
BBL
1020
DELISTED
BHP Group Plc American Depositary Shares (Each representing two Ordinary Shares)
BBL
– –
-300
Closed -$11K
UN
1021
DELISTED
Unilever NV New York Registry Shares
UN
– –
-2,162
Closed -$90K
FTR
1022
DELISTED
Frontier Communications Corp.
FTR
– –
-409
Closed -$30K
SDR
1023
DELISTED
SANDRIDGE MISSISSIPPIAN TRUST II
SDR
– –
-180
Closed –
GG
1024
DELISTED
Goldcorp Inc
GG
– –
-306
Closed -$4K
IMDZ
1025
DELISTED
Immune Design Corp.
IMDZ
– –
-312
Closed -$6K
39 40
41
42 43

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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 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.