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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
REN
1026
DELISTED
Resolute Energy Corporaton
REN
– –
-2,780
Closed -$13K
VLP
1027
DELISTED
Valero Energy Partners LP
VLP
– –
-500
Closed -$25K
IMUC
1028
DELISTED
ImmunoCellular Therapeutics, Ltd.
IMUC
– –
-200
Closed -$3K
MTGE
1029
DELISTED
MTGE Investment Corp. Common Stock
MTGE
– –
-1,300
Closed -$20K
CYS
1030
DELISTED
CYS Investments Inc.
CYS
– –
-800
Closed -$6K
WR
1031
DELISTED
Westar Energy Inc
WR
– –
-100
Closed -$3K
SGY
1032
DELISTED
Stone Energy
SGY
– –
-2
Closed -$1K
SSN
1033
DELISTED
Samson Oil & Gas Limited
SSN
– –
-300
Closed –
WNR
1034
DELISTED
Western Refining Inc
WNR
– –
-100
Closed -$4K
KMI.WS
1035
DELISTED
Kinder Morgan Inc
KMI.WS
– –
-179,204
Closed -$483K
MEMP
1036
DELISTED
Memorial Production Partners LP Common Units
MEMP
– –
-19,550
Closed -$290K
WWAV
1037
DELISTED
The WhiteWave Foods Company
WWAV
– –
-1,050
Closed -$51K
VNR
1038
DELISTED
Vanguard Natural Resources, LLC
VNR
– –
-3,546
Closed -$52K
SCTY
1039
DELISTED
SolarCity Corporation
SCTY
– –
-355
Closed -$19K
PLCM
1040
DELISTED
POLYCOM INC
PLCM
– –
-200
Closed -$2K
NPF
1041
DELISTED
NUVEEN PREMIER MUNI INCOME FD
NPF
– –
-1,089
Closed -$14K
NMO
1042
DELISTED
NUVEEN MUNI MARKET OPPORT FUND
NMO
– –
-300
Closed -$3K
QIHU
1043
DELISTED
QIHOO 360 TECHNOLOGY CO LTD ADS RPSTG 3 CL A SHS
QIHU
– –
-1,113
Closed -$75K
CVVT
1044
DELISTED
CHINA VALVES TECHNOLOGY INC NEW COM STK (NV)
CVVT
– –
-2,550
Closed –
NWLIA
1045
DELISTED
NATL WESTN LIFE INS CO CL A
NWLIA
– –
-400
Closed -$95K
MHR
1046
DELISTED
MAGNUM HUNTER RESOURCES CORP (DEL)
MHR
– –
-14,750
Closed -$27K
DO
1047
DELISTED
Diamond Offshore Drilling
DO
– –
-879
Closed -$22K
PKO
1048
DELISTED
Pimco Income Opportunity Fund
PKO
– –
-508
Closed -$12K
CB
1049
DELISTED
CHUBB CORPORATION
CB
– –
-134
Closed -$12K
BAL
1050
DELISTED
iPath Bloomberg Cotton Subindex Total Return ETN due June 24, 2038
BAL
– –
-200
Closed -$9K
39 40 41
42
43

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EL
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PGF
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SM
Saya Management New York $78.3M AUM 26.31% 1-Year Est. Return
BA
Bivin & Associates Ponca City, Oklahoma $93.1M AUM
HIH
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IRF
IBM Retirement Fund Armonk, New York $72.1M AUM 12.04% 1-Year Est. Return
FA
Friess Associates Greenville, Delaware $59.9M AUM 3.42% 1-Year Est. Return
CRCM
Corbett Road Capital Management Mclean, Virginia $58.4M AUM 5.67% 1-Year Est. Return

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.