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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
DFE icon
1076
WisdomTree Europe SmallCap Dividend Fund
DFE
$166M
– –
-10,838
Closed -$654K
DNOW icon
1077
DNOW Inc
DNOW
$2.58B
$0 ﹤0.01%
+16
New +$524
DNP icon
1078
DNP Select Income Fund
DNP
$4.05B
– –
-2,500
Closed -$26K
DUG icon
1079
ProShares UltraShort Energy
DUG
$20.6M
– –
-23
Closed -$16K
EML icon
1080
Eastern Company
EML
$143M
$0 ﹤0.01%
50
– –
ENTA icon
1081
Enanta Pharmaceuticals
ENTA
$366M
– –
-2,987
Closed -$128K
ERY icon
1082
Direxion Daily Energy Bear 2X ETF
ERY
$39.1M
– –
-53
Closed -$33K
EVR icon
1083
Evercore
EVR
$12.4B
– –
-250
Closed -$14K
EWD icon
1084
iShares MSCI Sweden ETF
EWD
$546M
– –
-455
Closed -$16K
EWI icon
1085
iShares MSCI Italy ETF
EWI
$1.01B
– –
-449
Closed -$15K
EWQ icon
1086
iShares MSCI France ETF
EWQ
$335M
– –
-461
Closed -$13K
EWS icon
1087
iShares MSCI Singapore ETF
EWS
$1.04B
$0 ﹤0.01%
15
– –
EZU icon
1088
iShare MSCI Eurozone ETF
EZU
$9.64B
– –
-8,312
Closed -$351K
FHN icon
1089
First Horizon
FHN
$12.2B
$0 ﹤0.01%
7
– –
FNK icon
1090
First Trust Mid Cap Value AlphaDEX Fund
FNK
$228M
– –
-2,304
Closed -$73K
FTGC icon
1091
First Trust Global Tactical Commodity Strategy Fund
FTGC
$2.97B
– –
-2,340
Closed -$79K
GFI icon
1092
Gold Fields
GFI
$29B
$0 ﹤0.01%
200
– –
GSAT icon
1093
Globalstar
GSAT
$10.7B
$0 ﹤0.01%
2
– –
HOUS
1094
DELISTED
Anywhere Real Estate
HOUS
– –
-400
Closed -$15K
PPLI
1095
People Inc
PPLI
$3.09B
– –
-560
Closed -$6K
IBB icon
1096
iShares Biotechnology ETF
IBB
$9.34B
– –
-3,714
Closed -$318K
ICE icon
1097
Intercontinental Exchange
ICE
$85.6B
– –
-4,970
Closed -$187K
IDU icon
1098
iShares US Utilities ETF
IDU
$1.35B
– –
-36
Closed -$2K
IEV icon
1099
iShares Europe ETF
IEV
$1.67B
– –
-5,305
Closed -$257K
ILF icon
1100
iShares Latin America 40 ETF
ILF
$3.85B
– –
-102
Closed -$3K
42 43
44
45 46

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EL
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PGF
Pelham Global Financials London, United Kingdom $78.9M AUM 32.04% 1-Year Est. Return
SM
Saya Management New York $78.3M AUM 26.31% 1-Year Est. Return
BA
Bivin & Associates Ponca City, Oklahoma $93.1M AUM
HIH
HRS Investment Holdings New York $77.4M AUM 16.69% 1-Year Est. Return
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 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.