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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
NEM icon
1126
Newmont
NEM
$98.7B
$0 ﹤0.01%
43
– –
NRK icon
1127
Nuveen New York AMT-Free Quality Municipal Income Fund
NRK
$901M
– –
-3,042
Closed -$39K
NXPI icon
1128
NXP Semiconductors
NXPI
$57.8B
– –
-3,256
Closed -$215K
OGS icon
1129
ONE Gas
OGS
$4.87B
$0 ﹤0.01%
25
– –
OXSQ icon
1130
Oxford Square Capital
OXSQ
$163M
$0 ﹤0.01%
16
-2,784
-99% -$26.8K
PARA
1131
DELISTED
Paramount Global Class B
PARA
– –
-43
Closed -$2K
PBA icon
1132
Pembina Pipeline
PBA
$28.4B
– –
-100
Closed -$4K
PBE icon
1133
Invesco Biotechnology & Genome ETF
PBE
$281M
– –
-610
Closed -$26K
PBYI icon
1134
Puma Biotechnology
PBYI
$404M
– –
-1,238
Closed -$81K
PRN icon
1135
Invesco Dorsey Wright Industrials Momentum ETF
PRN
$416M
$0 ﹤0.01%
19
-5,775
-100% -$272K
PST icon
1136
ProShares Trust UltraShort Lehman 7-10 Year Treasury
PST
$10.6M
– –
-2,305
Closed -$62K
PUI icon
1137
Invesco Dorsey Wright Utilities Momentum ETF
PUI
$54.7M
$0 ﹤0.01%
42
– –
RCL icon
1138
Royal Caribbean
RCL
$85.1B
– –
-35
Closed -$1K
ROST icon
1139
Ross Stores
ROST
$80.5B
– –
-4,618
Closed -$152K
RY icon
1140
Royal Bank of Canada
RY
$291B
$0 ﹤0.01%
9
– –
SAM icon
1141
Boston Beer
SAM
$1.91B
– –
-50
Closed -$11K
SBSW icon
1142
Sibanye-Stillwater
SBSW
$6.26B
$0 ﹤0.01%
53
– –
SCHW
1143
Charles Schwab
SCHW
$183B
– –
-97
Closed -$2K
SLRC icon
1144
SLR Investment Corp
SLRC
$686M
– –
-1,500
Closed -$31K
SOXX icon
1145
iShares Semiconductor ETF
SOXX
$41.7B
– –
-450
Closed -$12K
SPG icon
1146
Simon Property Group
SPG
$74.4B
– –
-1,349
Closed -$224K
SSO icon
1147
ProShares Ultra S&P500
SSO
$7.87B
– –
-2,064
Closed -$14K
SSYS icon
1148
Stratasys
SSYS
$679M
– –
-50
Closed -$5K
STWD icon
1149
Starwood Property Trust
STWD
$5.92B
– –
-100
Closed -$2K
STZ icon
1150
Constellation Brands
STZ
$22.2B
– –
-225
Closed -$19K
44 45
46
47 48

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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
IBM Retirement Fund Armonk, New York $72.1M AUM 12.04% 1-Year Est. Return
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.