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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
+2.95%
1 Year Est. Return
+3.46%
3 Year Est. Return
+49.59%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$122M
AUM Growth
-$12.4M
Cap. Flow
-$12M
Cap. Flow %
-9.78%
Top 10 Hldgs %
15.89%
Holding
1,192
New
89
Increased
238
Reduced
283
Closed
136

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$1.29M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$1.17M
3
BA icon
Boeing
BA
+$1M
4
XLF icon
State Street Financial Select Sector SPDR ETF
XLF
+$943K
5
FV icon
First Trust Dorsey Wright Focus 5 ETF
FV
+$821K

Top Sells

Rank Stock Value
1
FXD icon
First Trust Consumer Discretionary AlphaDEX Fund
FXD
+$1.47M
2
FXZ icon
First Trust Materials AlphaDEX Fund
FXZ
+$1.31M
3
FXH icon
First Trust Health Care AlphaDEX Fund
FXH
+$1.1M
4
LNC icon
Lincoln National
LNC
+$903K
5
DAL icon
Delta Air Lines
DAL
+$897K

Sector Composition

Rank Sector Weight
1 Energy 9.85%
2 Technology 7.98%
3 Industrials 7.77%
4 Financials 6.97%
5 Healthcare 6.08%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JMI
1151
DELISTED
JAVELIN MTG INVESTMENT CORP COM
JMI
– –
-400
Closed -$4K
IO
1152
DELISTED
ION Geophysical Corporation
IO
– –
-67
Closed -$2K
RBY
1153
DELISTED
RUBICON MENERALS CORP (F)
RBY
$0 ﹤0.01%
250
– –
WHZ
1154
DELISTED
WHITING USA TR II TR UNIT (DE)
WHZ
– –
-2,300
Closed -$28K
LRE
1155
DELISTED
LRR ENERGY LP
LRE
– –
-3,600
Closed -$64K
MEA
1156
DELISTED
METALICO INC
MEA
$0 ﹤0.01%
1,000
– –
MILL
1157
DELISTED
MILLER ENERGY RESOURCES, INC COM STK
MILL
– –
-1,000
Closed -$4K
ROSE
1158
DELISTED
ROSETTA RESOURCES INC
ROSE
– –
-3,300
Closed -$147K
MCP
1159
DELISTED
MOLYCORP INC COM STK
MCP
$0 ﹤0.01%
100
– –
RGP
1160
DELISTED
REGENCY ENERGY PARTNERS LP COMMON UTS REP LIMITED PART INTS
RGP
– –
-455
Closed -$14K
CPWR
1161
DELISTED
COMPUWARE CORP
CPWR
– –
-208
Closed -$2K
KOG
1162
DELISTED
KODIAK OIL & GAS CORP
KOG
– –
-3,500
Closed -$47K
KMP
1163
DELISTED
KINDER MORGAN ENER PNTRS L.P.
KMP
– –
-4,301
Closed -$401K
QRE
1164
DELISTED
QR ENERGY LP UNIT LTD PARTNERSHIP INT (DE)
QRE
– –
-18,684
Closed -$362K
SMF
1165
DELISTED
SALIENT MLP & ENERGY INFRASTRUCTURE FD
SMF
– –
-6,230
Closed -$208K
GTAT
1166
DELISTED
GT ADVANCED TECHNOLOGIES INC COM STK (DE)
GTAT
$0 ﹤0.01%
600
-6,000
-91% -$21.3K
AMZG
1167
DELISTED
AMERICAN EAGLE ENERGY CORP NEW COM STK (NV)
AMZG
$0 ﹤0.01%
1,000
-4,000
-80% -$6.33K
QBC
1168
DELISTED
CUBIC ENERGY INC
QBC
$0 ﹤0.01%
2,000
– –
VLNC
1169
DELISTED
VALENCE TECHNOLOGY INC
VLNC
$0 ﹤0.01%
10,000
– –
RAS
1170
DELISTED
RAIT Financial Trust
RAS
– –
-2,200
Closed -$16K
JRO
1171
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
– –
-751
Closed -$8.43K
SBNY
1172
DELISTED
Signature Bank
SBNY
– –
-3,300
Closed -$369K
CMO
1173
DELISTED
Capstead Mortgage Corp.
CMO
– –
-1,000
Closed -$12K
SDR
1174
DELISTED
SANDRIDGE MISSISSIPPIAN TRUST II
SDR
$0 ﹤0.01%
180
-3,000
-94% -$15.2K
TNH
1175
DELISTED
Terra Nitrogen
TNH
– –
-20
Closed -$4K
44 45 46
47
48

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HIH
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FA
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CRCM
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B. Riley Wealth Management's Q4 2014 Portfolio in Review

As of Q4 2014, B. Riley Wealth Management held 1,192 positions worth $122M, down 9.2% from $135M the previous quarter. Its ten largest holdings account for 16% of the portfolio.

B. Riley Wealth Management withdrew a net $12M in Q4 2014, closing 136 positions and reducing 283 holdings. Its most notable exit was High Yield ETF, an estimated $608K position sold in full.

By sector, the portfolio is most concentrated in Energy at 9.8% of assets, down from 13% a quarter earlier, followed by Technology and Industrials.

Against the trend, B. Riley Wealth Management opened a new position in Amedisys worth $789K.

  • B. Riley Wealth Management's largest Q4 2014 buy was Amedisys: 26,900 shares worth $789K.
  • B. Riley Wealth Management added most to Apple in Q4 2014, an estimated $1.29M increase.
  • B. Riley Wealth Management's biggest Q4 2014 reduction was First Trust Consumer Discretionary AlphaDEX Fund, cutting an estimated $1.47M.
  • B. Riley Wealth Management fully exited High Yield ETF in Q4 2014, selling an estimated $608K.
  • B. Riley Wealth Management's ten largest holdings make up 16% of its $122M portfolio in Q4 2014.
  • B. Riley Wealth Management opened 89 new positions and closed 136 in Q4 2014.
  • B. Riley Wealth Management's portfolio value fell 9.2% quarter-over-quarter to $122M.

Based on B. Riley Wealth Management's 13F filing for Q4 2014, filed 28 Jan 2015.