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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
GSS
1176
DELISTED
Golden Star Resources Ltd.
GSS
$0 ﹤0.01%
200
– –
XEC
1177
DELISTED
CIMAREX ENERGY CO
XEC
– –
-2,700
Closed -$387K
ALXN
1178
DELISTED
Alexion Pharmaceuticals
ALXN
– –
-1,890
Closed -$295K
SINA
1179
DELISTED
Sina Corp
SINA
– –
-1,125
Closed -$55K
HDS
1180
DELISTED
HD Supply Holdings, Inc.
HDS
– –
-1,000
Closed -$28K
BITA
1181
DELISTED
Bitauto Holdings Limited
BITA
– –
-250
Closed -$12K
DZSI
1182
DELISTED
DZS Inc. Common Stock
DZSI
– –
-200
Closed -$3K
AGN
1183
DELISTED
Allergan plc
AGN
– –
-493
Closed -$109K
S
1184
DELISTED
Sprint Corporation
S
$0 ﹤0.01%
78
– –
CRZO
1185
DELISTED
Carrizo Oil & Gas Inc
CRZO
– –
-2,442
Closed -$169K
BID
1186
DELISTED
Sotheby's
BID
– –
-2,860
Closed -$120K
ANDX
1187
DELISTED
Andeavor Logistics LP
ANDX
– –
-150
Closed -$11K
GM.WS.B
1188
DELISTED
General Motors Company
GM.WS.B
$0 ﹤0.01%
4
– –
AUSE
1189
DELISTED
WisdomTree Australia Dividend Fund
AUSE
– –
-100
Closed -$6K
ICON
1190
DELISTED
Iconix Brand Group, Inc.
ICON
– –
-5
Closed -$2K
NFX
1191
DELISTED
Newfield Exploration
NFX
– –
-1,500
Closed -$66K
ARDM
1192
DELISTED
Aradigm Corp Common Stock
ARDM
$0 ﹤0.01%
+68
New +$614
EEP
1193
DELISTED
Enbridge Energy Partners
EEP
– –
-350
Closed -$12K
BWP
1194
DELISTED
Boardwalk Pipeline Partners
BWP
– –
-1,000
Closed -$18K
HDNG
1195
DELISTED
Hardinge Inc
HDNG
$0 ﹤0.01%
50
– –
AGU
1196
DELISTED
Agrium
AGU
$0 ﹤0.01%
6
– –
CST
1197
DELISTED
CST Brands, Inc.
CST
$0 ﹤0.01%
24
– –
BEAV
1198
DELISTED
B/E Aerospace Inc
BEAV
– –
-69
Closed -$4K
STJ
1199
DELISTED
St Jude Medical
STJ
– –
-53
Closed -$3K
AVG
1200
DELISTED
AVG Technologies N.V.
AVG
– –
-300
Closed -$6K
46 47
48
49 50

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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.