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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
AHT.PRE
1201
DELISTED
ASHFORD HOSPITALITY TR INC 9.00% CUM PFD SER E
AHT.PRE
– –
-500
Closed -$13K
GM.WS.A
1202
DELISTED
GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016)
GM.WS.A
$0 ﹤0.01%
4
– –
NTI
1203
DELISTED
NORTHERN TIER ENERGY LP CLASS A
NTI
– –
-1,000
Closed -$26K
YOKU
1204
DELISTED
YOUKU TUDOU INC.(CAYMAN ISLS)
YOKU
– –
-600
Closed -$14K
NGLS
1205
DELISTED
TARGA RESOURCES PARTNERS LP COM UTS REPTG LTD PARTERSHIP INT
NGLS
– –
-490
Closed -$35K
RBY
1206
DELISTED
RUBICON MENERALS CORP (F)
RBY
$0 ﹤0.01%
250
– –
MCP
1207
DELISTED
MOLYCORP INC COM STK
MCP
$0 ﹤0.01%
100
-167
-63% -$313
RFMD
1208
DELISTED
RF MICRO DEVICES INC
RFMD
– –
-285
Closed -$2K
BSJE
1209
DELISTED
GUGGENGEIM BULLETSHARES 2014 HIGH YIELD CORPORATE BOND ETF
BSJE
– –
-6,980
Closed -$184K
EPB
1210
DELISTED
EL PASO PIPELINE PARTNERS, L.P. COM UNITS REPSTG LTD PART
EPB
– –
-700
Closed -$25K
DNDN
1211
DELISTED
DENDREON CORPORATION
DNDN
– –
-500
Closed -$1K
ITMN
1212
DELISTED
INTERMUNE INC
ITMN
– –
-2,500
Closed -$110K
HSH
1213
DELISTED
HILLSHIRE BRANDS CO
HSH
– –
-40
Closed -$2K
QBC
1214
DELISTED
CUBIC ENERGY INC
QBC
$0 ﹤0.01%
2,000
– –
VLNC
1215
DELISTED
VALENCE TECHNOLOGY INC
VLNC
$0 ﹤0.01%
10,000
– –
NZT
1216
DELISTED
TELECOM CORP NEW ZEALAND ADS (EACH REPRESENTING 5 ORD SHS)
NZT
– –
-133
Closed -$1K
TELK
1217
DELISTED
TELIK, INC
TELK
– –
-347
Closed –
ESV
1218
DELISTED
Ensco Rowan plc
ESV
– –
-500
Closed -$111K
MNE
1219
DELISTED
Blackrock MUNI New York Intermediate Duration Fund, Inc.
MNE
– –
-756
Closed -$10K
EBIX
1220
DELISTED
Ebix Inc
EBIX
– –
-754
Closed -$10K
WLL
1221
DELISTED
Whiting Petroleum Corporation
WLL
– –
-8
Closed -$181K
PSXP
1222
DELISTED
PHILLIPS 66 PARTNERS LP
PSXP
– –
-400
Closed -$30K
UFS
1223
DELISTED
DOMTAR CORPORATION (New)
UFS
– –
-600
Closed -$25K
VLP
1224
DELISTED
Valero Energy Partners LP
VLP
– –
-3,600
Closed -$181K
SSN
1225
DELISTED
Samson Oil & Gas Limited
SSN
$0 ﹤0.01%
300
– –
46 47 48
49
50

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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.