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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
OCSL icon
176
Oaktree Specialty Lending
OCSL
$1.05B
$214K 0.16%
7,807
+1,000
+15% +$29.2K
PSX icon
177
Phillips 66
PSX
$82.9B
$214K 0.16%
2,632
-520
-16% -$43.3K
GIS icon
178
General Mills
GIS
$20.2B
$213K 0.16%
4,242
+18
+0.4% +$944
BRK.B icon
179
Berkshire Hathaway Class B
BRK.B
$1.1T
$211K 0.16%
1,532
-4,800
-76% -$639K
HD icon
180
Home Depot
HD
$337B
$209K 0.16%
2,288
-3,565
-61% -$306K
IVE icon
181
iShares S&P 500 Value ETF
IVE
$49.1B
$209K 0.16%
2,325
-635
-21% -$57.7K
RRX icon
182
Regal Rexnord
RRX
$12.5B
$209K 0.16%
3,259
– –
SMF
183
DELISTED
SALIENT MLP & ENERGY INFRASTRUCTURE FD
SMF
$208K 0.15%
6,230
– –
HYMB icon
184
State Street SPDR Nuveen ICE High Yield Municipal Bond ETF
HYMB
$3.1B
$206K 0.15%
+7,260
New +$203K
INSY
185
DELISTED
Insys Therapeutics, Inc.
INSY
$205K 0.15%
+10,600
New +$166K
MCD icon
186
McDonald's
MCD
$193B
$204K 0.15%
2,161
-2,221
-51% -$212K
CBU icon
187
Community Bank
CBU
$3.39B
$203K 0.15%
6,060
-266
-4% -$9.41K
BRG
188
DELISTED
Bluerock Residential Growth REIT, Inc.
BRG
$203K 0.15%
+15,691
New +$202K
WMB icon
189
Williams Companies
WMB
$85.8B
$202K 0.15%
3,650
+2,650
+265% +$152K
EGN
190
DELISTED
Energen
EGN
$202K 0.15%
2,800
+2,300
+460% +$184K
IWF icon
191
iShares Russell 1000 Growth ETF
IWF
$117B
$201K 0.15%
8,816
+260
+3% +$5.96K
PRU icon
192
Prudential Financial
PRU
$42.6B
$200K 0.15%
2,276
– –
XLU icon
193
State Street Utilities Select Sector SPDR ETF
XLU
$23.1B
$198K 0.15%
9,432
+1,420
+18% +$30.1K
RDI icon
194
Reading International Class A
RDI
$32.5M
$197K 0.15%
23,500
– –
SHW icon
195
Sherwin-Williams
SHW
$83.5B
$197K 0.15%
2,700
+9
+0.3% +$639
MDIV icon
196
First Trust Exchange-Traded Fund VI Multi-Asset Diversified Income Index Fund
MDIV
$431M
$196K 0.15%
9,130
– –
D icon
197
Dominion Energy
D
$62.1B
$195K 0.14%
2,830
+6
+0.2% +$414
DGAZ
198
DELISTED
VelocityShares 3x Inverse Natural Gas ETN linked to the S&P GSCI Natural Gas Index Excess Return
DGAZ
$195K 0.14%
540
-760
-58% -$318K
BSJF
199
DELISTED
GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF
BSJF
$195K 0.14%
7,398
-1,540
-17% -$41.1K
KMI icon
200
Kinder Morgan
KMI
$70.9B
$194K 0.14%
5,075
-797
-14% -$30.3K
6 7
8
9 10

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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
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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.