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BRWM

B. Riley Wealth Management Portfolio holdings

AUM $962M
1-Year Est. Return 8.45%
This Fund
S&P 500
This Quarter Est. Return
+0.98%
1 Year Est. Return
-8.45%
3 Year Est. Return
+32.37%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$573M
AUM Growth
-$77.6M
Cap. Flow
-$13.3M
Cap. Flow %
-2.32%
Top 10 Hldgs %
26.12%
Holding
450
New
56
Increased
121
Reduced
172
Closed
56

Top Buys

Rank Stock Value
1
FTSM icon
First Trust Enhanced Short Maturity ETF
FTSM
+$2.95M
2
IMCG icon
iShares Morningstar Mid-Cap Growth ETF
IMCG
+$1.9M
3
BIL icon
State Street SPDR Bloomberg 1-3 Month T-Bill ETF
BIL
+$1.73M
4
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$1.51M
5
IHI icon
iShares US Medical Devices ETF
IHI
+$1.37M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$4.57M
2
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$2.69M
3
VUG icon
Vanguard Morningstar Growth ETF
VUG
+$2.18M
4
BRMK
Broadmark Realty Capital Inc. Common Stock
BRMK
+$1.49M
5
ARCC icon
Ares Capital
ARCC
+$1.32M

Sector Composition

Rank Sector Weight
1 Miscellaneous 63.77%
2 Technology 8.57%
3 Financials 4.75%
4 Consumer Discretionary 4.74%
5 Energy 3.74%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VCSH icon
1
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
$29.4M 5.13%
362,933
-13,199
-4% -$1.07M
VUG icon
2
Vanguard Morningstar Growth ETF
VUG
$228B
$25.3M 4.41%
913,080
-78,654
-8% -$2.18M
VTV icon
3
Vanguard Morningstar Value ETF
VTV
$194B
$19.6M 3.42%
175,874
-5,724
-3% -$633K
AAPL icon
4
Apple
AAPL
$4.67T
$12.8M 2.23%
228,708
-20,560
-8% -$1.07M
CSM icon
5
ProShares Large Cap Core Plus
CSM
$531M
$10.8M 1.89%
304,804
-31,282
-9% -$1.1M
BOND icon
6
PIMCO Active Bond Exchange-Traded Fund
BOND
$8.6B
$10.7M 1.86%
98,043
-1,852
-2% -$201K
AMZN icon
7
Amazon
AMZN
$2.79T
$10.7M 1.86%
122,880
-4,520
-4% -$419K
MSFT icon
8
Microsoft
MSFT
$3.71T
$10.3M 1.8%
74,263
-419
-0.6% -$57.6K
MINT icon
9
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$17.5B
$10.1M 1.77%
99,461
+4,292
+5% +$436K
VV icon
10
Vanguard Morningstar Large-Cap ETF
VV
$54.5B
$10M 1.74%
73,321
+194
+0.3% +$26.3K
EFA icon
11
iShares MSCI EAFE ETF
EFA
$80.1B
$9.97M 1.74%
152,844
-11,587
-7% -$747K
HYZD icon
12
WisdomTree Trust WisdomTree Interest Rate Hedged High Yield Bond Fund
HYZD
$296M
$9.81M 1.71%
426,304
-24,478
-5% -$567K
IWR icon
13
iShares Russell Mid-Cap ETF
IWR
$56.9B
$8.5M 1.48%
151,923
-2,292
-1% -$128K
MNA icon
14
NYLIM Merger Arbitrage ETF
MNA
$257M
$8.04M 1.4%
250,717
-15,234
-6% -$485K
EFG icon
15
iShares MSCI EAFE Growth ETF
EFG
$17B
$7.56M 1.32%
93,937
+1,183
+1% +$94.6K
SPY icon
16
State Street SPDR S&P 500 ETF Trust
SPY
$814B
$7.39M 1.29%
24,892
+958
+4% +$283K
VNQ icon
17
Vanguard Real Estate ETF
VNQ
$37.9B
$6.49M 1.13%
69,546
-6,134
-8% -$557K
HD icon
18
Home Depot
HD
$320B
$6.3M 1.1%
27,134
-141
-0.5% -$30.8K
IVV icon
19
iShares Core S&P 500 ETF
IVV
$875B
$6.05M 1.06%
20,267
+2,108
+12% +$627K
IWP icon
20
iShares Russell Mid-Cap Growth ETF
IWP
$19.6B
$5.88M 1.03%
83,274
+1,826
+2% +$131K
FPE icon
21
First Trust Preferred Securities and Income ETF
FPE
$6.28B
$5.81M 1.01%
294,250
+23,543
+9% +$462K
CVX icon
22
Chevron
CVX
$409B
$5.69M 0.99%
47,944
+430
+0.9% +$52.2K
XOM icon
23
ExxonMobil
XOM
$656B
$5.66M 0.99%
80,224
+6,155
+8% +$445K
V icon
24
Visa
V
$700B
$5.23M 0.91%
30,410
-201
-0.7% -$35.8K
VBK icon
25
Vanguard Morningstar Small-Cap Growth ETF
VBK
$23.7B
$5.04M 0.88%
27,704
-86
-0.3% -$16K
1
2 3 4 5

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FWM
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AWM
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B. Riley Wealth Management's Q3 2019 Portfolio in Review

As of Q3 2019, B. Riley Wealth Management held 450 positions worth $573M, down 12% from $651M the previous quarter. Its ten largest holdings account for 26% of the portfolio.

B. Riley Wealth Management's Q3 2019 filing shows 56 new, 121 increased, 172 reduced and 56 closed positions. Its largest new stake was iShares Morningstar Mid-Cap Growth ETF: 45,588 shares worth $1.85M. The largest sale was Invesco QQQ Trust, an estimated $4.57M.

By sector, the portfolio is most concentrated in Miscellaneous at 64% of assets, down from 66% a quarter earlier, followed by Technology and Financials.

  • B. Riley Wealth Management's largest Q3 2019 buy was iShares Morningstar Mid-Cap Growth ETF: 45,588 shares worth $1.85M.
  • B. Riley Wealth Management added most to First Trust Enhanced Short Maturity ETF in Q3 2019, an estimated $2.95M increase.
  • B. Riley Wealth Management's biggest Q3 2019 reduction was Invesco QQQ Trust, cutting an estimated $4.57M.
  • B. Riley Wealth Management fully exited Broadmark Realty Capital Inc. Common Stock in Q3 2019, selling an estimated $1.49M.
  • B. Riley Wealth Management's ten largest holdings make up 26% of its $573M portfolio in Q3 2019.
  • B. Riley Wealth Management opened 56 new positions and closed 56 in Q3 2019.
  • B. Riley Wealth Management's portfolio value fell 12% quarter-over-quarter to $573M.

Based on B. Riley Wealth Management's 13F filing for Q3 2019, filed 15 Nov 2019.