Institution Information
Reportee Signature Date Report period Total Entries Total AUM($)
B RILEY WEALTH MANAGEMENT INC 11-14-2019 09-30-2019 495 573,197,000,000
Institutional Holdings
Issuer Class Position Value Shares Portfolio Percentage (%) Previous Percentage (%) Shares Delta Shares Delta(%) Date Reported
B. Riley Wealth Management, Inc. VANGUARD GROWTH ETF 1 $25,305,000 152,180 4.41 4.11 -11,631 -7.10 09-30-2019
VANGUARD GROWTH ETF ETF Liquidated $0 0 4.07 150,137 +Inf 06-30-2019
VANGUARD VALUE ETF ETF Liquidated $0 0 3.59 192,071 +Inf 06-30-2019
B. Riley Wealth Management, Inc. VANGUARD VALUE ETF 4 $19,631,000 175,874 3.42 3.02 -1,147 -0.65 09-30-2019
B. Riley Wealth Management, Inc. VANGUARD SHORT TERM CORP BOND FD ETF 5 $18,851,000 232,580 3.29 3.05 -13,056 -5.32 09-30-2019
VANGUARD SHORT TERM CORP BOND FD ETF ETF Liquidated $0 0 3.22 232,510 +Inf 06-30-2019
B. Riley Wealth Management, Inc. APPLE INC 7 $12,806,000 57,177 2.23 1.90 -5,140 -8.25 09-30-2019
APPLE INC COM Liquidated $0 0 2.21 67,101 +Inf 06-30-2019
AMAZON COM INC COM Liquidated $0 0 1.99 6,436 +Inf 06-30-2019
PROSHARES TR PSHS CS 130/30 ETF Liquidated $0 0 1.92 161,880 +Inf 06-30-2019
B. Riley Wealth Management, Inc. PROSHARES TR PSHS CS 130/30 11 $10,809,000 152,402 1.89 1.82 -15,641 -9.31 09-30-2019
B. Riley Wealth Management, Inc. PIMCO ACTIVE BOND EXCHANGE-TRADED FUND 12 $10,677,000 98,043 1.86 1.65 -1,852 -1.85 09-30-2019
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD Liquidated $0 0 1.84 133,290 +Inf 06-30-2019
B. Riley Wealth Management, Inc. VANGUARD SCOTTSDALE FDS 14 $10,565,000 130,353 1.84 1.62 -143 -0.11 09-30-2019
B. Riley Wealth Management, Inc. AMAZON.COM INC 15 $10,478,000 6,036 1.83 1.82 -226 -3.61 09-30-2019
B. Riley Wealth Management, Inc. VANGUARD LARGE CAP 16 $9,996,000 73,321 1.74 0.00 73,119 36197.52 09-30-2019
B. Riley Wealth Management, Inc. ISHARES MSCI EAFE ETF 17 $9,967,000 152,844 1.74 1.50 4,379 2.95 09-30-2019
PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF Liquidated $0 0 1.72 94,060 +Inf 06-30-2019
WISDOMTREE BOFA MERRILL LYNCH HIGH YIELD BOND ZERO DURATION FUND ETF Liquidated $0 0 1.72 426,895 +Inf 06-30-2019
B. Riley Wealth Management, Inc. VANGUARD INDEX FDS Liquidated $0 0 1.51 72,925 +Inf 09-30-2019
B. Riley Wealth Management, Inc. WISDOMTREE BOFA MERRILL LYNCH HIGH YIELD BOND ZERO DURATION FUND 21 $9,809,000 426,304 1.71 1.61 -24,478 -5.43 09-30-2019
VANGUARD INDEX FDS LARGE CAP ETF Liquidated $0 0 1.65 73,444 +Inf 06-30-2019
ISHARES MSCI EAFE ETF ETF Liquidated $0 0 1.62 144,003 +Inf 06-30-2019
MICROSOFT CORP COM Liquidated $0 0 1.61 78,485 +Inf 06-30-2019
B. Riley Wealth Management, Inc. MNAEXIQ ETF TR IQ ARB MERGER ARBITRAGEETF 25 $8,035,000 250,717 1.40 1.29 -15,234 -5.73 09-30-2019
MNAEXIQ ETF TR IQ ARB MERGER ARBITRAGEETF ETF Liquidated $0 0 1.38 249,059 +Inf 06-30-2019
B. Riley Wealth Management, Inc. ISHARES MSCI EAFE GROWTH INDEX ETF 27 $7,563,000 93,937 1.32 1.15 1,183 1.28 09-30-2019
VANGUARD REIT INDEX ETF ETF Liquidated $0 0 1.21 80,218 +Inf 06-30-2019
B. Riley Wealth Management, Inc. PIMCO ETF TR 29 $6,886,000 67,685 1.20 1.02 2,730 4.20 09-30-2019
ISHARES MSCI EAFE GROWTH INDEX ETF ETF Liquidated $0 0 1.18 87,583 +Inf 06-30-2019
PIMCO ETF TR ENHAN SHRT MA AC Liquidated $0 0 1.13 64,371 +Inf 06-30-2019
B. Riley Wealth Management, Inc. VANGUARD REIT INDEX ETF 32 $6,485,000 69,546 1.13 1.02 -6,134 -8.11 09-30-2019
INVESCO QQQ TR ETF Liquidated $0 0 1.10 35,397 +Inf 06-30-2019
SPDR DOW JONES INDUSTRIAL ETF ETF Liquidated $0 0 1.06 23,675 +Inf 06-30-2019
B. Riley Wealth Management, Inc. ISHARES S&P 500 INDEX 35 $6,050,000 20,267 1.06 0.82 2,108 11.61 09-30-2019
B. Riley Wealth Management, Inc. HOME DEPOT 36 $5,980,000 25,774 1.04 0.83 -141 -0.54 09-30-2019
CHEVRON CORP NEW COM Liquidated $0 0 1.03 48,346 +Inf 06-30-2019
B. Riley Wealth Management, Inc. FIRST TR EXCHANGE-TRADED FD III FIRST TR PFD SECS & INCOME ETF 38 $5,806,000 294,250 1.01 0.81 23,543 8.70 09-30-2019
B. Riley Wealth Management, Inc. ISHARES RUSSELL MIDCAP GROWTH ETF 39 $5,795,000 40,997 1.01 0.88 800 1.99 09-30-2019
SPDR S&P 500 ETF ETF Liquidated $0 0 0.98 20,054 +Inf 06-30-2019
B. Riley Wealth Management, Inc. SPDR S&P 500 ETF 41 $5,582,000 18,808 0.97 0.80 959 5.37 09-30-2019
B. Riley Wealth Management, Inc. EXXON MOBIL CORP COM 42 $5,556,000 78,691 0.97 0.87 4,831 6.54 09-30-2019
ISHARES S&P 500 INDEX ETF Liquidated $0 0 0.95 19,317 +Inf 06-30-2019
ISHARES RUSSELL MIDCAP GROWTH ETF ETF Liquidated $0 0 0.92 39,079 +Inf 06-30-2019
B. Riley Wealth Management, Inc. MICROSOFT 45 $5,268,000 37,890 0.92 0.79 -419 -1.09 09-30-2019
HOME DEPOT INC COM Liquidated $0 0 0.91 27,373 +Inf 06-30-2019
B. Riley Wealth Management, Inc. VISA INC 47 $5,231,000 30,410 0.91 0.82 -201 -0.66 09-30-2019
B. Riley Wealth Management, Inc. MICROSOFT CORP 48 $5,057,000 36,373 0.88 0.75 0 0.00 09-30-2019
B. Riley Wealth Management, Inc. VANGUARD SMALL-CAP GROWTH INDEX FUND 49 $5,043,000 27,704 0.88 0.76 1,052 3.95 09-30-2019
B. Riley Wealth Management, Inc. ISHARES TR RUSSELL MIDCAP INDEX FD 50 $5,026,000 89,831 0.88 0.79 -2,313 -2.51 09-30-2019
GUGGENHEIM ETF TRUST S&P 500 EQUAL WEIGHT ETF Liquidated $0 0 0.86 47,674 +Inf 06-30-2019
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