Dark
Light
System
Institutional Investment Manager
B. Riley Wealth Advisors, Inc.
B. Riley Wealth Advisors, Inc. (CIK: 0001464811) incorporated in Washington, located at 40 S. Main St., Memphis, TN. Institutional holdings reported to the SEC.
Institutional Holdings (2014Q3)
Original 13F HR (0000910472-14-005123) filed in 2014.11.14
#
Name
Shares
Value ($)
%
Options
Notes
1 APPLE COMPUTER INC 102,550 10,016 3.67%
2 PROCTER AND GAMBLE CO 65,914 5,520 2.02%
3 AT&T INC 120,552 4,284 1.57%
4 JNL/WMC Balanced 103,413 4,088 1.50%
5 JOHNSON & JOHNSON 37,560 4,003 1.47%
6 ISHARES TR 28,743 3,930 1.44%
7 GUARANTEED ACCOUNT - 1 YR 3,752,115 3,752 1.38%
8 MANNKIND CORP. 619,440 3,661 1.34%
9 BERKSHIRE HATHAWAY INC DE CL B NEW 25,172 3,477 1.27%
10 JNL/Neuberger Strat Income 324,067 3,443 1.26%
11 OPPENHEIMER SR FLOATING RATE C 413,644 3,425 1.26%
12 MICROSOFT CORP 69,705 3,311 1.21%
13 CLAYMORE EXCHANGE TRD FD TR 110,350 2,945 1.08%
14 VERIZON COMMUNICATIONS INC 56,689 2,833 1.04%
15 PFIZER INC 90,402 2,674 0.98%
16 ALTRIA GROUP INC 57,535 2,643 0.97%
17 JNL/GS Core Plus Bond 100,535 2,585 0.95%
18 JNL/PPM America Fl Rate Income 235,316 2,550 0.94%
19 SPDR S&P 600 SMALL CAP GROWTH ETF 12,208 2,077 0.76%
20 MERCK & CO INC 34,264 2,031 0.74%
21 ISHARES TR 52,678 1,985 0.73%
22 John Hancock Funds II Global Absolute A 172,589 1,971 0.72%
23 JNL/WMC Balanced Fund 51,390 1,954 0.72%
24 SPDR S&P 500 ETF TR 28,970 1,924 0.71%
25 MFS INTERMEDIATE INCOME TRUST SH BEN INT 358,056 1,794 0.66%
26 JPMORGAN CHASE & CO 29,580 1,782 0.65%
27 ISHARES TR 15,757 1,774 0.65%
28 CONOCOPHILLIPS 22,367 1,712 0.63%
29 JNL/PPM America High Yld Bond 83,549 1,697 0.62%
30 JNL/Neuberger Strat Income 156,620 1,656 0.61%
31 PHILIP MORRIS INTL INC 19,728 1,645 0.60%
32 SSGA ACTIVE ETF TR 33,256 1,634 0.60%
33 VANGUARD WORLD FDS 18,566 1,621 0.59%
34 BRISTOL MYERS SQUIBB CO 30,549 1,563 0.57%
35 FIRST TR EXCHANGE TRADED FD 25,613 1,560 0.57%
36 ISHARES TR 30,365 1,552 0.57%
37 ISHARES TR 13,897 1,520 0.56%
38 Hotchkis & Wiley Capital Income A 117,293 1,517 0.56%
39 LILLY ELI & CO 22,939 1,487 0.55%
40 CISCO SYS INC 58,977 1,484 0.54%
41 MOLYCORP INC (MCP) - 83.3333 c 4,200,000 1,470 0.54%
42 BANK AMERICA CORP 86,047 1,432 0.53%
43 JNL/S&P Intrinsic Val 67,588 1,417 0.52%
44 FIRST TR EXCHANGE-TRADED FD 15,159 1,391 0.51%
45 PIMCO INCOME STRATEGY FUND II COM 130,472 1,374 0.50%
46 SPDR S&P 600 SMALL CAP VALUE ETF 13,131 1,343 0.49%
47 SPDR SER TR 17,172 1,287 0.47%
48 Welltower Inc. 20,127 1,255 0.46%
49 ISHARES TR 24,192 1,247 0.46%
50 WELLS FARGO & CO NEW 24,022 1,246 0.46%
Page 1 of 10
New Holding filing (0000910472-14-005227) filed in 2014.11.20, by the way our system suggest this is a Restatement filing.
#
Name
Shares
Value ($)
%
Options
Notes
201 T ROWE PRICE CAPITAL APP 19,059 519 0.14%
202 ENERGY TRANSFER L P 8,393 518 0.13%
203 LULULEMON ATHLETICA INC 14,700 516 0.13%
204 PLAINS ALL AMERN PIPELINE L 8,710 513 0.13%
205 KODIAK OIL & GAS CORP 37,200 505 0.13%
206 PROSHARES TR 4,280 504 0.13%
207 VANGUARD INDEX FDS 4,946 501 0.13%
208 SPDR SERIES TRUST 4,720 500 0.13%
209 GOOGLE INC 865 499 0.13%
210 RYDEX ETF TRUST 6,901 495 0.13%
211 Fidelity Cap Disciplined Equity Fund 14,222 490 0.13%
212 RYDEX ETF TRUST 6,403 485 0.13%
213 KKR & CO LP COMMON UNITS 21,652 483 0.13%
214 FIRST TR EXCHANGE TRADED FD 10,024 482 0.13%
215 ISHARES TR 3,587 482 0.13%
216 TEMPLETON GLOBAL BOND ADV 36,325 480 0.12%
217 LYONDELLBASELL INDUSTRIES N 4,408 479 0.12%
218 CVS HEALTH CORP 6,011 478 0.12%
219 OPPENHEIMER STEELPATH MLP ALPH 34,922 478 0.12%
220 JNL/MCM Hlthcare Sector 20,072 477 0.12%
221 DOUBLELINE TOTAL RETURN BOND FUND CLASS N 43,498 475 0.12%
222 PROSHARES TR 8,380 472 0.12%
223 TWITTER INC 11,740 472 0.12%
224 DOW CHEM CO 8,870 465 0.12%
225 JNL/PPM AMERICA HIGH YLD BOND 23,002 463 0.12%
226 CAPSTEAD MTG CORP COM NO PAR 37,843 463 0.12%
227 JNL/Mellon Capital Nasdaq 25 22,866 463 0.12%
228 AMG YACKTMAN FUND CLASS I 18,562 461 0.12%
229 SELECT SECTOR SPDR TR 9,251 459 0.12%
230 MICRON TECHNOLOGY INC 12,475 458 0.12%
231 JNL/WMC Balanced Fund 13,047 457 0.12%
232 POWERSHARES ETF TRUST 7,130 454 0.12%
233 POWERSHARES ETF TR II 12,080 452 0.12%
234 American Water Works, Inc. 9,245 446 0.12%
235 VANGUARD INDEX FDS 3,774 443 0.12%
236 LILIS ENERGY INC 196,500 442 0.12%
237 FIDELITY SELECT DEFENSE & AEROSPACE 3,819 435 0.11%
238 KINDER MORGAN INC DEL 11,311 434 0.11%
239 Fidelity Select Energy Portfolio 7,791 433 0.11%
240 AG MTG INVT TR INC 24,345 433 0.11%
241 CONSOLIDATED EDISON INC 6,651 432 0.11%
242 ALLERGAN PLC 1,773 428 0.11%
243 JNL/S&P INTRINSIC VAL 20,267 427 0.11%
244 PROSHARES TR 9,586 425 0.11%
245 NIKE INC 4,761 425 0.11%
246 Van Eck Global Hard Assets Fund Cl A 8,692 425 0.11%
247 Allianzgi Conv & Income Fund I 46,435 424 0.11%
248 EDISON INTL 7,532 421 0.11%
249 EMERSON ELEC CO 6,698 419 0.11%
250 POWERSHARES ETF TRUST 9,372 419 0.11%
Page 5 of 14