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
401 ENERGY TRANSFER PRTNRS L P 4,161 266 0.07%
402 ANADARKO PETROLE 2,622 266 0.07%
403 PIMCO TOTAL RETURN CLASS A 24,451 266 0.07%
404 CORNERSTONE TOTAL RETURN FD INC COM NEW 48,700 265 0.07%
405 Van Eck 11,300 265 0.07%
406 SCHWAB CHARLES CORP 8,998 264 0.07%
407 PUBLIC SVC ENTERPRISE GRP IN 7,100 264 0.07%
408 NXP SEMICONDUCTORS N V 3,863 264 0.07%
409 POWERSHARES ETF TRUST 10,687 263 0.07%
410 THERMO FISHER SCIENTIFIC INC 2,162 263 0.07%
411 CUMMINS INC 1,996 263 0.07%
412 NUVEEN N C PREM INCOME MUN F 19,300 263 0.07%
413 Anthem, Inc. 2,193 262 0.07%
414 ALPINE TTL DYNAMIC NEW 30,689 261 0.07%
415 ILLUMINA INC 1,595 261 0.07%
416 SALIX PHARMACEUTICALS INC 1,659 260 0.07%
417 W P CAREY INC 4,083 260 0.07%
418 EATON VANCE SR FLTNG RTE TR 18,034 260 0.07%
419 PROSHARES TR 4,517 260 0.07%
420 JNL/MELLON CAPITAL HLTHCARE SECTOR 10,750 259 0.07%
421 MOSAIC CO NEW 5,828 259 0.07%
422 FRANKLIN CUSTODIAN FDS INC 104,120 258 0.07%
423 WASTE MGMT INC DEL 5,436 258 0.07%
424 METLIFE INC 4,798 258 0.07%
425 VANGUARD WORLD FD 2,817 257 0.07%
426 GOLDMAN SACHS MLP ENERGY RENAI 12,750 257 0.07%
427 Fidelity Short Intermediate Mu 23,880 256 0.07%
428 Targa Resources Partners LP 3,535 256 0.07%
429 JNL/Mellon Capital Nasdaq 25 12,310 252 0.07%
430 BLACKROCK EQUITY DIVIDEND FUND 9,970 251 0.07%
431 MEDLEY CAP CORPORATION 21,233 251 0.07%
432 NUVEEN NJ INVT QUALITY MUN F 18,700 249 0.06%
433 ISHARES SILVER TR 64,619 249 0.06%
434 JHancock Bond A 15,398 248 0.06%
435 PROSHARES TR 1,964 247 0.06%
436 MARKWEST ENERGY PARTNERS LP 3,222 247 0.06%
437 DEUTSCHE GLOBAL INFRASTRUCTURE A 15,974 246 0.06%
438 UNITED PARCEL SERVICE INC 2,499 246 0.06%
439 TARGA RES CORP 1,800 245 0.06%
440 PROSHARES TR MSCI EMRG 3,305 245 0.06%
441 LORILLARD 4,087 245 0.06%
442 GANNETT CO. 8,234 244 0.06%
443 AMERICA MOVIL SAB DE CV 9,629 243 0.06%
444 DEPHEID 5,500 242 0.06%
445 CHICAGO BRIDGE & IRON CO N V 4,176 242 0.06%
446 Blackrock Intl Growth Tr 31,985 241 0.06%
447 UNDER ARMOUR INC 3,472 240 0.06%
448 RAYTHEON CO 2,347 239 0.06%
449 MCKESSON CORP 1,219 237 0.06%
450 CEF Cohen & Steers Ml 11,200 237 0.06%
Page 9 of 14