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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 ($)
%
Options
Notes
451 Bank Of America Corp 15,000 15 0.01%
452 PROVECTUS 14,000 14 0.01%
453 Orlando & Orange Cnty Expwy Au 12,500 13 0.00%
454 RELIV INTL INC COM NEW 10,562 13 0.00%
455 Salt Verde Finl Corp Sr Gas Re 10,000 12 0.00%
456 Ohio St 11,000 12 0.00%
457 Miami-Dade Cnty Fla Aviation R Aviation 10,000 11 0.00%
458 Commercial Metals Co 10,000 11 0.00%
459 Ba Mtg Trust 2006-2 20,000 11 0.00%
460 New York N Y City Mun Wtr Fin 10,000 11 0.00%
461 National Holdings Corp 23,526 11 0.00%
462 Ulster Cnty N Y 10,000 11 0.00%
463 HOUSTON AMERN ENERGY CORP 34,306 10 0.00%
464 New York St Environmental Facs 10,000 10 0.00%
465 Suffolk Cnty N Y 10,000 10 0.00%
466 Butler Cnty Ohio Hosp Facs Rev Hosp Fac 10,000 10 0.00%
467 Bmc Software Inc 10,000 10 0.00%
468 AMERICAN APPAREL INC 12,500 10 0.00%
469 Dell Inc 10,000 10 0.00%
470 Dade Cnty Fla Hsg Fin Auth Mul 10,000 10 0.00%
471 New York N Y City Mun Wtr Fin 10,000 10 0.00%
472 PALATIN TECHNOLOGIES INC COM 10,000 9 0.00%
473 ATLATSA RES CORP 10,651 3 0.00%
474 App Fin II Mauritius Ltd 35,000 0 0.00%
475 WAFERGEN BIO-SYSTEMS INC 52,500 0 0.00%
Page 10 of 10
New Holding filing (0000910472-14-005227) filed in 2014.11.20, by the way our system suggest this is a Restatement filing.
#
Name
Shares
Value ($)
%
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%
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