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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
301 T Rowe Price Capital Appreciat 12,871 354 0.09%
302 WISDOMTREE TR 4,052 354 0.09%
303 XCEL ENERGY INC 11,612 353 0.09%
304 SPDR S&P MIDCAP 400 ETF TR 1,408 351 0.09%
305 DOUBLELINE TOTAL RETURN BOND FD CL I 31,949 350 0.09%
306 FIRST INTST BANCSYSTEM INC 13,150 349 0.09%
307 SPDR SER TR 6,250 346 0.09%
308 SEAGATE TECHNOLOGY PLC 6,050 346 0.09%
309 SENIOR HOUSING PROPERTIES TRUST 16,418 343 0.09%
310 Abbott Labs Common 8,220 342 0.09%
311 Fidelity Small Cap Value 19,550 338 0.09%
312 ISHARES TR 3,151 337 0.09%
313 VANGUARD INDEX FDS 4,696 337 0.09%
314 NUVEEN MUN HIGH INCOME OPPOR 25,832 337 0.09%
315 CHENIERE ENERGY PARTNERS LP COMMON UNITS 10,300 337 0.09%
316 CSX CORP 10,486 336 0.09%
317 Fidelity Contrafund Inc Insigh 11,840 336 0.09%
318 VANGUARD WORLD FD 2,564 336 0.09%
319 CHINA MOBILE LIMITED 5,691 335 0.09%
320 CHESAPEAKE ENERGY CORP 15,569 335 0.09%
321 ISHARES TR 4,437 334 0.09%
322 NEW YORK CMNTY BANCORP INC 20,952 333 0.09%
323 TRANSDIGM GROUP INC 1,806 333 0.09%
324 ISHARES TR 7,987 332 0.09%
325 Blackrock Global Opptys 23,299 329 0.09%
326 VANGUARD WORLD FDS 2,802 329 0.09%
327 BB&T Corporation 8,799 328 0.09%
328 FIRST TRUST EXCH TRADED FUND 2 UTILITIES ALPH ETF 14,500 328 0.09%
329 FIRST TR MULTI CP VAL ALPHA 7,241 327 0.09%
330 FIRST TR EXCHANGE TRADED FD 5,863 327 0.09%
331 PROSHARES TR 5,798 326 0.08%
332 LOCKHEED MARTIN CORP 1,779 325 0.08%
333 SANOFI 5,755 325 0.08%
334 SEMPRA ENERGY 3,083 325 0.08%
335 CREDICORP LTD 2,114 324 0.08%
336 PNC FINL SVCS GROUP INC 3,783 324 0.08%
337 Fidelity Worldwide 13,166 323 0.08%
338 GOLDMAN SACHS GROUP INC 763 322 0.08%
339 ENI S P A 6,796 322 0.08%
340 BUCKEYE PARTNERS L P 4,030 321 0.08%
341 KAYNE ANDERSON MLP INVT CO 7,839 320 0.08%
342 VANGUARD WORLD FD 3,201 320 0.08%
343 SANDISK CORP 3,253 319 0.08%
344 TWO HBRS INVT CORP 33,004 319 0.08%
345 PIMCO 25,194 318 0.08%
346 MOBILEYE N V AMSTELVEEN 5,915 317 0.08%
347 SELECT SECTOR SPDR TR 6,999 316 0.08%
348 VALEANT PHARMACEUTICALS INTL 2,407 316 0.08%
349 EXELON CORP 9,224 314 0.08%
350 VANGUARD INDEX FDS 3,697 314 0.08%
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