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
51 Anthem, Inc. 2,193 262 0.10%
52 App Fin II Mauritius Ltd 35,000 0 0.00%
53 Arch Coal Inc 46,436 98 0.04%
54 Archer-Daniels-Midland 7,191 367 0.13%
55 Astrazeneca Plc ADR F 7,892 563 0.21%
56 Auto Data Processing 3,700 307 0.11%
57 BANK AMERICA CORP 86,047 1,432 0.53%
58 BB&T Corporation 8,799 328 0.12%
59 BERKSHIRE HATHAWAY INC DE CL B NEW 25,172 3,477 1.27%
60 BERKSHIRE HATHAWAY INC DE CL B NEW 2,095 289 0.11%
61 BIOGEN INC 1,589 526 0.19%
62 BLACKROCK DEBT STRAT FD INC COM 17,833 68 0.02%
63 BLACKROCK ENHANCED CAP INC 10,743 160 0.06%
64 BLACKROCK ENHANCED EQT DIV T 13,930 114 0.04%
65 BLACKROCK EQUITY DIVIDEND FUND 9,970 251 0.09%
66 BLACKROCK MULTI ASSET INC PORTFOLIO FUND INST CLASS N/L 24,007 272 0.10%
67 BLACKROCK MUN B 12,204 134 0.05%
68 BLACKROCK MUNI NJ FUND INC COM 20,900 303 0.11%
69 BLACKROCK MUNIHLDGS NY QLTY 22,263 297 0.11%
70 BLACKSTONE GROUP L P 15,812 528 0.19%
71 BOARDWALK PIPELINE PARTNERS 11,680 218 0.08%
72 BOEING CO 9,591 1,222 0.45%
73 BP PLC SPONS 25,201 1,130 0.41%
74 BRISTOL MYERS SQUIBB CO 30,549 1,563 0.57%
75 BROCADE COMMUNICATIONS SYS I 25,009 272 0.10%
76 BUCKEYE PARTNERS L P 4,030 321 0.12%
77 BUFFALO WILD WINGS INC 1,585 213 0.08%
78 Ba Mtg Trust 2006-2 20,000 11 0.00%
79 Bank Of America Corp 15,000 15 0.01%
80 Bank of New York Mellon Corp 14,413 558 0.20%
81 Birmingham Ala Wtrwks Brd Wtr 13,000 15 0.01%
82 BlackRock 11,850 134 0.05%
83 BlackRock Strategic Income Opportunities Portfolio 10,367 107 0.04%
84 Blackrock Global Opptys 23,299 329 0.12%
85 Blackrock Intl Growth Tr 31,985 241 0.09%
86 Block Finl Corp 15,000 15 0.01%
87 Bmc Software Inc 10,000 10 0.00%
88 Butler Cnty Ohio Hosp Facs Rev Hosp Fac 10,000 10 0.00%
89 CALAMOS CONV & HIGH INCOME F 11,682 166 0.06%
90 CALAMOS CONV OPPORTUNITIES & 10,134 137 0.05%
91 CALAMOS STRATEGIC TOTL RETN 10,396 122 0.04%
92 CANADIAN PAC RY LTD 1,802 374 0.14%
93 CAPSTEAD MTG CORP COM NO PAR 37,843 463 0.17%
94 CBRE CLARION GLOBAL REAL EST 84,450 708 0.26%
95 CEF Cohen & Steers Ml 11,200 237 0.09%
96 CHENIERE ENERGY PARTNERS LP COMMON UNITS 10,300 337 0.12%
97 CHINA MOBILE LIMITED 5,691 335 0.12%
98 CISCO SYS INC 58,977 1,484 0.54%
99 CLAYMORE ETF GUGGENHEIM MID-CAP 16,000 773 0.28%
100 CLAYMORE EXCHANGE TRD FD TR 110,350 2,945 1.08%
Page 2 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
1 APPLE COMPUTER INC 102,550 10,016 2.61%
2 PROCTER AND GAMBLE CO 65,914 5,520 1.44%
3 AT&T INC 120,552 4,284 1.11%
4 CHEVRON CORP NEW 35,890 4,282 1.11%
5 GENERAL ELECTRIC CO 159,980 4,098 1.07%
6 JNL/WMC Balanced 103,413 4,088 1.06%
7 JOHNSON & JOHNSON 37,560 4,003 1.04%
8 ISHARES TR 28,743 3,930 1.02%
9 FIRST EAGLE GLOBAL FUND CLASS A 71,115 3,921 1.02%
10 GUARANTEED ACCOUNT - 1 YR 3,752,115 3,752 0.98%
11 MANNKIND CORP. 619,440 3,661 0.95%
12 BERKSHIRE HATHAWAY INC DE CL B NEW 25,172 3,477 0.90%
13 JNL/Neuberger Strat Income 324,067 3,443 0.90%
14 OPPENHEIMER SR FLOATING RATE C 413,644 3,425 0.89%
15 MICROSOFT CORP 69,705 3,311 0.86%
16 EXXON MOBIL CORP 35,165 3,307 0.86%
17 ISHARES TR 44,551 3,290 0.86%
18 FACEBOOK INC 38,473 3,172 0.83%
19 CLAYMORE EXCHANGE TRD FD TR 110,350 2,945 0.77%
20 COMPANIA DE MINAS BUENAVENTU 247,323 2,864 0.75%
21 VERIZON COMMUNICATIONS INC 56,689 2,833 0.74%
22 Hartford MF Balanced Income Fd Cl A 198,697 2,690 0.70%
23 PFIZER INC 90,402 2,674 0.70%
24 ALTRIA GROUP INC 57,535 2,643 0.69%
25 JNL/GS Core Plus Bond 100,535 2,585 0.67%
26 JNL/PPM America Fl Rate Income 235,316 2,550 0.66%
27 FX ENERGY INC 799,123 2,430 0.63%
28 SPDR S&P 600 SMALL CAP GROWTH ETF 12,208 2,077 0.54%
29 ENTERPRISE PRODS PARTNERS L 51,080 2,059 0.54%
30 MERCK & CO INC 34,264 2,031 0.53%
31 ISHARES TR 52,678 1,985 0.52%
32 John Hancock Funds II Global Absolute A 172,589 1,971 0.51%
33 JNL/WMC Balanced Fund 51,390 1,954 0.51%
34 SPDR S&P 500 ETF TR 28,970 1,924 0.50%
35 ISHARES TR 16,079 1,802 0.47%
36 MFS INTERMEDIATE INCOME TRUST SH BEN INT 358,056 1,794 0.47%
37 JPMORGAN CHASE & CO 29,580 1,782 0.46%
38 ISHARES TR 15,757 1,774 0.46%
39 CONOCOPHILLIPS 22,367 1,712 0.45%
40 JNL/PPM America High Yld Bond 83,549 1,697 0.44%
41 INTERNATIONAL BUSINESS MACHS 7,744 1,694 0.44%
42 ISHARES TR 8,351 1,656 0.43%
43 JNL/Neuberger Strat Income 156,620 1,656 0.43%
44 PHILIP MORRIS INTL INC 19,728 1,645 0.43%
45 SSGA ACTIVE ETF TR 33,256 1,634 0.43%
46 VANGUARD WORLD FDS 18,566 1,621 0.42%
47 Saratoga Resources Inc 1,356,161 1,600 0.42%
48 BRISTOL MYERS SQUIBB CO 30,549 1,563 0.41%
49 FIRST TR EXCHANGE TRADED FD 25,613 1,560 0.41%
50 ISHARES TR 30,365 1,552 0.40%
Page 1 of 14