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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
101 CLAYMORE EXCHANGE TRD FD TR 8,798 214 0.08%
102 CLAYMORE EXCHANGE TRD FD TR 29,990 1,127 0.41%
103 CME GROUP INC 7,423 594 0.22%
104 COMCAST CORP NEW 11,280 607 0.22%
105 CONOCOPHILLIPS 22,367 1,712 0.63%
106 CORNERSTONE PROGRESSIVE RTN 41,000 169 0.06%
107 CORNERSTONE STRATEGIC VALUE FD INC COM NEW 65,797 384 0.14%
108 CORNERSTONE TOTAL RETURN FD INC COM NEW 48,700 265 0.10%
109 CORONADO BIOSCIENCES INC 38,100 80 0.03%
110 CREDICORP LTD 2,114 324 0.12%
111 CRH PLC 9,745 223 0.08%
112 CSX CORP 10,486 336 0.12%
113 CVS HEALTH CORP 6,011 478 0.18%
114 Chimera Investment Corp REIT 41,366 126 0.05%
115 Commercial Metals Co 10,000 11 0.00%
116 DEPHEID 5,500 242 0.09%
117 DEUTSCHE GLOBAL INFRASTRUCTURE A 15,974 246 0.09%
118 DIREXION DAILY GOLD MINERS BUL 15,900 373 0.14%
119 DOMINION ENERGY INC 5,649 390 0.14%
120 Dade Cnty Fla Hsg Fin Auth Mul 10,000 10 0.00%
121 Dell Inc 10,000 10 0.00%
122 Dendreon Corp 13,215 19 0.01%
123 FIRST TR EXCHANGE TRADED FD 25,613 1,560 0.57%
124 FIRST TR EXCHANGE-TRADED FD 15,159 1,391 0.51%
125 Franklin Strategic Income Securities 14,108 190 0.07%
126 GAMCO NATL RES GOLDINCM 16,791 164 0.06%
127 GRO FIXD 83,200 83 0.03%
128 GUARANTEED ACCOUNT - 1 YR 3,752,115 3,752 1.38%
129 GUGGENHEIM 1:1 EXC 4/9/18 739371839 4,190 408 0.15%
130 HCP INC 21,243 844 0.31%
131 HEALTHCARE TRUST AMERICA INC CL A NEW 14,931 173 0.06%
132 HOUSTON AMERN ENERGY CORP 34,306 10 0.00%
133 HP INC. 4.0522 15,000 16 0.01%
134 Hotchkis & Wiley Capital Income A 117,293 1,517 0.56%
135 INVESCO V.I. CORE EQUITY FUND 14,312 208 0.08%
136 INVESCO V.I. SMALL CAP EQUITY FUND 11,385 179 0.07%
137 ISHARES COHEN & STEERS REIT ETF 3,471 293 0.11%
138 ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF 3,069 282 0.10%
139 ISHARES SILVER TR 64,619 249 0.09%
140 ISHARES TR 2,579 390 0.14%
141 ISHARES TR 2,744 275 0.10%
142 ISHARES TR 2,559 701 0.26%
143 ISHARES TR 6,780 664 0.24%
144 ISHARES TR 28,743 3,930 1.44%
145 ISHARES TR 11,855 830 0.30%
146 ISHARES TR 1,764 279 0.10%
147 ISHARES TR 4,439 375 0.14%
148 ISHARES TR 3,160 285 0.10%
149 ISHARES TR 11,240 1,098 0.40%
150 ISHARES TR 3,151 337 0.12%
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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%
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