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
101 PREFERRED APT CMNTYS INC COM 17,150 143 0.05%
102 JNL/NEUBERGER STRAT INCOME 13,585 145 0.05%
103 VANGUARD INFLATION PROTECTED SECURITIES FUND 11,486 153 0.06%
104 XEROX CORP 11,744 155 0.06%
105 AMER RLTY CAP HEALTHCAR TR INC 15,000 157 0.06%
106 BLACKROCK ENHANCED CAP INC 10,743 160 0.06%
107 ANNALY CAP MGMT INC 15,089 161 0.06%
108 GAMCO NATL RES GOLDINCM 16,791 164 0.06%
109 CALAMOS CONV & HIGH INCOME F 11,682 166 0.06%
110 PIMCO Fds Fundamental Indexplus Tr Cl A 23,607 166 0.06%
111 API EFF FRNT INCM I 13,904 167 0.06%
112 CORNERSTONE PROGRESSIVE RTN 41,000 169 0.06%
113 AIM Invt Fds Invesco Bal Risk Allo Cl A 13,921 170 0.06%
114 PEOPLES UNITED FINANCIAL INC 11,848 171 0.06%
115 HEALTHCARE TRUST AMERICA INC CL A NEW 14,931 173 0.06%
116 INVESCO V.I. SMALL CAP EQUITY FUND 11,385 179 0.07%
117 PEDEVCO CORP 109,570 180 0.07%
118 PETROLEO BRASILEIRO SA PETRO 12,539 181 0.07%
119 POWERSHARES ETF TRUST 16,458 183 0.07%
120 Franklin Strategic Income Securities 14,108 190 0.07%
121 JNL/PPM America High Yield Bond Fund 10,367 192 0.07%
122 RETAIL PPTYS AMER INC CL A 13,277 194 0.07%
123 Jpmorgan NY Tax Free Bd Sel 26,581 195 0.07%
124 AMR Asset Allocation 11,448 197 0.07%
125 RIDGEWORTH FDS 22,144 198 0.07%
126 PETROLEO BRASILEIRO SA PETROBR SPONSORED ADR 13,392 199 0.07%
127 PEABODY ENERGY CORP 16,257 201 0.07%
128 VANGUARD HIGH YIELD TAX EXEMPT ADMIRAL SHARES 17,943 201 0.07%
129 TRAVELERS COMPANIES INC 2,144 201 0.07%
130 TOTAL S A 3,150 203 0.07%
131 KELLOGG CO 3,296 203 0.07%
132 AMR International HLS 20,425 204 0.07%
133 AMR New World HLS 19,728 204 0.07%
134 PENNEY J C 20,330 204 0.07%
135 INVESCO V.I. CORE EQUITY FUND 14,312 208 0.08%
136 SPDR SER TR S&P 600 SML CAP 2,131 209 0.08%
137 3M CO 1,479 210 0.08%
138 SPDR DOW JONES INDL AVRG ETF 1,240 211 0.08%
139 TEEKAY LNG PARTNERS L P 4,894 213 0.08%
140 BUFFALO WILD WINGS INC 1,585 213 0.08%
141 CLAYMORE EXCHANGE TRD FD TR 8,798 214 0.08%
142 VANGUARD INTL EQUITY INDEX F 3,884 214 0.08%
143 Ubs Ag Shs New 12,538 218 0.08%
144 WYNDHAM WORLDWIDE CORP 2,688 218 0.08%
145 AKAMAI TECHNOLOGIES INC 2,003 218 0.08%
146 BOARDWALK PIPELINE PARTNERS 11,680 218 0.08%
147 KROGER CO 4,218 219 0.08%
148 VANGUARD WHITEHALL FDS 3,317 220 0.08%
149 CRH PLC 9,745 223 0.08%
150 ISHARES TR 2,444 224 0.08%
Page 3 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