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 PHILLIPS 66 9,709 789 0.29%
102 CLAYMORE ETF GUGGENHEIM MID-CAP 16,000 773 0.28%
103 VANGUARD INDEX FDS 6,966 771 0.28%
104 SELECT SECTOR SPDR TR 11,915 762 0.28%
105 NQ MOBILE INC 106,170 740 0.27%
106 Kinder Morgan Inc. 7,547 732 0.27%
107 MAGELLAN MIDSTREAM PRTNRS LP 8,552 720 0.26%
108 MEDICAL PPTYS TRUST INC 58,191 713 0.26%
109 CBRE CLARION GLOBAL REAL EST 84,450 708 0.26%
110 ISHARES TR 2,559 701 0.26%
111 JNL/GS CORE PLUS BOND 27,566 696 0.26%
112 JNL/PPM AMERICA FL RATE INCOME 63,642 690 0.25%
113 ABBVIE INC 11,868 685 0.25%
114 POWERSHARES ETF TRUST 27,560 681 0.25%
115 ISHARES TR 6,780 664 0.24%
116 MONSANTO CO NEW 5,890 663 0.24%
117 JNL/S&P Intrinsic Value 31,351 656 0.24%
118 PEPSICO INC 7,045 656 0.24%
119 KRAFT HEINZ CO COM 11,580 653 0.24%
120 MCDONALDS CORP 6,701 635 0.23%
121 ISHARES TR 6,069 611 0.22%
122 COMCAST CORP NEW 11,280 607 0.22%
123 AMERICAN EXPRESS CO 6,883 603 0.22%
124 REVOLUTION LIGHTING TECHNOLO COM 356,190 598 0.22%
125 Ivy Fds Asset Strategy Fd Cl A 19,538 596 0.22%
126 CME GROUP INC 7,423 594 0.22%
127 ALLIANCEBERNSTEIN INCOME FUN 78,213 587 0.22%
128 AMERICAN RLTY CAP PPTYS INC 48,689 587 0.22%
129 PROSHARES TR 7,503 568 0.21%
130 Astrazeneca Plc ADR F 7,892 563 0.21%
131 ISHARES TR 5,534 560 0.21%
132 VENTAS INC 9,023 559 0.20%
133 Bank of New York Mellon Corp 14,413 558 0.20%
134 SELECT SECTOR SPDR TR 13,098 551 0.20%
135 TYCO INTL LTD. 12,330 550 0.20%
136 PARKER HANNIFIN CORP 1,701 536 0.20%
137 RYDEX ETF TRUST 6,565 535 0.20%
138 New York REIT Inc 51,974 534 0.20%
139 BLACKSTONE GROUP L P 15,812 528 0.19%
140 BIOGEN INC 1,589 526 0.19%
141 ISHARES TR 4,370 522 0.19%
142 T ROWE PRICE CAPITAL APP 19,059 519 0.19%
143 LULULEMON ATHLETICA INC 14,700 516 0.19%
144 PLAINS ALL AMERN PIPELINE L 8,710 513 0.19%
145 KODIAK OIL & GAS CORP 37,200 505 0.19%
146 PROSHARES TR 4,280 504 0.18%
147 VANGUARD INDEX FDS 4,946 501 0.18%
148 SPDR SERIES TRUST 4,720 500 0.18%
149 RYDEX ETF TRUST 6,901 495 0.18%
150 RYDEX ETF TRUST 6,403 485 0.18%
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
551 Ft Water Utility & Infras Sel 28 F Re 13,597 142 0.04%
552 MITSUBISHI UFJ FINL GROUP INCORPORATED SPONSORED ADR 25,330 142 0.04%
553 OCULUS INNOVATIVE SCIENCES I 58,603 138 0.04%
554 Franklin Strat Income Fund Adv Cl 13,173 138 0.04%
555 CALAMOS CONV OPPORTUNITIES & 10,134 137 0.04%
556 DREYFUS HIGH YIELD STRATEGIE 36,547 135 0.04%
557 BLACKROCK MUN B 12,204 134 0.03%
558 BlackRock 11,850 134 0.03%
559 JNL/Neuberger Berman Strategic Income 12,589 133 0.03%
560 NATURAL RESOURCE PARTNERS 10,165 133 0.03%
561 SILVERCORP METALS INC 82,112 131 0.03%
562 * ATMEL CORP COM 19,000 129 0.03%
563 MIMEDX GROUP INC COM 18,000 128 0.03%
564 Aberdeen Asia-Pacific Income 21,567 127 0.03%
565 Franklin NY Intermediate T/F Income A 10,731 126 0.03%
566 Chimera Investment Corp REIT 41,366 126 0.03%
567 Steelpath MLP Fund Trust Income Fd Cl I 10,496 124 0.03%
568 * SANDRIDGE ENERGY INC COM 28,800 124 0.03%
569 Pimco Fds All Asst All Auth Fd Cl D 12,457 123 0.03%
570 NEURALSTEM INC COM 37,362 123 0.03%
571 CALAMOS STRATEGIC TOTL RETN 10,396 122 0.03%
572 TEMPLETON GLOBAL INCOME FD 15,212 121 0.03%
573 AMR Global Small Capitalization HLS 10,724 119 0.03%
574 NUVEEN MUN VALUE FD INC 12,473 117 0.03%
575 Nexpoint Cr Strategies 11,038 117 0.03%
576 BLACKROCK ENHANCED EQT DIV T 13,930 114 0.03%
577 JETBLUE AIRWAYS CORP 10,750 114 0.03%
578 NEW YORK MORTGAGE TRUST INC COM 15,103 109 0.03%
579 OCH-ZIFF CAP MGMT GROUP CL A SHS 10,050 108 0.03%
580 BlackRock Strategic Income Opportunities Portfolio 10,367 107 0.03%
581 NY Fixed Acc - 3 Percent Minimum 105,225 105 0.03%
582 Oppenheimer Rochester Limited Term New York Municipal Fund 32,359 102 0.03%
583 FIDELITY ADVISOR SER II FL RT 10,166 100 0.03%
584 Cinedigm Corp 63,549 99 0.03%
585 Arch Coal Inc 46,436 98 0.03%
586 FORTRESS INVESTMENT GROUP LL 14,100 97 0.03%
587 RITE AID CORP 19,495 94 0.02%
588 Lloyds Banking Group Plc 18,575 94 0.02%
589 SPROTT PHYSICAL PLAT PALLAD 10,000 89 0.02%
590 Ivy Funds Inc Muni High Income Cl A 16,732 88 0.02%
591 DOT HILL SYS CORP 22,710 86 0.02%
592 GRO FIXD 83,200 83 0.02%
593 WALTER ENERGY INC COM 35,520 83 0.02%
594 SIRIUS XM HOLDINGS INC 22,982 80 0.02%
595 LOCAL CORP COM 40,000 80 0.02%
596 CORONADO BIOSCIENCES INC 38,100 80 0.02%
597 GABELLI UTIL TR 10,909 78 0.02%
598 PENN WEST PETE LTD NEW 10,700 76 0.02%
599 Magnum Hunter Resources Corp 13,320 74 0.02%
600 OPPENHEIMER STRATEG FD INCOME 17,223 71 0.02%
Page 12 of 14