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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 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
601 KRATOS DEFENSE & SECURITY SOLU COM 10,738 70 0.02%
602 BLACKROCK DEBT STRAT FD INC COM 17,833 68 0.02%
603 IVY MUNICIPAL HIGH INC-I 11,617 61 0.02%
604 KBS REAL ESTATE 10,000 61 0.02%
605 MANAGED HIGH YIELD PLUS FUND INC 30,142 60 0.02%
606 NOVAVAX INC COM 14,500 60 0.02%
607 TOWERSTREAM CORP 40,160 59 0.02%
608 Neo Performance Materials 48,050 57 0.01%
609 RESOURCE CAP CORP 11,346 55 0.01%
610 New York N Y City Hsg Dev Corp 50,000 51 0.01%
611 ZYNGA INC 17,767 48 0.01%
612 ARENA PHARMACEUTICALS INC 10,600 44 0.01%
613 DENISON MINES CORP 36,000 41 0.01%
614 New York N Y 35,000 38 0.01%
615 UNILIFE CORP 16,500 38 0.01%
616 Mad Catz Interactive 90,000 35 0.01%
617 Amerenenergy Generating Co 35,000 33 0.01%
618 New York St Energy Resh & Dev Ref Rev B 30,000 30 0.01%
619 NOVAGOLD RES INC 10,000 30 0.01%
620 HECLA MNG CO 11,607 29 0.01%
621 Aegon Funding Corp 25,000 29 0.01%
622 Invesco V.I. Government Securities Fund 20,964 28 0.01%
623 New York N Y City Transitional 25,000 27 0.01%
624 Morgan Stanley D W Disc Srmtns 25,000 26 0.01%
625 United States Treas Nts TIPS 01.875%15 TIPS 01.875%15 20,000 25 0.01%
626 Morgan Stanley D W Disc Srmtns 23,000 23 0.01%
627 Goldman Sachs Grp Inc Mtn Be 20,000 22 0.01%
628 ZBB ENERGY CORPORATION 40,000 22 0.01%
629 United States Treas Bds 6.125%11/15/2027 15,000 21 0.01%
630 RENN FD INC 13,853 21 0.01%
631 AMARIN CORP PLC 18,150 20 0.01%
632 Dendreon Corp 13,215 19 0.00%
633 General Electric Capital Corp 15,000 17 0.00%
634 New York N Y 15,000 17 0.00%
635 Winter Garden Fla Sales Tax Re 15,000 16 0.00%
636 New York N Y City Mun Wtr Fin Rev Bds 15,000 16 0.00%
637 Oyster Bay N Y 15,000 16 0.00%
638 New York N Y City Transitional 15,000 16 0.00%
639 New York N Y Go Bds 15,000 16 0.00%
640 HP INC. 4.0522 15,000 16 0.00%
641 Gnma Pass-Thru X Single Family 93,000 15 0.00%
642 Miami Dade Cnty Fla Solid Wast Solid Was 15,000 15 0.00%
643 Bank Of America Corp 15,000 15 0.00%
644 Illinois St Go Bds 15,000 15 0.00%
645 Birmingham Ala Wtrwks Brd Wtr 13,000 15 0.00%
646 Block Finl Corp 15,000 15 0.00%
647 PROVECTUS 14,000 14 0.00%
648 GENWORTH FINL INC 12,000 14 0.00%
649 Orlando & Orange Cnty Expwy Au 12,500 13 0.00%
650 RELIV INTL INC COM NEW 10,562 13 0.00%
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