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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
151 JNL/PPM AMERICA FL RATE INCOME 63,642 690 0.18%
152 FIRST TR MID CAP CORE ALPHAD 13,710 688 0.18%
153 ABBVIE INC 11,868 685 0.18%
154 POWERSHARES ETF TRUST 27,560 681 0.18%
155 VANGUARD SPECIALIZED FUNDS 8,739 673 0.18%
156 FIDELITY ADVISOR SER 67,674 665 0.17%
157 ISHARES TR 6,780 664 0.17%
158 MONSANTO CO NEW 5,890 663 0.17%
159 GILEAD SCIENCES INC 5,824 662 0.17%
160 FIRST EAGLE GLOBAL CLASS I 11,914 661 0.17%
161 JNL/S&P Intrinsic Value 31,351 656 0.17%
162 PEPSICO INC 7,045 656 0.17%
163 KRAFT HEINZ CO COM 11,580 653 0.17%
164 Oppenheimer Rochester Fund Municipals A 42,136 646 0.17%
165 FREEPORT-MCMORAN INC 18,183 643 0.17%
166 ISHARES NASDAQ BIOTECHNOLOGY ETF 893 641 0.17%
167 MCDONALDS CORP 6,701 635 0.17%
168 REVENUESHARES ETF TR SMALL CAP 12,180 632 0.16%
169 FIFTH STREET FINANCE CORP 67,576 620 0.16%
170 ISHARES TR 6,069 611 0.16%
171 COMCAST CORP NEW 11,280 607 0.16%
172 AMERICAN EXPRESS CO 6,883 603 0.16%
173 VANGUARD BD INDEX FDS 7,511 602 0.16%
174 REVOLUTION LIGHTING TECHNOLO COM 356,190 598 0.16%
175 Ivy Fds Asset Strategy Fd Cl A 19,538 596 0.16%
176 CME GROUP INC 7,423 594 0.15%
177 AMERICAN RLTY CAP PPTYS INC 48,689 587 0.15%
178 ALLIANCEBERNSTEIN INCOME FUN 78,213 587 0.15%
179 STARBUCKS CORP 7,699 581 0.15%
180 PROSHARES TR 7,503 568 0.15%
181 Astrazeneca Plc ADR F 7,892 563 0.15%
182 ISHARES TR 5,534 560 0.15%
183 VENTAS INC 9,023 559 0.15%
184 EXPRESS SCRIPTS HLDG CO 7,905 558 0.15%
185 Bank of New York Mellon Corp 14,413 558 0.15%
186 HONEYWELL INTL INC 5,953 554 0.14%
187 SELECT SECTOR SPDR TR 13,098 551 0.14%
188 TYCO INTL LTD. 12,330 550 0.14%
189 FIDELITY STOCK SELECTOR FUND 14,311 546 0.14%
190 REALTY INCOME CORP 13,372 545 0.14%
191 SCHLUMBERGER LTD 5,337 543 0.14%
192 PARKER HANNIFIN CORP 1,701 536 0.14%
193 UNILEVER N V 13,497 535 0.14%
194 RYDEX ETF TRUST 6,565 535 0.14%
195 New York REIT Inc 51,974 534 0.14%
196 EATON VANCE TAX MANAGED GLOB 43,753 532 0.14%
197 BLACKSTONE GROUP L P 15,812 528 0.14%
198 BIOGEN INC 1,589 526 0.14%
199 ISHARES TR 4,370 522 0.14%
200 Franklin Income Adv 211,244 520 0.14%
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