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
201 T ROWE PRICE CAPITAL APP 19,059 519 0.14%
202 ENERGY TRANSFER L P 8,393 518 0.13%
203 LULULEMON ATHLETICA INC 14,700 516 0.13%
204 PLAINS ALL AMERN PIPELINE L 8,710 513 0.13%
205 KODIAK OIL & GAS CORP 37,200 505 0.13%
206 PROSHARES TR 4,280 504 0.13%
207 VANGUARD INDEX FDS 4,946 501 0.13%
208 SPDR SERIES TRUST 4,720 500 0.13%
209 GOOGLE INC 865 499 0.13%
210 RYDEX ETF TRUST 6,901 495 0.13%
211 Fidelity Cap Disciplined Equity Fund 14,222 490 0.13%
212 RYDEX ETF TRUST 6,403 485 0.13%
213 KKR & CO LP COMMON UNITS 21,652 483 0.13%
214 FIRST TR EXCHANGE TRADED FD 10,024 482 0.13%
215 ISHARES TR 3,587 482 0.13%
216 TEMPLETON GLOBAL BOND ADV 36,325 480 0.12%
217 LYONDELLBASELL INDUSTRIES N 4,408 479 0.12%
218 CVS HEALTH CORP 6,011 478 0.12%
219 OPPENHEIMER STEELPATH MLP ALPH 34,922 478 0.12%
220 JNL/MCM Hlthcare Sector 20,072 477 0.12%
221 DOUBLELINE TOTAL RETURN BOND FUND CLASS N 43,498 475 0.12%
222 PROSHARES TR 8,380 472 0.12%
223 TWITTER INC 11,740 472 0.12%
224 DOW CHEM CO 8,870 465 0.12%
225 JNL/PPM AMERICA HIGH YLD BOND 23,002 463 0.12%
226 CAPSTEAD MTG CORP COM NO PAR 37,843 463 0.12%
227 JNL/Mellon Capital Nasdaq 25 22,866 463 0.12%
228 AMG YACKTMAN FUND CLASS I 18,562 461 0.12%
229 SELECT SECTOR SPDR TR 9,251 459 0.12%
230 MICRON TECHNOLOGY INC 12,475 458 0.12%
231 JNL/WMC Balanced Fund 13,047 457 0.12%
232 POWERSHARES ETF TRUST 7,130 454 0.12%
233 POWERSHARES ETF TR II 12,080 452 0.12%
234 American Water Works, Inc. 9,245 446 0.12%
235 VANGUARD INDEX FDS 3,774 443 0.12%
236 LILIS ENERGY INC 196,500 442 0.12%
237 FIDELITY SELECT DEFENSE & AEROSPACE 3,819 435 0.11%
238 KINDER MORGAN INC DEL 11,311 434 0.11%
239 Fidelity Select Energy Portfolio 7,791 433 0.11%
240 AG MTG INVT TR INC 24,345 433 0.11%
241 CONSOLIDATED EDISON INC 6,651 432 0.11%
242 ALLERGAN PLC 1,773 428 0.11%
243 JNL/S&P INTRINSIC VAL 20,267 427 0.11%
244 PROSHARES TR 9,586 425 0.11%
245 NIKE INC 4,761 425 0.11%
246 Van Eck Global Hard Assets Fund Cl A 8,692 425 0.11%
247 Allianzgi Conv & Income Fund I 46,435 424 0.11%
248 EDISON INTL 7,532 421 0.11%
249 EMERSON ELEC CO 6,698 419 0.11%
250 POWERSHARES ETF TRUST 9,372 419 0.11%
Page 5 of 14