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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
151 KKR & CO L P DEL 21,652 483 0.18%
152 ISHARES TR 3,587 482 0.18%
153 LYONDELLBASELL INDUSTRIES N 4,408 479 0.18%
154 CVS HEALTH CORP 6,011 478 0.18%
155 JNL/MCM Hlthcare Sector 20,072 477 0.17%
156 PROSHARES TR 8,380 472 0.17%
157 TWITTER INC 11,740 472 0.17%
158 JNL/PPM AMERICA HIGH YLD BOND 23,002 463 0.17%
159 JNL/Mellon Capital Nasdaq 25 22,866 463 0.17%
160 CAPSTEAD MTG CORP COM NO PAR 37,843 463 0.17%
161 AMG YACKTMAN FUND CLASS I 18,562 461 0.17%
162 SELECT SECTOR SPDR TR 9,251 459 0.17%
163 MICRON TECHNOLOGY INC 12,475 458 0.17%
164 JNL/WMC Balanced Fund 13,047 457 0.17%
165 POWERSHARES ETF TRUST 7,130 454 0.17%
166 POWERSHARES ETF TR II 12,080 452 0.17%
167 American Water Works, Inc. 9,245 446 0.16%
168 VANGUARD INDEX FDS 3,774 443 0.16%
169 LILIS ENERGY INC 196,500 442 0.16%
170 KINDER MORGAN INC DEL 11,311 434 0.16%
171 AG MTG INVT TR INC 24,345 433 0.16%
172 ACTAVIS PLC 1,773 428 0.16%
173 JNL/S&P INTRINSIC VAL 20,267 427 0.16%
174 NIKE INC 4,761 425 0.16%
175 PROSHARES TR 9,586 425 0.16%
176 Allianzgi Conv & Income Fund I 46,435 424 0.16%
177 POWERSHARES ETF TRUST 9,372 419 0.15%
178 SELECT SECTOR SPDR TR 7,809 415 0.15%
179 Ivy Fds Science Tech Fd Cl A 7,733 414 0.15%
180 QUALCOMM INC 5,525 413 0.15%
181 GUGGENHEIM 1:1 EXC 4/9/18 739371839 4,190 408 0.15%
182 POWERSHARES ETF TRUST 7,330 405 0.15%
183 Rcs Capital Corp 17,944 404 0.15%
184 ISHARES TR 4,403 403 0.15%
185 WAL-MART STORES INC 5,262 402 0.15%
186 UNITEDHEALTH GROUP INC 4,599 397 0.15%
187 PALO ALTO NETWORKS INC 4,020 394 0.14%
188 MARKET VECTORS ETF TR 6,110 394 0.14%
189 DOMINION ENERGY INC 5,649 390 0.14%
190 Ivy Fds High Income Cl A 45,914 390 0.14%
191 ISHARES TR 2,579 390 0.14%
192 JNL/NEUBERGER STRAT INCOME 36,839 387 0.14%
193 MASCO CORP 16,178 387 0.14%
194 WILLIAMS COS INC DEL 6,931 384 0.14%
195 CORNERSTONE STRATEGIC VALUE FD INC COM NEW 65,797 384 0.14%
196 LINN ENERGY LLC UNIT LTD LIAB 12,690 382 0.14%
197 ANNALY CAP MGMT INC 35,719 381 0.14%
198 ORACLE CORP 9,952 381 0.14%
199 ACCESS MIDSTREAM PARTNERS LP 5,926 377 0.14%
200 ISHARES TR 4,439 375 0.14%
Page 4 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 Float Rate-A 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 BLKSTN GSOSRLN ETF 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%
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