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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 LP COMMON UNITS 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 ALLERGAN 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
501 SPDR SER TR S&P 600 SML CAP 2,131 209 0.05%
502 INVESCO V.I. CORE EQUITY FUND 14,312 208 0.05%
503 FRK NY TAX FR INCM ADVS 17,804 208 0.05%
504 ILLINOIS TOOL WKS INC 2,450 207 0.05%
505 AMR New World HLS 19,728 204 0.05%
506 AMR International HLS 20,425 204 0.05%
507 HELMERICH & PAYNE INC 2,088 204 0.05%
508 PENNEY J C 20,330 204 0.05%
509 KELLOGG CO 3,296 203 0.05%
510 INTL PAPER CO 4,262 203 0.05%
511 TOTAL S A 3,150 203 0.05%
512 TIME WARNER INC 2,696 203 0.05%
513 SANDERSON FARMS INC 2,306 203 0.05%
514 HSBC HLDGS PLC 3,977 202 0.05%
515 TRAVELERS COMPANIES INC 2,144 201 0.05%
516 VANGUARD HIGH YIELD TAX EXEMPT ADMIRAL SHARES 17,943 201 0.05%
517 PEABODY ENERGY CORP 16,257 201 0.05%
518 FRONTIER COMMUNICATIONS CORP 30,787 200 0.05%
519 CUSHING MLP TOTAL RETURN FUND 23,104 199 0.05%
520 PETROLEO BRASILEIRO SA PETROBR SPONSORED ADR 13,392 199 0.05%
521 RIDGEWORTH FDS 22,144 198 0.05%
522 AMR Asset Allocation 11,448 197 0.05%
523 Jpmorgan NY Tax Free Bd Sel 26,581 195 0.05%
524 RETAIL PPTYS AMER INC CL A 13,277 194 0.05%
525 JNL/PPM America High Yield Bond Fund 10,367 192 0.05%
526 Franklin Strategic Income Securities 14,108 190 0.05%
527 POWERSHARES ETF TRUST 16,458 183 0.05%
528 PETROLEO BRASILEIRO SA PETRO 12,539 181 0.05%
529 PEDEVCO CORP 109,570 180 0.05%
530 INVESCO V.I. SMALL CAP EQUITY FUND 11,385 179 0.05%
531 HEALTHCARE TRUST AMERICA INC CL A NEW 14,931 173 0.05%
532 FRK UTILS ADVS 10,250 171 0.04%
533 PEOPLES UNITED FINANCIAL INC 11,848 171 0.04%
534 AIM Invt Fds Invesco Bal Risk Allo Cl A 13,921 170 0.04%
535 CORNERSTONE PROGRESSIVE RTN 41,000 169 0.04%
536 JOHN HANCOCK INCOME FUND-A 25,554 168 0.04%
537 API EFF FRNT INCM I 13,904 167 0.04%
538 CALAMOS CONV & HIGH INCOME F 11,682 166 0.04%
539 PIMCO Fds Fundamental Indexplus Tr Cl A 23,607 166 0.04%
540 SYNTHESIS ENERGY SYS INC 119,100 166 0.04%
541 GAMCO NATL RES GOLDINCM 16,791 164 0.04%
542 ANNALY CAP MGMT INC 15,089 161 0.04%
543 BLACKROCK ENHANCED CAP INC 10,743 160 0.04%
544 UNITED INS HLDGS CORP 10,500 158 0.04%
545 AMER RLTY CAP HEALTHCAR TR INC 15,000 157 0.04%
546 XEROX CORP 11,744 155 0.04%
547 Hercules Offshore Inc 70,000 154 0.04%
548 VANGUARD INFLATION PROTECTED SECURITIES FUND 11,486 153 0.04%
549 JNL/NEUBERGER STRAT INCOME 13,585 145 0.04%
550 PREFERRED APT CMNTYS INC COM 17,150 143 0.04%
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