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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
551 Ft Water Utility & Infras Sel 28 F Re 13,597 142 0.04%
552 MITSUBISHI UFJ FINL GROUP INCORPORATED SPONSORED ADR 25,330 142 0.04%
553 OCULUS INNOVATIVE SCIENCES I 58,603 138 0.04%
554 Franklin Strat Income Fund Adv Cl 13,173 138 0.04%
555 CALAMOS CONV OPPORTUNITIES & 10,134 137 0.04%
556 DREYFUS HIGH YIELD STRATEGIE 36,547 135 0.04%
557 BLACKROCK MUN B 12,204 134 0.03%
558 BlackRock 11,850 134 0.03%
559 JNL/Neuberger Berman Strategic Income 12,589 133 0.03%
560 NATURAL RESOURCE PARTNERS 10,165 133 0.03%
561 SILVERCORP METALS INC 82,112 131 0.03%
562 * ATMEL CORP COM 19,000 129 0.03%
563 MIMEDX GROUP INC COM 18,000 128 0.03%
564 Aberdeen Asia-Pacific Income 21,567 127 0.03%
565 Franklin NY Intermediate T/F Income A 10,731 126 0.03%
566 Chimera Investment Corp REIT 41,366 126 0.03%
567 Steelpath MLP Fund Trust Income Fd Cl I 10,496 124 0.03%
568 * SANDRIDGE ENERGY INC COM 28,800 124 0.03%
569 Pimco Fds All Asst All Auth Fd Cl D 12,457 123 0.03%
570 NEURALSTEM INC COM 37,362 123 0.03%
571 CALAMOS STRATEGIC TOTL RETN 10,396 122 0.03%
572 TEMPLETON GLOBAL INCOME FD 15,212 121 0.03%
573 AMR Global Small Capitalization HLS 10,724 119 0.03%
574 NUVEEN MUN VALUE FD INC 12,473 117 0.03%
575 Nexpoint Cr Strategies 11,038 117 0.03%
576 BLACKROCK ENHANCED EQT DIV T 13,930 114 0.03%
577 JETBLUE AIRWAYS CORP 10,750 114 0.03%
578 NEW YORK MORTGAGE TRUST INC COM 15,103 109 0.03%
579 OCH-ZIFF CAP MGMT GROUP CL A SHS 10,050 108 0.03%
580 BlackRock Strategic Income Opportunities Portfolio 10,367 107 0.03%
581 NY Fixed Acc - 3 Percent Minimum 105,225 105 0.03%
582 Oppenheimer Rochester Limited Term New York Municipal Fund 32,359 102 0.03%
583 FIDELITY ADVISOR SER II FL RT 10,166 100 0.03%
584 Cinedigm Corp 63,549 99 0.03%
585 Arch Coal Inc 46,436 98 0.03%
586 FORTRESS INVESTMENT GROUP LL 14,100 97 0.03%
587 RITE AID CORP 19,495 94 0.02%
588 Lloyds Banking Group Plc 18,575 94 0.02%
589 SPROTT PHYSICAL PLAT PALLAD 10,000 89 0.02%
590 Ivy Funds Inc Muni High Income Cl A 16,732 88 0.02%
591 DOT HILL SYS CORP 22,710 86 0.02%
592 GRO FIXD 83,200 83 0.02%
593 WALTER ENERGY INC COM 35,520 83 0.02%
594 SIRIUS XM HOLDINGS INC 22,982 80 0.02%
595 LOCAL CORP COM 40,000 80 0.02%
596 CORONADO BIOSCIENCES INC 38,100 80 0.02%
597 GABELLI UTIL TR 10,909 78 0.02%
598 PENN WEST PETE LTD NEW 10,700 76 0.02%
599 Magnum Hunter Resources Corp 13,320 74 0.02%
600 OPPENHEIMER STRATEG FD INCOME 17,223 71 0.02%
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