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
201 CANADIAN PAC RY LTD 1,802 374 0.14%
202 DIREXION DAILY GOLD MINERS BUL 15,900 373 0.14%
203 VANGUARD INDEX FDS 3,080 371 0.14%
204 OXFORD LANE CAP CORP 23,978 368 0.13%
205 Archer-Daniels-Midland 7,191 367 0.13%
206 Allstate Corp 5,953 365 0.13%
207 Alcoa Inc 22,431 361 0.13%
208 PUTNAM MANAGED MUN INCOME TR 50,870 360 0.13%
209 AMERICAN ELECTRIC POWER 6,862 358 0.13%
210 WEATHERFORD INTL PLC 17,182 357 0.13%
211 VODAFONE GROUP PLC NEW 10,866 357 0.13%
212 LORD ABBETT INVT TR SH DURA IN 78,994 355 0.13%
213 WISDOMTREE TR 4,052 354 0.13%
214 T Rowe Price Capital Appreciat 12,871 354 0.13%
215 XCEL ENERGY INC 11,612 353 0.13%
216 SPDR S&P MIDCAP 400 ETF TR 1,408 351 0.13%
217 SPDR SER TR 6,250 346 0.13%
218 SEAGATE TECHNOLOGY PLC 6,050 346 0.13%
219 SENIOR HOUSING PROPERTIES TRUST 16,418 343 0.13%
220 Abbott Labs Common 8,220 342 0.13%
221 VANGUARD INDEX FDS 4,696 337 0.12%
222 ISHARES TR 3,151 337 0.12%
223 CHENIERE ENERGY PARTNERS LP COMMON UNITS 10,300 337 0.12%
224 NUVEEN MUN HIGH INCOME OPPOR 25,832 337 0.12%
225 VANGUARD WORLD FD 2,564 336 0.12%
226 CSX CORP 10,486 336 0.12%
227 CHINA MOBILE LIMITED 5,691 335 0.12%
228 ISHARES TR 4,437 334 0.12%
229 NEW YORK CMNTY BANCORP INC 20,952 333 0.12%
230 Blackrock Global Opptys 23,299 329 0.12%
231 VANGUARD WORLD FDS 2,802 329 0.12%
232 BB&T Corporation 8,799 328 0.12%
233 PROSHARES TR 5,798 326 0.12%
234 SANOFI 5,755 325 0.12%
235 LOCKHEED MARTIN CORP 1,779 325 0.12%
236 PNC FINL SVCS GROUP INC 3,783 324 0.12%
237 CREDICORP LTD 2,114 324 0.12%
238 BUCKEYE PARTNERS L P 4,030 321 0.12%
239 KAYNE ANDERSON MLP INVT CO 7,839 320 0.12%
240 VANGUARD WORLD FD 3,201 320 0.12%
241 SANDISK CORP 3,253 319 0.12%
242 TWO HBRS INVT CORP 33,004 319 0.12%
243 PIMCO 25,194 318 0.12%
244 MOBILEYE N V AMSTELVEEN 5,915 317 0.12%
245 SELECT SECTOR SPDR TR 6,999 316 0.12%
246 VALEANT PHARMACEUTICALS INTL 2,407 316 0.12%
247 VANGUARD INDEX FDS 3,697 314 0.12%
248 TESLA INC 528 310 0.11%
249 WHOLE FOODS MKT INC 7,122 310 0.11%
250 UBS AG LONDON BRH 12,750 308 0.11%
Page 5 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 FLOATING RATE C 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 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%
Page 1 of 14