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
651 Ohio St 11,000 12 0.00%
652 Salt Verde Finl Corp Sr Gas Re 10,000 12 0.00%
653 Miami-Dade Cnty Fla Aviation R Aviation 10,000 11 0.00%
654 Commercial Metals Co 10,000 11 0.00%
655 National Holdings Corp 23,526 11 0.00%
656 General Electric Co 10,000 11 0.00%
657 Ba Mtg Trust 2006-2 20,000 11 0.00%
658 New York N Y City Mun Wtr Fin 10,000 11 0.00%
659 Ulster Cnty N Y 10,000 11 0.00%
660 HOUSTON AMERN ENERGY CORP 34,306 10 0.00%
661 Suffolk Cnty N Y 10,000 10 0.00%
662 Bmc Software Inc 10,000 10 0.00%
663 Dell Inc 10,000 10 0.00%
664 Dade Cnty Fla Hsg Fin Auth Mul 10,000 10 0.00%
665 New York St Environmental Facs 10,000 10 0.00%
666 AMERICAN APPAREL INC 12,500 10 0.00%
667 Butler Cnty Ohio Hosp Facs Rev Hosp Fac 10,000 10 0.00%
668 New York N Y City Mun Wtr Fin 10,000 10 0.00%
669 PALATIN TECHNOLOGIES INC COM 10,000 9 0.00%
670 ATLATSA RES CORP 10,651 3 0.00%
671 Fhlmc Remic Series 2036 10,000 2 0.00%
672 ER Urgent Care Holdings, Inc. 400,000 0 0.00%
673 WAFERGEN BIO-SYSTEMS INC 52,500 0 0.00%
674 ION LTD ADR 10,000 0 0.00%
675 App Fin II Mauritius Ltd 35,000 0 0.00%
Page 14 of 14