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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
251 Auto Data Processing 3,700 307 0.11%
252 Alliance Data Systems 1,236 307 0.11%
253 ISHARES CORE S&P US VALUE ETF 2,346 306 0.11%
254 MASTERCARD INCORPORATED CLASS A 10,735 303 0.11%
255 BLACKROCK MUNIYIELD N J FD I 20,900 303 0.11%
256 WELLS FARGO CO NEW 250 301 0.11%
257 Invesco Tax-Free Intermediate Y 25,854 300 0.11%
258 BLACKROCK MUNIHLDGS NY QLTY 22,263 297 0.11%
259 American International Group Inc 5,487 296 0.11%
260 iShares C&S Real Estate 3,471 293 0.11%
261 MANHATTAN ASSOCS INC 8,774 293 0.11%
262 TRANSOCEAN LTD REG SHS 9,097 291 0.11%
263 JNL/Goldman Sachs Core Plus Bond Fund 12,718 290 0.11%
264 BERKSHIRE HATHAWAY INC DE CL B NEW 2,095 289 0.11%
265 WEYERHAEUSER 7,210 288 0.11%
266 JNL/PPM America Fl Rate Income 27,067 287 0.11%
267 MONDELEZ INTL INC 8,381 287 0.11%
268 ISHARES TR 3,160 285 0.10%
269 Market Vectors Etf TRU 13,225 282 0.10%
270 ISHARES TR 3,069 282 0.10%
271 MAGNA INTL INC 2,941 279 0.10%
272 ISHARES TR 1,764 279 0.10%
273 PRUDENTIAL GLOBAL REAL EST-A 11,965 278 0.10%
274 POWERSHARES ETF TRUST 4,745 275 0.10%
275 ISHARES TR RUS 1000 VAL ETF 2,744 275 0.10%
276 BROCADE COMMUNICATIONS SYS I 25,009 272 0.10%
277 BLACKROCK MULTI ASSET INC PORTFOLIO FUND INST CLASS N/L 24,007 272 0.10%
278 FLEXSHARES TRUST 8,770 270 0.10%
279 iShares 22,700 268 0.10%
280 SKYWORKS SOLUTIONS INC 4,600 267 0.10%
281 AFLAC Inc 4,594 267 0.10%
282 ANADARKO PETROLE 2,622 266 0.10%
283 PIMCO Total Return Fund 24,451 266 0.10%
284 CORNERSTONE TOTAL RETURN FD INC COM NEW 48,700 265 0.10%
285 Van Eck 11,300 265 0.10%
286 NXP SEMICONDUCTORS N V 3,863 264 0.10%
287 PUBLIC SERVICE ENTERPRISE GP 7,100 264 0.10%
288 POWERSHARES WATER RESOURCES PORTFOLIO 10,687 263 0.10%
289 NUVEEN N C PREM INCOME MUN F 19,300 263 0.10%
290 Anthem, Inc. 2,193 262 0.10%
291 ALPINE TTL DYNAMIC NEW 30,689 261 0.10%
292 PROSHARES TR 4,517 260 0.10%
293 W P CAREY INC COM 4,083 260 0.10%
294 MOSAIC CO NEW COM 5,828 259 0.09%
295 JNL/MELLON CAPITAL HLTHCARE SECTOR 10,750 259 0.09%
296 WASTE MGMT INC DEL 5,436 258 0.09%
297 METLIFE INC 4,798 258 0.09%
298 VANGUARD WORLD FDS 2,817 257 0.09%
299 Targa Resources Partners LP 3,535 256 0.09%
300 JNL/Mellon Capital Nasdaq 25 12,310 252 0.09%
Page 6 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 iShares S&P 600 Index 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 EDGEWELL PERSONAL 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 SPONSORED ADR 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 Adm 17,943 201 0.05%
517 Peabody Energy Corp 16,257 201 0.05%
518 FRONTIER COMMUNICATIONS CORP COM 30,787 200 0.05%
519 CUSHING MLP TOTAL RETURN FUND 23,104 199 0.05%
520 PETROLEO BRASILEIRO 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 COM 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 PETROBR SPONSORED ADR 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 FD COM SHS 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 OLD REPUBLIC 16,791 164 0.04%
542 ANNALY CAP MGMT INC 15,089 161 0.04%
543 BLACKROCK ENH CAP & INC FD I 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 Corporation 11,744 155 0.04%
547 Hercules Offshore Inc 70,000 154 0.04%
548 VANGUARD FIXED INCOME SECS FD INFL PROT SECS 11,486 153 0.04%
549 JNL/NEUBERGER STRAT INCOME 13,585 145 0.04%
550 PREFERRED APT CMNTYS INC 17,150 143 0.04%
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