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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 TR 2,346 306 0.11%
254 MASTERCARD INCORPORATED 10,735 303 0.11%
255 BLACKROCK MUNI NJ FUND INC COM 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 COHEN & STEERS REIT ETF 3,471 293 0.11%
261 MANHATTAN ASSOCIATES INC 8,774 293 0.11%
262 TRANSOCEAN LTD 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 YAHOO INC 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 Vaneck Vectors Gold 13,225 282 0.10%
270 ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF 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 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 POWERSHARES ETF TRUST II 8,770 270 0.10%
279 iShares Mortgage Real Estate C 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 CLASS A 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 SVC ENTERPRISE GRP IN 7,100 264 0.10%
288 POWERSHARES ETF TRUST 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 4,083 260 0.10%
294 MOSAIC CO NEW 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 FD 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
601 KRATOS DEFENSE & SECURITY SOLU COM 10,738 70 0.02%
602 BLACKROCK DEBT STRAT FD INC COM 17,833 68 0.02%
603 IVY MUNICIPAL HIGH INC-I 11,617 61 0.02%
604 KBS REAL ESTATE 10,000 61 0.02%
605 MANAGED HIGH YIELD PLUS FUND INC 30,142 60 0.02%
606 NOVAVAX INC COM 14,500 60 0.02%
607 TOWERSTREAM CORP 40,160 59 0.02%
608 Neo Performance Materials 48,050 57 0.01%
609 RESOURCE CAP CORP 11,346 55 0.01%
610 New York N Y City Hsg Dev Corp 50,000 51 0.01%
611 ZYNGA INC 17,767 48 0.01%
612 ARENA PHARMACEUTICALS INC 10,600 44 0.01%
613 DENISON MINES CORP 36,000 41 0.01%
614 New York N Y 35,000 38 0.01%
615 UNILIFE CORP 16,500 38 0.01%
616 Mad Catz Interactive 90,000 35 0.01%
617 Amerenenergy Generating Co 35,000 33 0.01%
618 New York St Energy Resh & Dev Ref Rev B 30,000 30 0.01%
619 NOVAGOLD RES INC 10,000 30 0.01%
620 HECLA MNG CO 11,607 29 0.01%
621 Aegon Funding Corp 25,000 29 0.01%
622 Invesco V.I. Government Securities Fund 20,964 28 0.01%
623 New York N Y City Transitional 25,000 27 0.01%
624 Morgan Stanley D W Disc Srmtns 25,000 26 0.01%
625 United States Treas Nts TIPS 01.875%15 TIPS 01.875%15 20,000 25 0.01%
626 Morgan Stanley D W Disc Srmtns 23,000 23 0.01%
627 Goldman Sachs Grp Inc Mtn Be 20,000 22 0.01%
628 ZBB ENERGY CORPORATION 40,000 22 0.01%
629 United States Treas Bds 6.125%11/15/2027 15,000 21 0.01%
630 RENN FD INC 13,853 21 0.01%
631 AMARIN CORP PLC 18,150 20 0.01%
632 Dendreon Corp 13,215 19 0.00%
633 General Electric Capital Corp 15,000 17 0.00%
634 New York N Y 15,000 17 0.00%
635 Winter Garden Fla Sales Tax Re 15,000 16 0.00%
636 New York N Y City Mun Wtr Fin Rev Bds 15,000 16 0.00%
637 Oyster Bay N Y 15,000 16 0.00%
638 New York N Y City Transitional 15,000 16 0.00%
639 New York N Y Go Bds 15,000 16 0.00%
640 HP INC. 4.0522 15,000 16 0.00%
641 Gnma Pass-Thru X Single Family 93,000 15 0.00%
642 Miami Dade Cnty Fla Solid Wast Solid Was 15,000 15 0.00%
643 Bank Of America Corp 15,000 15 0.00%
644 Illinois St Go Bds 15,000 15 0.00%
645 Birmingham Ala Wtrwks Brd Wtr 13,000 15 0.00%
646 Block Finl Corp 15,000 15 0.00%
647 PROVECTUS 14,000 14 0.00%
648 GENWORTH FINL INC 12,000 14 0.00%
649 Orlando & Orange Cnty Expwy Au 12,500 13 0.00%
650 RELIV INTL INC COM NEW 10,562 13 0.00%
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