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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
351 RIDGEWORTH FDS 22,144 198 0.07%
352 AMR Asset Allocation 11,448 197 0.07%
353 Jpmorgan NY Tax Free Bd Sel 26,581 195 0.07%
354 RETAIL PPTYS AMER INC CL A 13,277 194 0.07%
355 JNL/PPM America High Yield Bond Fund 10,367 192 0.07%
356 Franklin Strategic Income Securities 14,108 190 0.07%
357 POWERSHARES ETF TRUST 16,458 183 0.07%
358 PETROLEO BRASILEIRO SA PETRO 12,539 181 0.07%
359 PEDEVCO CORP 109,570 180 0.07%
360 INVESCO V.I. SMALL CAP EQUITY FUND 11,385 179 0.07%
361 HEALTHCARE TRUST AMERICA INC CL A NEW 14,931 173 0.06%
362 PEOPLES UNITED FINANCIAL INC 11,848 171 0.06%
363 AIM Invt Fds Invesco Bal Risk Allo Cl A 13,921 170 0.06%
364 CORNERSTONE PROGRESSIVE RTN 41,000 169 0.06%
365 API EFF FRNT INCM I 13,904 167 0.06%
366 PIMCO Fds Fundamental Indexplus Tr Cl A 23,607 166 0.06%
367 CALAMOS CONV & HIGH INCOME F 11,682 166 0.06%
368 GAMCO NATL RES GOLDINCM 16,791 164 0.06%
369 ANNALY CAP MGMT INC 15,089 161 0.06%
370 BLACKROCK ENHANCED CAP INC 10,743 160 0.06%
371 AMER RLTY CAP HEALTHCAR TR INC 15,000 157 0.06%
372 XEROX CORP 11,744 155 0.06%
373 VANGUARD INFLATION PROTECTED SECURITIES FUND 11,486 153 0.06%
374 JNL/NEUBERGER STRAT INCOME 13,585 145 0.05%
375 PREFERRED APT CMNTYS INC COM 17,150 143 0.05%
376 MITSUBISHI UFJ FINL GROUP INCORPORATED SPONSORED ADR 25,330 142 0.05%
377 OCULUS INNOVATIVE SCIENCES I 58,603 138 0.05%
378 CALAMOS CONV OPPORTUNITIES & 10,134 137 0.05%
379 BLACKROCK MUN B 12,204 134 0.05%
380 BlackRock 11,850 134 0.05%
381 NATURAL RESOURCE PARTNERS 10,165 133 0.05%
382 JNL/Neuberger Berman Strategic Income 12,589 133 0.05%
383 SILVERCORP METALS INC 82,112 131 0.05%
384 * ATMEL CORP COM 19,000 129 0.05%
385 MIMEDX GROUP INC COM 18,000 128 0.05%
386 Aberdeen Asia-Pacific Income 21,567 127 0.05%
387 Chimera Investment Corp REIT 41,366 126 0.05%
388 * SANDRIDGE ENERGY INC COM 28,800 124 0.05%
389 NEURALSTEM INC COM 37,362 123 0.05%
390 Pimco Fds All Asst All Auth Fd Cl D 12,457 123 0.05%
391 CALAMOS STRATEGIC TOTL RETN 10,396 122 0.04%
392 AMR Global Small Capitalization HLS 10,724 119 0.04%
393 NUVEEN MUN VALUE FD INC 12,473 117 0.04%
394 Nexpoint Cr Strategies 11,038 117 0.04%
395 BLACKROCK ENHANCED EQT DIV T 13,930 114 0.04%
396 JETBLUE AIRWAYS CORP 10,750 114 0.04%
397 NEW YORK MORTGAGE TRUST INC COM 15,103 109 0.04%
398 OCH-ZIFF CAP MGMT GROUP CL A SHS 10,050 108 0.04%
399 BlackRock Strategic Income Opportunities Portfolio 10,367 107 0.04%
400 NY Fixed Acc - 3 Percent Minimum 105,225 105 0.04%
Page 8 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 SPDR SER TR S&P 600 SML CAP 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 PENNEY J C 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 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 ADMIRAL SHARES 17,943 201 0.05%
517 PEABODY ENERGY CORP 16,257 201 0.05%
518 FRONTIER COMMUNICATIONS CORP 30,787 200 0.05%
519 CUSHING MLP TOTAL RETURN FUND 23,104 199 0.05%
520 PETROLEO BRASILEIRO SA PETROBR SPONSORED ADR 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 CL A 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 PETRO 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 F 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 GAMCO NATL RES GOLDINCM 16,791 164 0.04%
542 ANNALY CAP MGMT INC 15,089 161 0.04%
543 BLACKROCK ENHANCED CAP INC 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 CORP 11,744 155 0.04%
547 Hercules Offshore Inc 70,000 154 0.04%
548 VANGUARD INFLATION PROTECTED SECURITIES FUND 11,486 153 0.04%
549 JNL/NEUBERGER STRAT INCOME 13,585 145 0.04%
550 PREFERRED APT CMNTYS INC COM 17,150 143 0.04%
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