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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
551 Ft Water Utility & Infras Sel 28 F Re 13,597 142 0.04%
552 MITSUBISHI UFJ FINL GROUP INCORPORATED SPONSORED ADR 25,330 142 0.04%
553 OCULUS INNOVATIVE SCIENCES I 58,603 138 0.04%
554 Franklin Strat Income Fund Adv Cl 13,173 138 0.04%
555 CALAMOS CONV OPPORTUNITIES & 10,134 137 0.04%
556 DREYFUS HIGH YIELD STRATEGIE 36,547 135 0.04%
557 BLACKROCK MUN B 12,204 134 0.03%
558 BlackRock 11,850 134 0.03%
559 JNL/Neuberger Berman Strategic Income 12,589 133 0.03%
560 NATURAL RESOURCE PARTNERS 10,165 133 0.03%
561 SILVERCORP METALS INC 82,112 131 0.03%
562 * ATMEL CORP COM 19,000 129 0.03%
563 MIMEDX GROUP INC COM 18,000 128 0.03%
564 Aberdeen Asia-Pacific Income 21,567 127 0.03%
565 Franklin NY Intermediate T/F Income A 10,731 126 0.03%
566 Chimera Investment Corp REIT 41,366 126 0.03%
567 Steelpath MLP Fund Trust Income Fd Cl I 10,496 124 0.03%
568 * SANDRIDGE ENERGY INC COM 28,800 124 0.03%
569 Pimco Fds All Asst All Auth Fd Cl D 12,457 123 0.03%
570 NEURALSTEM INC COM 37,362 123 0.03%
571 CALAMOS STRATEGIC TOTL RETN 10,396 122 0.03%
572 TEMPLETON GLOBAL INCOME FD 15,212 121 0.03%
573 AMR Global Small Capitalization HLS 10,724 119 0.03%
574 NUVEEN MUN VALUE FD INC 12,473 117 0.03%
575 Nexpoint Cr Strategies 11,038 117 0.03%
576 BLACKROCK ENHANCED EQT DIV T 13,930 114 0.03%
577 JETBLUE AIRWAYS CORP 10,750 114 0.03%
578 NEW YORK MORTGAGE TRUST INC COM 15,103 109 0.03%
579 OCH-ZIFF CAP MGMT GROUP CL A SHS 10,050 108 0.03%
580 BlackRock Strategic Income Opportunities Portfolio 10,367 107 0.03%
581 NY Fixed Acc - 3 Percent Minimum 105,225 105 0.03%
582 Oppenheimer Rochester Limited Term New York Municipal Fund 32,359 102 0.03%
583 FIDELITY ADVISOR SER II FL RT 10,166 100 0.03%
584 Cinedigm Corp 63,549 99 0.03%
585 Arch Coal Inc 46,436 98 0.03%
586 FORTRESS INVESTMENT GROUP LL 14,100 97 0.03%
587 RITE AID CORP 19,495 94 0.02%
588 Lloyds Banking Group Plc 18,575 94 0.02%
589 SPROTT PHYSICAL PLAT PALLAD 10,000 89 0.02%
590 Ivy Funds Inc Muni High Income Cl A 16,732 88 0.02%
591 DOT HILL SYS CORP 22,710 86 0.02%
592 GRO FIXD 83,200 83 0.02%
593 WALTER ENERGY INC COM 35,520 83 0.02%
594 SIRIUS XM HOLDINGS INC 22,982 80 0.02%
595 LOCAL CORP COM 40,000 80 0.02%
596 CORONADO BIOSCIENCES INC 38,100 80 0.02%
597 GABELLI UTIL TR 10,909 78 0.02%
598 PENN WEST PETE LTD NEW 10,700 76 0.02%
599 Magnum Hunter Resources Corp 13,320 74 0.02%
600 OPPENHEIMER STRATEG FD INCOME 17,223 71 0.02%
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