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
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
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%
Page 13 of 14