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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
401 Arch Coal Inc 46,436 98 0.04%
402 Lloyds Banking Group Plc 18,575 94 0.03%
403 SPROTT PHYSICAL PLAT PALLAD 10,000 89 0.03%
404 Ivy Funds Inc Muni High Income Cl A 16,732 88 0.03%
405 WALTER ENERGY INC COM 35,520 83 0.03%
406 GRO FIXD 83,200 83 0.03%
407 SIRIUS XM HOLDINGS INC 22,982 80 0.03%
408 CORONADO BIOSCIENCES INC 38,100 80 0.03%
409 LOCAL CORP COM 40,000 80 0.03%
410 PENN WEST PETE LTD NEW 10,700 76 0.03%
411 Magnum Hunter Resources Corp 13,320 74 0.03%
412 OPPENHEIMER STRATEG FD INCOME 17,223 71 0.03%
413 KRATOS DEFENSE & SECURITY SOLU COM 10,738 70 0.03%
414 BLACKROCK DEBT STRAT FD INC COM 17,833 68 0.02%
415 KBS REAL ESTATE 10,000 61 0.02%
416 IVY MUNICIPAL HIGH INC-I 11,617 61 0.02%
417 MANAGED HIGH YIELD PLUS FUND INC 30,142 60 0.02%
418 NOVAVAX INC COM 14,500 60 0.02%
419 Neo Performance Materials 48,050 57 0.02%
420 RESOURCE CAP CORP 11,346 55 0.02%
421 New York N Y City Hsg Dev Corp 50,000 51 0.02%
422 ZYNGA INC 17,767 48 0.02%
423 ARENA PHARMACEUTICALS INC 10,600 44 0.02%
424 New York N Y 35,000 38 0.01%
425 UNILIFE CORP 16,500 38 0.01%
426 Mad Catz Interactive 90,000 35 0.01%
427 Amerenenergy Generating Co 35,000 33 0.01%
428 NOVAGOLD RES INC 10,000 30 0.01%
429 New York St Energy Resh & Dev Ref Rev B 30,000 30 0.01%
430 Aegon Funding Corp 25,000 29 0.01%
431 Invesco V.I. Government Securities Fund 20,964 28 0.01%
432 New York N Y City Transitional 25,000 27 0.01%
433 Morgan Stanley D W Disc Srmtns 25,000 26 0.01%
434 United States Treas Nts TIPS 01.875%15 TIPS 01.875%15 20,000 25 0.01%
435 Morgan Stanley D W Disc Srmtns 23,000 23 0.01%
436 ZBB ENERGY CORPORATION 40,000 22 0.01%
437 United States Treas Bds 6.125%11/15/2027 15,000 21 0.01%
438 AMARIN CORP PLC 18,150 20 0.01%
439 Dendreon Corp 13,215 19 0.01%
440 New York N Y 15,000 17 0.01%
441 New York N Y City Mun Wtr Fin Rev Bds 15,000 16 0.01%
442 New York N Y Go Bds 15,000 16 0.01%
443 Winter Garden Fla Sales Tax Re 15,000 16 0.01%
444 New York N Y City Transitional 15,000 16 0.01%
445 HP INC. 4.0522 15,000 16 0.01%
446 Oyster Bay N Y 15,000 16 0.01%
447 Birmingham Ala Wtrwks Brd Wtr 13,000 15 0.01%
448 Miami Dade Cnty Fla Solid Wast Solid Was 15,000 15 0.01%
449 Block Finl Corp 15,000 15 0.01%
450 Illinois St Go Bds 15,000 15 0.01%
Page 9 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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