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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
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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