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
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
151 JNL/PPM AMERICA FL RATE INCOME 63,642 690 0.18%
152 FIRST TR MID CAP CORE ALPHAD 13,710 688 0.18%
153 ABBVIE INC 11,868 685 0.18%
154 POWERSHARES ETF TRUST 27,560 681 0.18%
155 VANGUARD SPECIALIZED FUNDS 8,739 673 0.18%
156 FIDELITY ADVISOR SER 67,674 665 0.17%
157 ISHARES TR 6,780 664 0.17%
158 MONSANTO CO NEW 5,890 663 0.17%
159 GILEAD SCIENCES INC 5,824 662 0.17%
160 FIRST EAGLE GLOBAL CLASS I 11,914 661 0.17%
161 JNL/S&P Intrinsic Value 31,351 656 0.17%
162 PEPSICO INC 7,045 656 0.17%
163 KRAFT HEINZ CO COM 11,580 653 0.17%
164 Oppenheimer Rochester Fund Municipals A 42,136 646 0.17%
165 FREEPORT-MCMORAN INC 18,183 643 0.17%
166 ISHARES NASDAQ BIOTECHNOLOGY ETF 893 641 0.17%
167 MCDONALDS CORP 6,701 635 0.17%
168 REVENUESHARES ETF TR SMALL CAP 12,180 632 0.16%
169 FIFTH STREET FINANCE CORP 67,576 620 0.16%
170 ISHARES TR 6,069 611 0.16%
171 COMCAST CORP NEW 11,280 607 0.16%
172 AMERICAN EXPRESS CO 6,883 603 0.16%
173 VANGUARD BD INDEX FDS 7,511 602 0.16%
174 REVOLUTION LIGHTING TECHNOLO COM 356,190 598 0.16%
175 Ivy Fds Asset Strategy Fd Cl A 19,538 596 0.16%
176 CME GROUP INC 7,423 594 0.15%
177 AMERICAN RLTY CAP PPTYS INC 48,689 587 0.15%
178 ALLIANCEBERNSTEIN INCOME FUN 78,213 587 0.15%
179 STARBUCKS CORP 7,699 581 0.15%
180 PROSHARES TR 7,503 568 0.15%
181 Astrazeneca Plc ADR F 7,892 563 0.15%
182 ISHARES TR 5,534 560 0.15%
183 VENTAS INC 9,023 559 0.15%
184 EXPRESS SCRIPTS HLDG CO 7,905 558 0.15%
185 Bank of New York Mellon Corp 14,413 558 0.15%
186 HONEYWELL INTL INC 5,953 554 0.14%
187 SELECT SECTOR SPDR TR 13,098 551 0.14%
188 TYCO INTL LTD. 12,330 550 0.14%
189 FIDELITY STOCK SELECTOR FUND 14,311 546 0.14%
190 REALTY INCOME CORP 13,372 545 0.14%
191 SCHLUMBERGER LTD 5,337 543 0.14%
192 PARKER HANNIFIN CORP 1,701 536 0.14%
193 UNILEVER N V 13,497 535 0.14%
194 RYDEX ETF TRUST 6,565 535 0.14%
195 New York REIT Inc 51,974 534 0.14%
196 EATON VANCE TAX MANAGED GLOB 43,753 532 0.14%
197 BLACKSTONE GROUP L P 15,812 528 0.14%
198 BIOGEN INC 1,589 526 0.14%
199 ISHARES TR 4,370 522 0.14%
200 Franklin Income Adv 211,244 520 0.14%
Page 4 of 14