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
251 DELTA AIRLINES INC DEL 11,535 417 0.11%
252 SELECT SECTOR SPDR TR 7,809 415 0.11%
253 Ivy Fds Science Tech Fd Cl A 7,733 414 0.11%
254 EATON VANCE TAX-MANAGED GLOBAL COM 41,320 414 0.11%
255 QUALCOMM INC 5,525 413 0.11%
256 CORNING INC 21,265 411 0.11%
257 STATE STR CORP 5,552 408 0.11%
258 GUGGENHEIM 1:1 EXC 4/9/18 739371839 4,190 408 0.11%
259 POWERSHARES ETF TRUST 7,330 405 0.11%
260 Rcs Capital Corp 17,944 404 0.11%
261 ISHARES TR 4,403 403 0.10%
262 WAL-MART STORES INC 5,262 402 0.10%
263 UNITEDHEALTH GROUP INC 4,599 397 0.10%
264 PALO ALTO NETWORKS INC 4,020 394 0.10%
265 MARKET VECTORS ETF TR 6,110 394 0.10%
266 HARTFORD FINL SVCS GROUP INC 10,492 391 0.10%
267 HINES GLOBAL REIT INC COM 37,602 391 0.10%
268 DOMINION ENERGY INC 5,649 390 0.10%
269 ISHARES TR 2,579 390 0.10%
270 Ivy Fds High Income Cl A 45,914 390 0.10%
271 MASCO CORP 16,178 387 0.10%
272 FAIRHOLME FUND 9,623 387 0.10%
273 JNL/NEUBERGER STRAT INCOME 36,839 387 0.10%
274 ISHARES TR 3,338 384 0.10%
275 CORNERSTONE STRATEGIC VALUE FD INC COM NEW 65,797 384 0.10%
276 WILLIAMS COS INC DEL 6,931 384 0.10%
277 LINN ENERGY LLC UNIT LTD LIAB 12,690 382 0.10%
278 ANNALY CAP MGMT INC 35,719 381 0.10%
279 ORACLE CORP 9,952 381 0.10%
280 ACCESS MIDSTREAM PARTNERS LP 5,926 377 0.10%
281 ISHARES TR 4,439 375 0.10%
282 CANADIAN PAC RY LTD 1,802 374 0.10%
283 DIREXION DAILY GOLD MINERS BUL 15,900 373 0.10%
284 VANGUARD INDEX FDS 3,080 371 0.10%
285 TRINITY INDS INC 7,936 371 0.10%
286 OXFORD LANE CAP CORP 23,978 368 0.10%
287 Archer-Daniels-Midland 7,191 367 0.10%
288 Allstate Corp 5,953 365 0.09%
289 HCA HOLDINGS INC 5,147 363 0.09%
290 DANAHER CORP DEL 4,771 363 0.09%
291 SAREPTA THERAPEUTICS INC 16,320 363 0.09%
292 FIRST SOLAR INC 5,500 362 0.09%
293 Alcoa Inc 22,431 361 0.09%
294 E M C CORP MASS COM 12,348 361 0.09%
295 PUTNAM MANAGED MUN INCOME TR 50,870 360 0.09%
296 AMERICAN ELECTRIC POWER 6,862 358 0.09%
297 WEATHERFORD INTL PLC 17,182 357 0.09%
298 VODAFONE GROUP PLC NEW 10,866 357 0.09%
299 Templeton Global Bond 26,754 355 0.09%
300 LORD ABBETT INVT TR SH DURA IN 78,994 355 0.09%
Page 6 of 14