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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 TS UNIT 10,000 89 0.03%
404 Ivy Funds Inc Muni High Income Cl A 16,732 88 0.03%
405 Walter Energy Inc 35,520 83 0.03%
406 GRO FIXD 83,200 83 0.03%
407 SIRIUS XM HOLDINGS 22,982 80 0.03%
408 CORONADO BIOSCIENCES INC 38,100 80 0.03%
409 LOCAL CORP COM 40,000 80 0.03%
410 OBSIDIAN ENERGY LTD COM 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 Solutions Inc 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 Muni High Income Fund Cl 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%
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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
1 WAFERGEN BIO-SYSTEMS INC 52,500 0 0.00%
2 ION LTD ADR 10,000 0 0.00%
3 App Fin II Mauritius Ltd 35,000 0 0.00%
4 ER Urgent Care Holdings, Inc. 400,000 0 0.00%
5 Fhlmc Remic Series 2036 10,000 2 0.00%
6 ATLATSA RES CORP 10,651 3 0.00%
7 PALATIN TECHNOLOGIES INC 10,000 9 0.00%
8 Dell Inc 10,000 10 0.00%
9 Butler Cnty Ohio Hosp Facs Rev Hosp Fac 10,000 10 0.00%
10 Dade Cnty Fla Hsg Fin Auth Mul 10,000 10 0.00%
11 Bmc Software Inc 10,000 10 0.00%
12 New York St Environmental Facs 10,000 10 0.00%
13 AMERICAN APPAREL INC 12,500 10 0.00%
14 Suffolk Cnty N Y 10,000 10 0.00%
15 HOUSTON AMERN ENERGY CORP 34,306 10 0.00%
16 New York N Y City Mun Wtr Fin 10,000 10 0.00%
17 National Holdings Corp 23,526 11 0.00%
18 Miami-Dade Cnty Fla Aviation R Aviation 10,000 11 0.00%
19 Ba Mtg Trust 2006-2 20,000 11 0.00%
20 General Electric Co 10,000 11 0.00%
21 Commercial Metals Co 10,000 11 0.00%
22 Ulster Cnty N Y 10,000 11 0.00%
23 New York N Y City Mun Wtr Fin 10,000 11 0.00%
24 Salt Verde Finl Corp Sr Gas Re 10,000 12 0.00%
25 Ohio St 11,000 12 0.00%
26 Orlando & Orange Cnty Expwy Au 12,500 13 0.00%
27 RELIV INTL INC COM NEW 10,562 13 0.00%
28 PROVECTUS BIOPHARMACEUTICALS 14,000 14 0.00%
29 GENWORTH FINL INC 12,000 14 0.00%
30 Birmingham Ala Wtrwks Brd Wtr 13,000 15 0.00%
31 Gnma Pass-Thru X Single Family 93,000 15 0.00%
32 Block Finl Corp 15,000 15 0.00%
33 Illinois St Go Bds 15,000 15 0.00%
34 Miami Dade Cnty Fla Solid Wast Solid Was 15,000 15 0.00%
35 Bank Of America Corp 15,000 15 0.00%
36 Winter Garden Fla Sales Tax Re 15,000 16 0.00%
37 HP INC. 4.0522 15,000 16 0.00%
38 New York N Y City Transitional 15,000 16 0.00%
39 Oyster Bay N Y 15,000 16 0.00%
40 New York N Y City Mun Wtr Fin Rev Bds 15,000 16 0.00%
41 New York N Y Go Bds 15,000 16 0.00%
42 New York N Y 15,000 17 0.00%
43 General Electric Capital Corp 15,000 17 0.00%
44 Dendreon Corp 13,215 19 0.00%
45 AMARIN CORP PLC 18,150 20 0.01%
46 United States Treas Bds 6.125%11/15/2027 15,000 21 0.01%
47 RENN FD INC 13,853 21 0.01%
48 ZBB ENERGY CORPORATION 40,000 22 0.01%
49 Goldman Sachs Grp Inc Mtn Be 20,000 22 0.01%
50 Morgan Stanley D W Disc Srmtns 23,000 23 0.01%
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