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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
1 REVOLUTION LIGHTING TECHNOLO COM 356,190 598 0.22%
2 PEABODY ENERGY CORP 16,257 201 0.07%
3 * ATMEL CORP COM 19,000 129 0.05%
4 * SANDRIDGE ENERGY INC COM 28,800 124 0.05%
5 3M CO 1,479 210 0.08%
6 ABBVIE INC 11,868 685 0.25%
7 ACCESS MIDSTREAM PARTNERS LP 5,926 377 0.14%
8 AFLAC Inc 4,594 267 0.10%
9 AG MTG INVT TR INC 24,345 433 0.16%
10 AIM Invt Fds Invesco Bal Risk Allo Cl A 13,921 170 0.06%
11 AIM Invt Fds Invesco Bal Risk llo Cl Y 70,639 872 0.32%
12 AKAMAI TECHNOLOGIES INC 2,003 218 0.08%
13 ALLERGAN PLC 1,773 428 0.16%
14 ALLIANCEBERNSTEIN INCOME FUN 78,213 587 0.22%
15 ALPINE TTL DYNAMIC NEW 30,689 261 0.10%
16 ALPS ETF TR 48,771 935 0.34%
17 ALTRIA GROUP INC 57,535 2,643 0.97%
18 AMARIN CORP PLC 18,150 20 0.01%
19 AMAZON COM INC 2,746 885 0.32%
20 AMER RLTY CAP HEALTHCAR TR INC 15,000 157 0.06%
21 AMERICA MOVIL SAB DE CV 9,629 243 0.09%
22 AMERICAN APPAREL INC 12,500 10 0.00%
23 AMERICAN ELECTRIC POWER 6,862 358 0.13%
24 AMERICAN EXPRESS CO 6,883 603 0.22%
25 AMERICAN RLTY CAP PPTYS INC 48,689 587 0.22%
26 AMG YACKTMAN FUND CLASS I 18,562 461 0.17%
27 AMR Asset Allocation 11,448 197 0.07%
28 AMR Global Small Capitalization HLS 10,724 119 0.04%
29 AMR International HLS 20,425 204 0.07%
30 AMR New World HLS 19,728 204 0.07%
31 ANADARKO PETROLE 2,622 266 0.10%
32 ANNALY CAP MGMT INC 15,089 161 0.06%
33 ANNALY CAP MGMT INC 35,719 381 0.14%
34 API EFF FRNT INCM I 13,904 167 0.06%
35 APPLE COMPUTER INC 8,371 843 0.31%
36 APPLE COMPUTER INC 102,550 10,016 3.67%
37 ARENA PHARMACEUTICALS INC 10,600 44 0.02%
38 ARMOUR RESIDENTIAL REIT INC 244,953 943 0.35%
39 AT&T INC 120,552 4,284 1.57%
40 ATLATSA RES CORP 10,651 3 0.00%
41 Abbott Labs Common 8,220 342 0.13%
42 Aberdeen Asia-Pacific Income 21,567 127 0.05%
43 Aegon Funding Corp 25,000 29 0.01%
44 Alcoa Inc 22,431 361 0.13%
45 Alliance Data Systems 1,236 307 0.11%
46 Allianzgi Conv & Income Fund I 46,435 424 0.16%
47 Allstate Corp 5,953 365 0.13%
48 Amerenenergy Generating Co 35,000 33 0.01%
49 American International Group Inc 5,487 296 0.11%
50 American Water Works, Inc. 9,245 446 0.16%
Page 1 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
501 SPDR SER TR S&P 600 SML CAP 2,131 209 0.05%
502 INVESCO V.I. CORE EQUITY FUND 14,312 208 0.05%
503 FRK NY TAX FR INCM ADVS 17,804 208 0.05%
504 ILLINOIS TOOL WKS INC 2,450 207 0.05%
505 AMR New World HLS 19,728 204 0.05%
506 AMR International HLS 20,425 204 0.05%
507 HELMERICH & PAYNE INC 2,088 204 0.05%
508 PENNEY J C 20,330 204 0.05%
509 KELLOGG CO 3,296 203 0.05%
510 INTL PAPER CO 4,262 203 0.05%
511 TOTAL S A 3,150 203 0.05%
512 TIME WARNER INC 2,696 203 0.05%
513 SANDERSON FARMS INC 2,306 203 0.05%
514 HSBC HLDGS PLC 3,977 202 0.05%
515 TRAVELERS COMPANIES INC 2,144 201 0.05%
516 VANGUARD HIGH YIELD TAX EXEMPT ADMIRAL SHARES 17,943 201 0.05%
517 PEABODY ENERGY CORP 16,257 201 0.05%
518 FRONTIER COMMUNICATIONS CORP 30,787 200 0.05%
519 CUSHING MLP TOTAL RETURN FUND 23,104 199 0.05%
520 PETROLEO BRASILEIRO SA PETROBR SPONSORED ADR 13,392 199 0.05%
521 RIDGEWORTH FDS 22,144 198 0.05%
522 AMR Asset Allocation 11,448 197 0.05%
523 Jpmorgan NY Tax Free Bd Sel 26,581 195 0.05%
524 RETAIL PPTYS AMER INC CL A 13,277 194 0.05%
525 JNL/PPM America High Yield Bond Fund 10,367 192 0.05%
526 Franklin Strategic Income Securities 14,108 190 0.05%
527 POWERSHARES ETF TRUST 16,458 183 0.05%
528 PETROLEO BRASILEIRO SA PETRO 12,539 181 0.05%
529 PEDEVCO CORP 109,570 180 0.05%
530 INVESCO V.I. SMALL CAP EQUITY FUND 11,385 179 0.05%
531 HEALTHCARE TRUST AMERICA INC CL A NEW 14,931 173 0.05%
532 FRK UTILS ADVS 10,250 171 0.04%
533 PEOPLES UNITED FINANCIAL INC 11,848 171 0.04%
534 AIM Invt Fds Invesco Bal Risk Allo Cl A 13,921 170 0.04%
535 CORNERSTONE PROGRESSIVE RTN 41,000 169 0.04%
536 JOHN HANCOCK INCOME FUND-A 25,554 168 0.04%
537 API EFF FRNT INCM I 13,904 167 0.04%
538 CALAMOS CONV & HIGH INCOME F 11,682 166 0.04%
539 PIMCO Fds Fundamental Indexplus Tr Cl A 23,607 166 0.04%
540 SYNTHESIS ENERGY SYS INC 119,100 166 0.04%
541 GAMCO NATL RES GOLDINCM 16,791 164 0.04%
542 ANNALY CAP MGMT INC 15,089 161 0.04%
543 BLACKROCK ENHANCED CAP INC 10,743 160 0.04%
544 UNITED INS HLDGS CORP 10,500 158 0.04%
545 AMER RLTY CAP HEALTHCAR TR INC 15,000 157 0.04%
546 XEROX CORP 11,744 155 0.04%
547 Hercules Offshore Inc 70,000 154 0.04%
548 VANGUARD INFLATION PROTECTED SECURITIES FUND 11,486 153 0.04%
549 JNL/NEUBERGER STRAT INCOME 13,585 145 0.04%
550 PREFERRED APT CMNTYS INC COM 17,150 143 0.04%
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