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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
651 Ohio St 11,000 12 0.00%
652 Salt Verde Finl Corp Sr Gas Re 10,000 12 0.00%
653 Miami-Dade Cnty Fla Aviation R Aviation 10,000 11 0.00%
654 Commercial Metals Co 10,000 11 0.00%
655 National Holdings Corp 23,526 11 0.00%
656 General Electric Co 10,000 11 0.00%
657 Ba Mtg Trust 2006-2 20,000 11 0.00%
658 New York N Y City Mun Wtr Fin 10,000 11 0.00%
659 Ulster Cnty N Y 10,000 11 0.00%
660 HOUSTON AMERN ENERGY CORP 34,306 10 0.00%
661 Suffolk Cnty N Y 10,000 10 0.00%
662 Bmc Software Inc 10,000 10 0.00%
663 Dell Inc 10,000 10 0.00%
664 Dade Cnty Fla Hsg Fin Auth Mul 10,000 10 0.00%
665 New York St Environmental Facs 10,000 10 0.00%
666 AMERICAN APPAREL INC 12,500 10 0.00%
667 Butler Cnty Ohio Hosp Facs Rev Hosp Fac 10,000 10 0.00%
668 New York N Y City Mun Wtr Fin 10,000 10 0.00%
669 PALATIN TECHNOLOGIES INC COM 10,000 9 0.00%
670 ATLATSA RES CORP 10,651 3 0.00%
671 Fhlmc Remic Series 2036 10,000 2 0.00%
672 ER Urgent Care Holdings, Inc. 400,000 0 0.00%
673 WAFERGEN BIO-SYSTEMS INC 52,500 0 0.00%
674 ION LTD ADR 10,000 0 0.00%
675 App Fin II Mauritius Ltd 35,000 0 0.00%
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