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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 App Fin II Mauritius Ltd 35,000 0 0.00%
2 WAFERGEN BIO-SYSTEMS INC 52,500 0 0.00%
3 ATLATSA RES CORP 10,651 3 0.00%
4 PALATIN TECHNOLOGIES INC COM 10,000 9 0.00%
5 Bmc Software Inc 10,000 10 0.00%
6 Dell Inc 10,000 10 0.00%
7 Dade Cnty Fla Hsg Fin Auth Mul 10,000 10 0.00%
8 New York N Y City Mun Wtr Fin 10,000 10 0.00%
9 HOUSTON AMERN ENERGY CORP 34,306 10 0.00%
10 AMERICAN APPAREL INC 12,500 10 0.00%
11 Butler Cnty Ohio Hosp Facs Rev Hosp Fac 10,000 10 0.00%
12 New York St Environmental Facs 10,000 10 0.00%
13 Suffolk Cnty N Y 10,000 10 0.00%
14 Ba Mtg Trust 2006-2 20,000 11 0.00%
15 Commercial Metals Co 10,000 11 0.00%
16 New York N Y City Mun Wtr Fin 10,000 11 0.00%
17 National Holdings Corp 23,526 11 0.00%
18 Ulster Cnty N Y 10,000 11 0.00%
19 Miami-Dade Cnty Fla Aviation R Aviation 10,000 11 0.00%
20 Salt Verde Finl Corp Sr Gas Re 10,000 12 0.00%
21 Ohio St 11,000 12 0.00%
22 Orlando & Orange Cnty Expwy Au 12,500 13 0.00%
23 RELIV INTL INC COM NEW 10,562 13 0.00%
24 PROVECTUS 14,000 14 0.01%
25 Bank Of America Corp 15,000 15 0.01%
26 Miami Dade Cnty Fla Solid Wast Solid Was 15,000 15 0.01%
27 Illinois St Go Bds 15,000 15 0.01%
28 Block Finl Corp 15,000 15 0.01%
29 Birmingham Ala Wtrwks Brd Wtr 13,000 15 0.01%
30 HP INC. 4.0522 15,000 16 0.01%
31 New York N Y City Transitional 15,000 16 0.01%
32 Oyster Bay N Y 15,000 16 0.01%
33 New York N Y Go Bds 15,000 16 0.01%
34 Winter Garden Fla Sales Tax Re 15,000 16 0.01%
35 New York N Y City Mun Wtr Fin Rev Bds 15,000 16 0.01%
36 New York N Y 15,000 17 0.01%
37 Dendreon Corp 13,215 19 0.01%
38 AMARIN CORP PLC 18,150 20 0.01%
39 United States Treas Bds 6.125%11/15/2027 15,000 21 0.01%
40 ZBB ENERGY CORPORATION 40,000 22 0.01%
41 Morgan Stanley D W Disc Srmtns 23,000 23 0.01%
42 United States Treas Nts TIPS 01.875%15 TIPS 01.875%15 20,000 25 0.01%
43 Morgan Stanley D W Disc Srmtns 25,000 26 0.01%
44 New York N Y City Transitional 25,000 27 0.01%
45 Invesco V.I. Government Securities Fund 20,964 28 0.01%
46 Aegon Funding Corp 25,000 29 0.01%
47 NOVAGOLD RES INC 10,000 30 0.01%
48 New York St Energy Resh & Dev Ref Rev B 30,000 30 0.01%
49 Amerenenergy Generating Co 35,000 33 0.01%
50 Mad Catz Interactive 90,000 35 0.01%
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
451 ISHARES TR 1,605 237 0.06%
452 WESTERN DIGITAL CORP 2,430 236 0.06%
453 FIRST TR EXCHANGE TRADED FD 6,370 235 0.06%
454 PIONEER NAT RES CO 1,193 235 0.06%
455 HENRY JACK & ASSOC INC 4,228 235 0.06%
456 CONTINENTAL RESOURE 3,521 234 0.06%
457 Fidelity Canada 3,779 234 0.06%
458 CARTER VALIDUS MISSION CRITICA COM 23,365 234 0.06%
459 Mutual Global Discovery Securities Fund 16,883 234 0.06%
460 ROYAL DUTCH SHELL PLC 2,943 233 0.06%
461 VANGUARD WORLD FD 1,990 233 0.06%
462 UNITED RENTALS INC 2,097 233 0.06%
463 TEXAS INSTRS INC 4,823 230 0.06%
464 PIMCO STRATEGIC INCOME FD 23,221 229 0.06%
465 WISDOMTREE TR 4,939 228 0.06%
466 DODGE & COX INTERNATIONAL STOCK FUND 5,053 228 0.06%
467 VIRNETX HLDG CORP 37,950 228 0.06%
468 VANGUARD TAX-MANAGED FDS 5,737 228 0.06%
469 ICAHN ENTERPRISES LP 2,150 228 0.06%
470 ISHARES TR 2,068 226 0.06%
471 KIMBERLY CLARK CORP 2,092 225 0.06%
472 SHERWIN WILLIAMS CO 1,025 224 0.06%
473 ISHARES TR 2,444 224 0.06%
474 VANGUARD INTL EQUITY INDEX F 5,383 224 0.06%
475 FLEETCOR TECHNOLOGIES INC 1,571 223 0.06%
476 CRH PLC 9,745 223 0.06%
477 HALLIBURTON CO 3,437 221 0.06%
478 UNI PIXEL INC COM NEW 34,887 221 0.06%
479 EATON VANCE RISK MNGD DIV EQ 18,907 221 0.06%
480 VANGUARD WHITEHALL FDS 3,317 220 0.06%
481 TELEFONAKTIEBOLAGET LM ERICS 17,517 220 0.06%
482 KROGER CO 4,218 219 0.06%
483 FLAHERTY CRUMRINE PFD SECS 11,279 218 0.06%
484 AKAMAI TECHNOLOGIES INC 2,003 218 0.06%
485 WYNDHAM WORLDWIDE CORP 2,688 218 0.06%
486 Ubs Ag Shs New 12,538 218 0.06%
487 BOARDWALK PIPELINE PARTNERS 11,680 218 0.06%
488 HOLLYFRONTIER CORP 4,924 215 0.06%
489 FIRST TRUST EXCH TRADED FUND 2 FINLS ALPHADEX ETF 9,800 214 0.06%
490 FEDERATED NATL HLDG CO COM 7,614 214 0.06%
491 FIDELITY TOTAL BOND 20,058 214 0.06%
492 CLAYMORE EXCHANGE TRD FD TR 8,798 214 0.06%
493 VANGUARD INTL EQUITY INDEX F 3,884 214 0.06%
494 TEEKAY LNG PARTNERS L P 4,894 213 0.06%
495 BUFFALO WILD WINGS INC 1,585 213 0.06%
496 TEVA PHARMACEUTICAL INDS LTD 3,940 212 0.06%
497 SPDR DOW JONES INDL AVRG ETF 1,240 211 0.05%
498 HI-CRUSH PARTNERS LP 4,100 211 0.05%
499 3M CO 1,479 210 0.05%
500 First Eagle Fds Inc Overseas Fd Cl A 8,870 209 0.05%
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