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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
551 Ft Water Utility & Infras Sel 28 F Re 13,597 142 0.04%
552 MITSUBISHI UFJ FINL GROUP INCORPORATED SPONSORED ADR 25,330 142 0.04%
553 OCULUS INNOVATIVE SCIENCES I 58,603 138 0.04%
554 Franklin Strat Income Fund Adv Cl 13,173 138 0.04%
555 CALAMOS CONV OPPORTUNITIES & 10,134 137 0.04%
556 DREYFUS HIGH YIELD STRATEGIE 36,547 135 0.04%
557 BLACKROCK MUN B 12,204 134 0.03%
558 BlackRock 11,850 134 0.03%
559 JNL/Neuberger Berman Strategic Income 12,589 133 0.03%
560 NATURAL RESOURCE PARTNERS 10,165 133 0.03%
561 SILVERCORP METALS INC 82,112 131 0.03%
562 * ATMEL CORP COM 19,000 129 0.03%
563 MIMEDX GROUP INC COM 18,000 128 0.03%
564 Aberdeen Asia-Pacific Income 21,567 127 0.03%
565 Franklin NY Intermediate T/F Income A 10,731 126 0.03%
566 Chimera Investment Corp REIT 41,366 126 0.03%
567 Steelpath MLP Fund Trust Income Fd Cl I 10,496 124 0.03%
568 * SANDRIDGE ENERGY INC COM 28,800 124 0.03%
569 Pimco Fds All Asst All Auth Fd Cl D 12,457 123 0.03%
570 NEURALSTEM INC COM 37,362 123 0.03%
571 CALAMOS STRATEGIC TOTL RETN 10,396 122 0.03%
572 TEMPLETON GLOBAL INCOME FD 15,212 121 0.03%
573 AMR Global Small Capitalization HLS 10,724 119 0.03%
574 NUVEEN MUN VALUE FD INC 12,473 117 0.03%
575 Nexpoint Cr Strategies 11,038 117 0.03%
576 BLACKROCK ENHANCED EQT DIV T 13,930 114 0.03%
577 JETBLUE AIRWAYS CORP 10,750 114 0.03%
578 NEW YORK MORTGAGE TRUST INC COM 15,103 109 0.03%
579 OCH-ZIFF CAP MGMT GROUP CL A SHS 10,050 108 0.03%
580 BlackRock Strategic Income Opportunities Portfolio 10,367 107 0.03%
581 NY Fixed Acc - 3 Percent Minimum 105,225 105 0.03%
582 Oppenheimer Rochester Limited Term New York Municipal Fund 32,359 102 0.03%
583 FIDELITY ADVISOR SER II FL RT 10,166 100 0.03%
584 Cinedigm Corp 63,549 99 0.03%
585 Arch Coal Inc 46,436 98 0.03%
586 FORTRESS INVESTMENT GROUP LL 14,100 97 0.03%
587 RITE AID CORP 19,495 94 0.02%
588 Lloyds Banking Group Plc 18,575 94 0.02%
589 SPROTT PHYSICAL PLAT PALLAD 10,000 89 0.02%
590 Ivy Funds Inc Muni High Income Cl A 16,732 88 0.02%
591 DOT HILL SYS CORP 22,710 86 0.02%
592 GRO FIXD 83,200 83 0.02%
593 WALTER ENERGY INC COM 35,520 83 0.02%
594 SIRIUS XM HOLDINGS INC 22,982 80 0.02%
595 LOCAL CORP COM 40,000 80 0.02%
596 CORONADO BIOSCIENCES INC 38,100 80 0.02%
597 GABELLI UTIL TR 10,909 78 0.02%
598 PENN WEST PETE LTD NEW 10,700 76 0.02%
599 Magnum Hunter Resources Corp 13,320 74 0.02%
600 OPPENHEIMER STRATEG FD INCOME 17,223 71 0.02%
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