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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
601 KRATOS DEFENSE & SECURITY SOLU COM 10,738 70 0.02%
602 BLACKROCK DEBT STRAT FD INC COM 17,833 68 0.02%
603 IVY MUNICIPAL HIGH INC-I 11,617 61 0.02%
604 KBS REAL ESTATE 10,000 61 0.02%
605 MANAGED HIGH YIELD PLUS FUND INC 30,142 60 0.02%
606 NOVAVAX INC COM 14,500 60 0.02%
607 TOWERSTREAM CORP 40,160 59 0.02%
608 Neo Performance Materials 48,050 57 0.01%
609 RESOURCE CAP CORP 11,346 55 0.01%
610 New York N Y City Hsg Dev Corp 50,000 51 0.01%
611 ZYNGA INC 17,767 48 0.01%
612 ARENA PHARMACEUTICALS INC 10,600 44 0.01%
613 DENISON MINES CORP 36,000 41 0.01%
614 New York N Y 35,000 38 0.01%
615 UNILIFE CORP 16,500 38 0.01%
616 Mad Catz Interactive 90,000 35 0.01%
617 Amerenenergy Generating Co 35,000 33 0.01%
618 New York St Energy Resh & Dev Ref Rev B 30,000 30 0.01%
619 NOVAGOLD RES INC 10,000 30 0.01%
620 HECLA MNG CO 11,607 29 0.01%
621 Aegon Funding Corp 25,000 29 0.01%
622 Invesco V.I. Government Securities Fund 20,964 28 0.01%
623 New York N Y City Transitional 25,000 27 0.01%
624 Morgan Stanley D W Disc Srmtns 25,000 26 0.01%
625 United States Treas Nts TIPS 01.875%15 TIPS 01.875%15 20,000 25 0.01%
626 Morgan Stanley D W Disc Srmtns 23,000 23 0.01%
627 Goldman Sachs Grp Inc Mtn Be 20,000 22 0.01%
628 ZBB ENERGY CORPORATION 40,000 22 0.01%
629 United States Treas Bds 6.125%11/15/2027 15,000 21 0.01%
630 RENN FD INC 13,853 21 0.01%
631 AMARIN CORP PLC 18,150 20 0.01%
632 Dendreon Corp 13,215 19 0.00%
633 General Electric Capital Corp 15,000 17 0.00%
634 New York N Y 15,000 17 0.00%
635 Winter Garden Fla Sales Tax Re 15,000 16 0.00%
636 New York N Y City Mun Wtr Fin Rev Bds 15,000 16 0.00%
637 Oyster Bay N Y 15,000 16 0.00%
638 New York N Y City Transitional 15,000 16 0.00%
639 New York N Y Go Bds 15,000 16 0.00%
640 HP INC. 4.0522 15,000 16 0.00%
641 Gnma Pass-Thru X Single Family 93,000 15 0.00%
642 Miami Dade Cnty Fla Solid Wast Solid Was 15,000 15 0.00%
643 Bank Of America Corp 15,000 15 0.00%
644 Illinois St Go Bds 15,000 15 0.00%
645 Birmingham Ala Wtrwks Brd Wtr 13,000 15 0.00%
646 Block Finl Corp 15,000 15 0.00%
647 PROVECTUS 14,000 14 0.00%
648 GENWORTH FINL INC 12,000 14 0.00%
649 Orlando & Orange Cnty Expwy Au 12,500 13 0.00%
650 RELIV INTL INC COM NEW 10,562 13 0.00%
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