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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
51 ISHARES TR 13,897 1,520 0.40%
52 Hotchkis & Wiley Capital Income A 117,293 1,517 0.39%
53 LILLY ELI & CO 22,939 1,487 0.39%
54 INTEL CORP 42,660 1,485 0.39%
55 CISCO SYS INC 58,977 1,484 0.39%
56 MOLYCORP INC (MCP) - 83.3333 c 4,200,000 1,470 0.38%
57 BANK AMERICA CORP 86,047 1,432 0.37%
58 InterOil Corp 26,213 1,422 0.37%
59 JNL/S&P Intrinsic Val 67,588 1,417 0.37%
60 FIRST TR EXCHANGE-TRADED FD 15,159 1,391 0.36%
61 PIMCO INCOME STRATEGY FUND II COM 130,472 1,374 0.36%
62 COCA COLA CO 31,836 1,374 0.36%
63 SPDR S&P 600 SMALL CAP VALUE ETF 13,131 1,343 0.35%
64 FIDELITY ADVISOR REAL ESTATE I 115,111 1,321 0.34%
65 SPDR SER TR 17,172 1,287 0.33%
66 CATERPILLAR INC 12,835 1,271 0.33%
67 Welltower Inc. 20,127 1,255 0.33%
68 ISHARES TR 24,192 1,247 0.32%
69 WELLS FARGO & CO NEW 24,022 1,246 0.32%
70 POWERSHARES ETF TRUST II 51,260 1,245 0.32%
71 BOEING CO 9,591 1,222 0.32%
72 JNL/Goldman Sachs Core Plus Bond Fund 48,342 1,196 0.31%
73 JNL/PPM America Fl Rate Income 109,874 1,186 0.31%
74 Chubb Corporation 12,712 1,158 0.30%
75 ISHARES TR 29,064 1,149 0.30%
76 DUKE ENERGY CORP NEW 15,203 1,137 0.30%
77 PUTNAM INCOME FUND-A 156,566 1,137 0.30%
78 HOME DEPOT INC 12,319 1,130 0.29%
79 BP PLC SPONS 25,201 1,130 0.29%
80 CLAYMORE EXCHANGE TRD FD TR 29,990 1,127 0.29%
81 RYDEX ETF TRUST 13,335 1,116 0.29%
82 VOYA GLBL EQTY DIV & PREM OP 118,768 1,113 0.29%
83 PIMCO DYNAMIC CR INCOME FD 49,371 1,109 0.29%
84 NORFOLK SOUTHERN CORP 9,922 1,107 0.29%
85 SELECT SECTOR SPDR TR 47,791 1,107 0.29%
86 JNL/WMC BALANCED 28,337 1,099 0.29%
87 ISHARES TR 11,240 1,098 0.29%
88 LORD ABBETT INVT TR SH DURA IN 239,464 1,080 0.28%
89 FIRST TR VALUE LINE DIVID INSHS 47,330 1,063 0.28%
90 SunAmerica Senior Floating Rate A 128,277 1,053 0.27%
91 Fidelity Select Medical Equip & Systems 27,714 1,038 0.27%
92 DU PONT E I DE NEMOURS & CO 14,434 1,036 0.27%
93 RYDEX ETF TRUST 8,394 1,027 0.27%
94 PROSPECT CAPITAL CORPORATION 102,748 1,017 0.26%
95 UNION PAC CORP 9,127 990 0.26%
96 VISA INC 4,476 955 0.25%
97 SELECT SECTOR SPDR TR 10,475 949 0.25%
98 JNL/MCM Hlthcare Sector 39,486 947 0.25%
99 ARMOUR RESIDENTIAL REIT INC 244,953 943 0.25%
100 PROSHARES TR 14,245 936 0.24%
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