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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
351 WHOLE FOODS MKT INC 7,122 310 0.08%
352 TESLA INC 528 310 0.08%
353 SCHWAB U.S. SMALL-CAP ETF 6,040 310 0.08%
354 UBS AG LONDON BRH 12,750 308 0.08%
355 Alliance Data Systems 1,236 307 0.08%
356 Auto Data Processing 3,700 307 0.08%
357 DISCOVER FINL SVCS 4,769 307 0.08%
358 ISHARES TR 2,346 306 0.08%
359 OAKMARK OAKMARK FUND INVESTOR CLASS 4,442 304 0.08%
360 BLACKROCK MUNI NJ FUND INC COM 20,900 303 0.08%
361 MASTERCARD INCORPORATED 10,735 303 0.08%
362 WELLS FARGO & CO NEW 250 301 0.08%
363 Invesco Tax-Free Intermediate Y 25,854 300 0.08%
364 BLACKROCK MUNIHLDGS NY QLTY 22,263 297 0.08%
365 FIRST TR EXCHANGE TRADED FD 9,353 297 0.08%
366 American International Group Inc 5,487 296 0.08%
367 COLUMBIA PPTY TR INC 12,388 296 0.08%
368 HANESBRANDS INC 2,742 295 0.08%
369 REYNOLDS AMERICAN INC 4,991 294 0.08%
370 MANHATTAN ASSOCIATES INC 8,774 293 0.08%
371 ISHARES COHEN & STEERS REIT ETF 3,471 293 0.08%
372 AMERICAN GROWTH FUND OF AMERICA CLASS A 6,390 292 0.08%
373 TRANSOCEAN LTD 9,097 291 0.08%
374 JNL/Goldman Sachs Core Plus Bond Fund 12,718 290 0.08%
375 SOUTHERN CO 6,652 290 0.08%
376 BERKSHIRE HATHAWAY INC DE CL B NEW 2,095 289 0.08%
377 YAHOO INC 7,210 288 0.07%
378 MONDELEZ INTL INC 8,381 287 0.07%
379 JNL/PPM America Fl Rate Income 27,067 287 0.07%
380 ISHARES TR 3,160 285 0.07%
381 THIRD AVENUE REAL ESTATE VALUE FUND 9,144 284 0.07%
382 Vaneck Vectors Gold 13,225 282 0.07%
383 ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF 3,069 282 0.07%
384 EASTMAN CHEM CO 3,460 280 0.07%
385 MAGNA INTL INC 2,941 279 0.07%
386 ISHARES TR 1,764 279 0.07%
387 PRUDENTIAL GLOBAL REAL EST-A 11,965 278 0.07%
388 UNILEVER PLC 6,609 277 0.07%
389 POWERSHARES ETF TRUST 4,745 275 0.07%
390 ISHARES TR 2,744 275 0.07%
391 BLACKROCK MULTI ASSET INC PORTFOLIO FUND INST CLASS N/L 24,007 272 0.07%
392 BROCADE COMMUNICATIONS SYS I 25,009 272 0.07%
393 TOYOTA MOTOR CORP 2,313 272 0.07%
394 Fidelity Select Consumer Staples Port 2,884 272 0.07%
395 ROYAL BK CDA MONTREAL QUE 3,808 272 0.07%
396 POWERSHARES ETF TRUST II 8,770 270 0.07%
397 iShares Mortgage Real Estate C 22,700 268 0.07%
398 CRITEO S A 7,950 268 0.07%
399 AFLAC Inc 4,594 267 0.07%
400 SKYWORKS SOLUTIONS INC 4,600 267 0.07%
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