Dark
Light
System
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
401 ENERGY TRANSFER PRTNRS L P 4,161 266 0.07%
402 ANADARKO PETROLE 2,622 266 0.07%
403 PIMCO TOTAL RETURN CLASS A 24,451 266 0.07%
404 CORNERSTONE TOTAL RETURN FD INC COM NEW 48,700 265 0.07%
405 Van Eck 11,300 265 0.07%
406 SCHWAB CHARLES CORP 8,998 264 0.07%
407 PUBLIC SVC ENTERPRISE GRP IN 7,100 264 0.07%
408 NXP SEMICONDUCTORS N V 3,863 264 0.07%
409 POWERSHARES ETF TRUST 10,687 263 0.07%
410 THERMO FISHER SCIENTIFIC INC 2,162 263 0.07%
411 CUMMINS INC 1,996 263 0.07%
412 NUVEEN N C PREM INCOME MUN F 19,300 263 0.07%
413 Anthem, Inc. 2,193 262 0.07%
414 ALPINE TTL DYNAMIC NEW 30,689 261 0.07%
415 ILLUMINA INC 1,595 261 0.07%
416 SALIX PHARMACEUTICALS INC 1,659 260 0.07%
417 W P CAREY INC 4,083 260 0.07%
418 EATON VANCE SR FLTNG RTE TR 18,034 260 0.07%
419 PROSHARES TR 4,517 260 0.07%
420 JNL/MELLON CAPITAL HLTHCARE SECTOR 10,750 259 0.07%
421 MOSAIC CO NEW 5,828 259 0.07%
422 FRANKLIN CUSTODIAN FDS INC 104,120 258 0.07%
423 WASTE MGMT INC DEL 5,436 258 0.07%
424 METLIFE INC 4,798 258 0.07%
425 VANGUARD WORLD FD 2,817 257 0.07%
426 GOLDMAN SACHS MLP ENERGY RENAI 12,750 257 0.07%
427 Fidelity Short Intermediate Mu 23,880 256 0.07%
428 Targa Resources Partners LP 3,535 256 0.07%
429 JNL/Mellon Capital Nasdaq 25 12,310 252 0.07%
430 BLACKROCK EQUITY DIVIDEND FUND 9,970 251 0.07%
431 MEDLEY CAP CORPORATION 21,233 251 0.07%
432 NUVEEN NJ INVT QUALITY MUN F 18,700 249 0.06%
433 ISHARES SILVER TR 64,619 249 0.06%
434 JHancock Bond A 15,398 248 0.06%
435 PROSHARES TR 1,964 247 0.06%
436 MARKWEST ENERGY PARTNERS LP 3,222 247 0.06%
437 DEUTSCHE GLOBAL INFRASTRUCTURE A 15,974 246 0.06%
438 UNITED PARCEL SERVICE INC 2,499 246 0.06%
439 TARGA RES CORP 1,800 245 0.06%
440 PROSHARES TR MSCI EMRG 3,305 245 0.06%
441 LORILLARD 4,087 245 0.06%
442 GANNETT CO. 8,234 244 0.06%
443 AMERICA MOVIL SAB DE CV 9,629 243 0.06%
444 DEPHEID 5,500 242 0.06%
445 CHICAGO BRIDGE & IRON CO N V 4,176 242 0.06%
446 Blackrock Intl Growth Tr 31,985 241 0.06%
447 UNDER ARMOUR INC 3,472 240 0.06%
448 RAYTHEON CO 2,347 239 0.06%
449 MCKESSON CORP 1,219 237 0.06%
450 CEF Cohen & Steers Ml 11,200 237 0.06%
Page 9 of 14