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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 MOLYCORP INC (MCP) - 83.3333 c 4,200,000 1,470 0.54%
2 GUARANTEED ACCOUNT - 1 YR 3,752,115 3,752 1.38%
3 MANNKIND CORP. 619,440 3,661 1.34%
4 OPPENHEIMER SR FLOATING RATE C 413,644 3,425 1.26%
5 MFS INTERMEDIATE INCOME TRUST SH BEN INT 358,056 1,794 0.66%
6 REVOLUTION LIGHTING TECHNOLO COM 356,190 598 0.22%
7 JNL/Neuberger Strat Income 324,067 3,443 1.26%
8 ARMOUR RESIDENTIAL REIT INC 244,953 943 0.35%
9 LORD ABBETT INVT TR SH DURA IN 239,464 1,080 0.40%
10 JNL/PPM America Fl Rate Income 235,316 2,550 0.94%
11 LILIS ENERGY INC 196,500 442 0.16%
12 John Hancock Funds II Global Absolute A 172,589 1,971 0.72%
13 JNL/Neuberger Strat Income 156,620 1,656 0.61%
14 PUTNAM INCOME FUND-A 156,566 1,137 0.42%
15 PIMCO INCOME STRATEGY FUND II COM 130,472 1,374 0.50%
16 SunAmerica Senior Floating Rate A 128,277 1,053 0.39%
17 AT&T INC 120,552 4,284 1.57%
18 VOYA GLBL EQTY DIV & PREM OP 118,768 1,113 0.41%
19 Hotchkis & Wiley Capital Income A 117,293 1,517 0.56%
20 CLAYMORE EXCHANGE TRD FD TR 110,350 2,945 1.08%
21 JNL/PPM America Fl Rate Income 109,874 1,186 0.43%
22 PEDEVCO CORP 109,570 180 0.07%
23 NQ MOBILE INC 106,170 740 0.27%
24 NY Fixed Acc - 3 Percent Minimum 105,225 105 0.04%
25 IVY HIGH INCOME FUND 104,109 885 0.32%
26 JNL/WMC Balanced 103,413 4,088 1.50%
27 PROSPECT CAPITAL CORPORATION 102,748 1,017 0.37%
28 APPLE COMPUTER INC 102,550 10,016 3.67%
29 JNL/GS Core Plus Bond 100,535 2,585 0.95%
30 PFIZER INC 90,402 2,674 0.98%
31 Mad Catz Interactive 90,000 35 0.01%
32 JNL/NEUBERGER STRAT INCOME 87,407 930 0.34%
33 BANK AMERICA CORP 86,047 1,432 0.53%
34 CBRE CLARION GLOBAL REAL EST 84,450 708 0.26%
35 JNL/PPM America High Yld Bond 83,549 1,697 0.62%
36 GRO FIXD 83,200 83 0.03%
37 SILVERCORP METALS INC 82,112 131 0.05%
38 LORD ABBETT INVT TR SH DURA IN 78,994 355 0.13%
39 ALLIANCEBERNSTEIN INCOME FUN 78,213 587 0.22%
40 AIM Invt Fds Invesco Bal Risk llo Cl Y 70,639 872 0.32%
41 MICROSOFT CORP 69,705 3,311 1.21%
42 JNL/S&P Intrinsic Val 67,588 1,417 0.52%
43 PROCTER AND GAMBLE CO 65,914 5,520 2.02%
44 CORNERSTONE STRATEGIC VALUE FD INC COM NEW 65,797 384 0.14%
45 ISHARES SILVER TR 64,619 249 0.09%
46 JNL/PPM AMERICA FL RATE INCOME 63,642 690 0.25%
47 CISCO SYS INC 58,977 1,484 0.54%
48 OCULUS INNOVATIVE SCIENCES I 58,603 138 0.05%
49 MEDICAL PPTYS TRUST INC 58,191 713 0.26%
50 ALTRIA GROUP INC 57,535 2,643 0.97%
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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
1 APPLE COMPUTER INC 102,550 10,016 2.61%
2 PROCTER AND GAMBLE CO 65,914 5,520 1.44%
3 AT&T INC 120,552 4,284 1.11%
4 CHEVRON CORP NEW 35,890 4,282 1.11%
5 GENERAL ELECTRIC CO 159,980 4,098 1.07%
6 JNL/WMC Balanced 103,413 4,088 1.06%
7 JOHNSON & JOHNSON 37,560 4,003 1.04%
8 ISHARES TR 28,743 3,930 1.02%
9 FIRST EAGLE GLOBAL FUND CLASS A 71,115 3,921 1.02%
10 GUARANTEED ACCOUNT - 1 YR 3,752,115 3,752 0.98%
11 MANNKIND CORP. 619,440 3,661 0.95%
12 BERKSHIRE HATHAWAY INC DE CL B NEW 25,172 3,477 0.90%
13 JNL/Neuberger Strat Income 324,067 3,443 0.90%
14 OPPENHEIMER SR FLOATING RATE C 413,644 3,425 0.89%
15 MICROSOFT CORP 69,705 3,311 0.86%
16 EXXON MOBIL CORP 35,165 3,307 0.86%
17 ISHARES TR 44,551 3,290 0.86%
18 FACEBOOK INC 38,473 3,172 0.83%
19 CLAYMORE EXCHANGE TRD FD TR 110,350 2,945 0.77%
20 COMPANIA DE MINAS BUENAVENTU 247,323 2,864 0.75%
21 VERIZON COMMUNICATIONS INC 56,689 2,833 0.74%
22 Hartford MF Balanced Income Fd Cl A 198,697 2,690 0.70%
23 PFIZER INC 90,402 2,674 0.70%
24 ALTRIA GROUP INC 57,535 2,643 0.69%
25 JNL/GS Core Plus Bond 100,535 2,585 0.67%
26 JNL/PPM America Fl Rate Income 235,316 2,550 0.66%
27 FX ENERGY INC 799,123 2,430 0.63%
28 SPDR S&P 600 SMALL CAP GROWTH ETF 12,208 2,077 0.54%
29 ENTERPRISE PRODS PARTNERS L 51,080 2,059 0.54%
30 MERCK & CO INC 34,264 2,031 0.53%
31 ISHARES TR 52,678 1,985 0.52%
32 John Hancock Funds II Global Absolute A 172,589 1,971 0.51%
33 JNL/WMC Balanced Fund 51,390 1,954 0.51%
34 SPDR S&P 500 ETF TR 28,970 1,924 0.50%
35 ISHARES TR 16,079 1,802 0.47%
36 MFS INTERMEDIATE INCOME TRUST SH BEN INT 358,056 1,794 0.47%
37 JPMORGAN CHASE & CO 29,580 1,782 0.46%
38 ISHARES TR 15,757 1,774 0.46%
39 CONOCOPHILLIPS 22,367 1,712 0.45%
40 JNL/PPM America High Yld Bond 83,549 1,697 0.44%
41 INTERNATIONAL BUSINESS MACHS 7,744 1,694 0.44%
42 ISHARES TR 8,351 1,656 0.43%
43 JNL/Neuberger Strat Income 156,620 1,656 0.43%
44 PHILIP MORRIS INTL INC 19,728 1,645 0.43%
45 SSGA ACTIVE ETF TR 33,256 1,634 0.43%
46 VANGUARD WORLD FDS 18,566 1,621 0.42%
47 Saratoga Resources Inc 1,356,161 1,600 0.42%
48 BRISTOL MYERS SQUIBB CO 30,549 1,563 0.41%
49 FIRST TR EXCHANGE TRADED FD 25,613 1,560 0.41%
50 ISHARES TR 30,365 1,552 0.40%
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