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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 APPLE COMPUTER INC 102,550 10,016 3.67%
2 PROCTER AND GAMBLE CO 65,914 5,520 2.02%
3 AT&T INC 120,552 4,284 1.57%
4 JNL/WMC Balanced 103,413 4,088 1.50%
5 JOHNSON & JOHNSON 37,560 4,003 1.47%
6 ISHARES TR 28,743 3,930 1.44%
7 GUARANTEED ACCOUNT - 1 YR 3,752,115 3,752 1.38%
8 MANNKIND CORP. 619,440 3,661 1.34%
9 BERKSHIRE HATHAWAY INC DE CL B NEW 25,172 3,477 1.27%
10 JNL/Neuberger Strat Income 324,067 3,443 1.26%
11 Oppenheimer Sr Float Rate-A 413,644 3,425 1.26%
12 MICROSOFT CORP 69,705 3,311 1.21%
13 CLAYMORE EXCHANGE TRD FD TR 110,350 2,945 1.08%
14 VERIZON COMMUNICATIONS INC 56,689 2,833 1.04%
15 PFIZER INC 90,402 2,674 0.98%
16 ALTRIA GROUP INC 57,535 2,643 0.97%
17 JNL/GS Core Plus Bond 100,535 2,585 0.95%
18 JNL/PPM America Fl Rate Income 235,316 2,550 0.94%
19 SPDR S&P 600 SMALL CAP GROWTH ETF 12,208 2,077 0.76%
20 MERCK & CO INC 34,264 2,031 0.74%
21 ISHARES TR 52,678 1,985 0.73%
22 John Hancock Funds II Global Absolute A 172,589 1,971 0.72%
23 JNL/WMC Balanced Fund 51,390 1,954 0.72%
24 SPDR S&P 500 ETF TR 28,970 1,924 0.71%
25 MFS INTERMEDIATE INCOME TRUST SH BEN INT 358,056 1,794 0.66%
26 JPMORGAN CHASE & CO 29,580 1,782 0.65%
27 ISHARES TR 15,757 1,774 0.65%
28 CONOCOPHILLIPS 22,367 1,712 0.63%
29 JNL/PPM America High Yld Bond 83,549 1,697 0.62%
30 JNL/Neuberger Strat Income 156,620 1,656 0.61%
31 PHILIP MORRIS INTL INC 19,728 1,645 0.60%
32 SSGA ACTIVE ETF TR BLKSTN GSOSRLN ETF 33,256 1,634 0.60%
33 VANGUARD WORLD FDS 18,566 1,621 0.59%
34 BRISTOL MYERS SQUIBB CO 30,549 1,563 0.57%
35 FIRST TR EXCHANGE TRADED FD 25,613 1,560 0.57%
36 ISHARES TR 30,365 1,552 0.57%
37 ISHARES TR 13,897 1,520 0.56%
38 Hotchkis & Wiley Capital Income A 117,293 1,517 0.56%
39 LILLY ELI & CO 22,939 1,487 0.55%
40 CISCO SYS INC 58,977 1,484 0.54%
41 MOLYCORP INC (MCP) - 83.3333 c 4,200,000 1,470 0.54%
42 BANK AMERICA CORP 86,047 1,432 0.53%
43 JNL/S&P Intrinsic Val 67,588 1,417 0.52%
44 FIRST TR EXCHANGE-TRADED FD 15,159 1,391 0.51%
45 PIMCO INCOME STRATEGY FD II 130,472 1,374 0.50%
46 SPDR S&P 600 SMALL CAP VALUE ETF 13,131 1,343 0.49%
47 SPDR SER TR 17,172 1,287 0.47%
48 WELLTOWER INC. 20,127 1,255 0.46%
49 ISHARES TR 24,192 1,247 0.46%
50 WELLS FARGO CO NEW 24,022 1,246 0.46%
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
501 SPDR SER TR S&P 600 SML CAP 2,131 209 0.05%
502 INVESCO V.I. CORE EQUITY FUND 14,312 208 0.05%
503 FRK NY TAX FR INCM ADVS 17,804 208 0.05%
504 ILLINOIS TOOL WKS INC 2,450 207 0.05%
505 AMR New World HLS 19,728 204 0.05%
506 AMR International HLS 20,425 204 0.05%
507 HELMERICH & PAYNE INC 2,088 204 0.05%
508 PENNEY J C INC 20,330 204 0.05%
509 KELLOGG CO 3,296 203 0.05%
510 INTL PAPER CO 4,262 203 0.05%
511 TOTAL S A 3,150 203 0.05%
512 TIME WARNER INC 2,696 203 0.05%
513 SANDERSON FARMS INC 2,306 203 0.05%
514 HSBC HLDGS PLC 3,977 202 0.05%
515 TRAVELERS COMPANIES INC 2,144 201 0.05%
516 Vanguard High-Yield Tax-Exempt Adm 17,943 201 0.05%
517 Peabody Energy Corp 16,257 201 0.05%
518 FRONTIER COMMUNICATIONS CORP 30,787 200 0.05%
519 CUSHING MLP TOTAL RETURN FUND 23,104 199 0.05%
520 PETROLEO BRASILEIRO SA PETRO 13,392 199 0.05%
521 RIDGEWORTH FDS 22,144 198 0.05%
522 AMR Asset Allocation 11,448 197 0.05%
523 Jpmorgan NY Tax Free Bd Sel 26,581 195 0.05%
524 RETAIL PPTYS AMER INC CL A 13,277 194 0.05%
525 JNL/PPM America High Yield Bond Fund 10,367 192 0.05%
526 Franklin Strategic Income Securities 14,108 190 0.05%
527 POWERSHARES ETF TRUST 16,458 183 0.05%
528 PETROLEO BRASILEIRO SA PETRO 12,539 181 0.05%
529 PEDEVCO CORP 109,570 180 0.05%
530 INVESCO V.I. SMALL CAP EQUITY FUND 11,385 179 0.05%
531 HEALTHCARE TRUST AMERICA INC CL A NEW 14,931 173 0.05%
532 FRK UTILS ADVS 10,250 171 0.04%
533 PEOPLES UNITED FINANCIAL INC 11,848 171 0.04%
534 AIM Invt Fds Invesco Bal Risk Allo Cl A 13,921 170 0.04%
535 CORNERSTONE PROGRESSIVE RTN 41,000 169 0.04%
536 JOHN HANCOCK INCOME FUND-A 25,554 168 0.04%
537 API EFF FRNT INCM I 13,904 167 0.04%
538 CALAMOS CONV & HIGH INCOME F 11,682 166 0.04%
539 PIMCO Fds Fundamental Indexplus Tr Cl A 23,607 166 0.04%
540 SYNTHESIS ENERGY SYS INC 119,100 166 0.04%
541 GAMCO NAT RES GOLD & INCOME TR SHS BEN INT 16,791 164 0.04%
542 ANNALY CAP MGMT INC 15,089 161 0.04%
543 BLACKROCK ENHANCED CAP INC 10,743 160 0.04%
544 UNITED INS HLDGS CORP 10,500 158 0.04%
545 AMER RLTY CAP HEALTHCAR TR INC 15,000 157 0.04%
546 Xerox Corp 11,744 155 0.04%
547 Hercules Offshore Inc 70,000 154 0.04%
548 VANGUARD FIXED INCOME SECS FD INFL PROT SECS 11,486 153 0.04%
549 JNL/NEUBERGER STRAT INCOME 13,585 145 0.04%
550 PREFERRED APT CMNTYS INC 17,150 143 0.04%
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