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 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 FLOATING RATE C 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 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 FUND II COM 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
51 Amerenenergy Generating Co 35,000 33 0.01%
52 American International Group Inc 5,487 296 0.08%
53 American Water Works, Inc. 9,245 446 0.12%
54 Anthem, Inc. 2,193 262 0.07%
55 App Fin II Mauritius Ltd 35,000 0 0.00%
56 Arch Coal Inc 46,436 98 0.03%
57 Archer-Daniels-Midland 7,191 367 0.10%
58 Astrazeneca Plc ADR F 7,892 563 0.15%
59 Auto Data Processing 3,700 307 0.08%
60 BANK AMERICA CORP 86,047 1,432 0.37%
61 BB&T Corporation 8,799 328 0.09%
62 BERKSHIRE HATHAWAY INC DE CL B NEW 25,172 3,477 0.90%
63 BERKSHIRE HATHAWAY INC DE CL B NEW 2,095 289 0.08%
64 BIOGEN INC 1,589 526 0.14%
65 BLACKROCK DEBT STRAT FD INC COM 17,833 68 0.02%
66 BLACKROCK ENHANCED CAP INC 10,743 160 0.04%
67 BLACKROCK ENHANCED EQT DIV T 13,930 114 0.03%
68 BLACKROCK EQUITY DIVIDEND FUND 9,970 251 0.07%
69 BLACKROCK MULTI ASSET INC PORTFOLIO FUND INST CLASS N/L 24,007 272 0.07%
70 BLACKROCK MUN B 12,204 134 0.03%
71 BLACKROCK MUNI NJ FUND INC COM 20,900 303 0.08%
72 BLACKROCK MUNIHLDGS NY QLTY 22,263 297 0.08%
73 BLACKSTONE GROUP L P 15,812 528 0.14%
74 BOARDWALK PIPELINE PARTNERS 11,680 218 0.06%
75 BOEING CO 9,591 1,222 0.32%
76 BP PLC SPONS 25,201 1,130 0.29%
77 BRISTOL MYERS SQUIBB CO 30,549 1,563 0.41%
78 BROCADE COMMUNICATIONS SYS I 25,009 272 0.07%
79 BUCKEYE PARTNERS L P 4,030 321 0.08%
80 BUFFALO WILD WINGS INC 1,585 213 0.06%
81 Ba Mtg Trust 2006-2 20,000 11 0.00%
82 Bank Of America Corp 15,000 15 0.00%
83 Bank of New York Mellon Corp 14,413 558 0.15%
84 Birmingham Ala Wtrwks Brd Wtr 13,000 15 0.00%
85 BlackRock 11,850 134 0.03%
86 BlackRock Strategic Income Opportunities Portfolio 10,367 107 0.03%
87 Blackrock Global Opptys 23,299 329 0.09%
88 Blackrock Intl Growth Tr 31,985 241 0.06%
89 Block Finl Corp 15,000 15 0.00%
90 Bmc Software Inc 10,000 10 0.00%
91 Butler Cnty Ohio Hosp Facs Rev Hosp Fac 10,000 10 0.00%
92 CALAMOS CONV & HIGH INCOME F 11,682 166 0.04%
93 CALAMOS CONV OPPORTUNITIES & 10,134 137 0.04%
94 CALAMOS STRATEGIC TOTL RETN 10,396 122 0.03%
95 CANADIAN PAC RY LTD 1,802 374 0.10%
96 CAPSTEAD MTG CORP COM NO PAR 37,843 463 0.12%
97 CARTER VALIDUS MISSION CRITICA COM 23,365 234 0.06%
98 CATERPILLAR INC 12,835 1,271 0.33%
99 CBRE CLARION GLOBAL REAL EST 84,450 708 0.18%
100 CEF Cohen & Steers Ml 11,200 237 0.06%
Page 2 of 14