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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 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
101 CELGENE CORP 8,196 777 0.20%
102 CHENIERE ENERGY PARTNERS LP COMMON UNITS 10,300 337 0.09%
103 CHESAPEAKE ENERGY CORP 15,569 335 0.09%
104 CHEVRON CORP NEW 35,890 4,282 1.11%
105 CHICAGO BRIDGE & IRON CO N V 4,176 242 0.06%
106 CHINA MOBILE LIMITED 5,691 335 0.09%
107 CISCO SYS INC 58,977 1,484 0.39%
108 CITIGROUPINC 17,289 895 0.23%
109 CLAYMORE ETF GUGGENHEIM MID-CAP 16,000 773 0.20%
110 CLAYMORE EXCHANGE TRD FD TR 29,990 1,127 0.29%
111 CLAYMORE EXCHANGE TRD FD TR 110,350 2,945 0.77%
112 CLAYMORE EXCHANGE TRD FD TR 8,798 214 0.06%
113 CME GROUP INC 7,423 594 0.15%
114 COCA COLA CO 31,836 1,374 0.36%
115 COLUMBIA PPTY TR INC 12,388 296 0.08%
116 COMCAST CORP NEW 11,280 607 0.16%
117 COMPANIA DE MINAS BUENAVENTU 247,323 2,864 0.75%
118 CONOCOPHILLIPS 22,367 1,712 0.45%
119 CONSOLIDATED EDISON INC 6,651 432 0.11%
120 CONTINENTAL RESOURE 3,521 234 0.06%
121 CORNERSTONE PROGRESSIVE RTN 41,000 169 0.04%
122 CORNERSTONE STRATEGIC VALUE FD INC COM NEW 65,797 384 0.10%
123 CORNERSTONE TOTAL RETURN FD INC COM NEW 48,700 265 0.07%
124 CORNING INC 21,265 411 0.11%
125 CORONADO BIOSCIENCES INC 38,100 80 0.02%
126 CREDICORP LTD 2,114 324 0.08%
127 CRH PLC 9,745 223 0.06%
128 CRITEO S A 7,950 268 0.07%
129 CSX CORP 10,486 336 0.09%
130 CUMMINS INC 1,996 263 0.07%
131 CUSHING MLP TOTAL RETURN FUND 23,104 199 0.05%
132 CVS HEALTH CORP 6,011 478 0.12%
133 Chimera Investment Corp REIT 41,366 126 0.03%
134 Chubb Corporation 12,712 1,158 0.30%
135 Cinedigm Corp 63,549 99 0.03%
136 Commercial Metals Co 10,000 11 0.00%
137 DANAHER CORP DEL 4,771 363 0.09%
138 DELTA AIRLINES INC DEL 11,535 417 0.11%
139 DENISON MINES CORP 36,000 41 0.01%
140 DEPHEID 5,500 242 0.06%
141 DEUTSCHE GLOBAL INFRASTRUCTURE A 15,974 246 0.06%
142 DIREXION DAILY GOLD MINERS BUL 15,900 373 0.10%
143 DISCOVER FINL SVCS 4,769 307 0.08%
144 DISNEY WALT CO 13,044 745 0.19%
145 DODGE & COX INTERNATIONAL STOCK FUND 5,053 228 0.06%
146 DOMINION ENERGY INC 5,649 390 0.10%
147 DOT HILL SYS CORP 22,710 86 0.02%
148 DOUBLELINE TOTAL RETURN BOND FD CL I 31,949 350 0.09%
149 DOUBLELINE TOTAL RETURN BOND FUND CLASS N 43,498 475 0.12%
150 DOW CHEM CO 8,870 465 0.12%
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