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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
151 DREYFUS HIGH YIELD STRATEGIE 36,547 135 0.04%
152 DU PONT E I DE NEMOURS & CO 14,434 1,036 0.27%
153 DUKE ENERGY CORP NEW 15,203 1,137 0.30%
154 Dade Cnty Fla Hsg Fin Auth Mul 10,000 10 0.00%
155 Dell Inc 10,000 10 0.00%
156 Dendreon Corp 13,215 19 0.00%
157 E M C CORP MASS COM 12,348 361 0.09%
158 EASTMAN CHEM CO 3,460 280 0.07%
159 EATON VANCE RISK MNGD DIV EQ 18,907 221 0.06%
160 EATON VANCE SR FLTNG RTE TR 18,034 260 0.07%
161 EATON VANCE TAX MANAGED GLOB 43,753 532 0.14%
162 EATON VANCE TAX-MANAGED GLOBAL COM 41,320 414 0.11%
163 EDISON INTL 7,532 421 0.11%
164 EMERSON ELEC CO 6,698 419 0.11%
165 ENERGY TRANSFER L P 8,393 518 0.13%
166 ENERGY TRANSFER PRTNRS L P 4,161 266 0.07%
167 ENI S P A 6,796 322 0.08%
168 ENTERPRISE PRODS PARTNERS L 51,080 2,059 0.54%
169 ER Urgent Care Holdings, Inc. 400,000 0 0.00%
170 EXELON CORP 9,224 314 0.08%
171 EXPRESS SCRIPTS HLDG CO 7,905 558 0.15%
172 EXXON MOBIL CORP 35,165 3,307 0.86%
173 FACEBOOK INC 38,473 3,172 0.83%
174 FAIRHOLME FUND 9,623 387 0.10%
175 FEDERATED NATL HLDG CO COM 7,614 214 0.06%
176 FIDELITY ADVISOR REAL ESTATE I 115,111 1,321 0.34%
177 FIDELITY ADVISOR SER 67,674 665 0.17%
178 FIDELITY ADVISOR SER II FL RT 10,166 100 0.03%
179 FIDELITY SELECT DEFENSE & AEROSPACE 3,819 435 0.11%
180 FIDELITY SELECT PORTFOLIOS CHE 4,526 702 0.18%
181 FIDELITY STOCK SELECTOR FUND 14,311 546 0.14%
182 FIDELITY TOTAL BOND 20,058 214 0.06%
183 FIFTH STREET FINANCE CORP 67,576 620 0.16%
184 FIREEYE INC 26,320 804 0.21%
185 FIRST EAGLE GLOBAL CLASS I 11,914 661 0.17%
186 FIRST EAGLE GLOBAL FUND CLASS A 71,115 3,921 1.02%
187 FIRST INTST BANCSYSTEM INC 13,150 349 0.09%
188 FIRST SOLAR INC 5,500 362 0.09%
189 FIRST TR EXCHANGE TRADED FD 10,024 482 0.13%
190 FIRST TR EXCHANGE TRADED FD 9,353 297 0.08%
191 FIRST TR EXCHANGE TRADED FD 25,613 1,560 0.41%
192 FIRST TR EXCHANGE TRADED FD 5,863 327 0.09%
193 FIRST TR EXCHANGE TRADED FD 6,370 235 0.06%
194 FIRST TR EXCHANGE-TRADED FD 15,159 1,391 0.36%
195 FIRST TR MID CAP CORE ALPHAD 13,710 688 0.18%
196 FIRST TR MULTI CP VAL ALPHA 7,241 327 0.09%
197 FIRST TR VALUE LINE DIVID INSHS 47,330 1,063 0.28%
198 FIRST TRUST EXCH TRADED FUND 2 FINLS ALPHADEX ETF 9,800 214 0.06%
199 FIRST TRUST EXCH TRADED FUND 2 UTILITIES ALPH ETF 14,500 328 0.09%
200 FLAHERTY CRUMRINE PFD SECS 11,279 218 0.06%
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