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
201 FLEETCOR TECHNOLOGIES INC 1,571 223 0.06%
202 FORD MTR CO DEL 53,888 797 0.21%
203 FORTRESS INVESTMENT GROUP LL 14,100 97 0.03%
204 FRANKLIN CUSTODIAN FDS INC 104,120 258 0.07%
205 FREEPORT-MCMORAN INC 18,183 643 0.17%
206 FRK NY TAX FR INCM ADVS 17,804 208 0.05%
207 FRK UTILS ADVS 10,250 171 0.04%
208 FRONTIER COMMUNICATIONS CORP 30,787 200 0.05%
209 FX ENERGY INC 799,123 2,430 0.63%
210 Fhlmc Remic Series 2036 10,000 2 0.00%
211 Fidelity Canada 3,779 234 0.06%
212 Fidelity Cap Disciplined Equity Fund 14,222 490 0.13%
213 Fidelity Contrafund Inc Insigh 11,840 336 0.09%
214 Fidelity Select Biotechnology Portfolio 3,978 859 0.22%
215 Fidelity Select Consumer Staples Port 2,884 272 0.07%
216 Fidelity Select Energy Portfolio 7,791 433 0.11%
217 Fidelity Select Medical Equip & Systems 27,714 1,038 0.27%
218 Fidelity Short Intermediate Mu 23,880 256 0.07%
219 Fidelity Small Cap Value 19,550 338 0.09%
220 Fidelity Strategic Income Fund 65,054 714 0.19%
221 Fidelity Worldwide 13,166 323 0.08%
222 First Eagle Fds Inc Overseas Fd Cl A 8,870 209 0.05%
223 Franklin NY Intermediate T/F Income A 10,731 126 0.03%
224 Franklin Strat Income Fund Adv Cl 13,173 138 0.04%
225 Franklin Strategic Income Securities 14,108 190 0.05%
226 Ft Water Utility & Infras Sel 28 F Re 13,597 142 0.04%
227 GABELLI UTIL TR 10,909 78 0.02%
228 GAMCO GLOBAL GOLD NAT RES & 81,405 753 0.20%
229 GAMCO NATL RES GOLDINCM 16,791 164 0.04%
230 GANNETT CO. 8,234 244 0.06%
231 GENERAL ELECTRIC CO 159,980 4,098 1.07%
232 GENWORTH FINL INC 12,000 14 0.00%
233 GILEAD SCIENCES INC 5,824 662 0.17%
234 GLAXOSMITHKLINE PLC 19,917 916 0.24%
235 GOLDMAN SACHS GROUP INC 763 322 0.08%
236 GOLDMAN SACHS MLP ENERGY RENAI 12,750 257 0.07%
237 GOOGLE INC 865 499 0.13%
238 GRO FIXD 83,200 83 0.02%
239 GUARANTEED ACCOUNT - 1 YR 3,752,115 3,752 0.98%
240 GUGGENHEIM 1:1 EXC 4/9/18 739371839 4,190 408 0.11%
241 General Electric Capital Corp 15,000 17 0.00%
242 General Electric Co 10,000 11 0.00%
243 Gnma Pass-Thru X Single Family 93,000 15 0.00%
244 Goldman Sachs Grp Inc Mtn Be 20,000 22 0.01%
245 HALLIBURTON CO 3,437 221 0.06%
246 HANESBRANDS INC 2,742 295 0.08%
247 HARTFORD FINL SVCS GROUP INC 10,492 391 0.10%
248 HCA HOLDINGS INC 5,147 363 0.09%
249 HCP INC 21,243 844 0.22%
250 HEALTHCARE TRUST AMERICA INC CL A NEW 14,931 173 0.05%
Page 5 of 14