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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
301 ISHARES TR 2,346 306 0.08%
302 ISHARES TR 7,522 905 0.24%
303 ISHARES TR 52,678 1,985 0.52%
304 ISHARES TR 4,437 334 0.09%
305 ISHARES TR 6,069 611 0.16%
306 ISHARES TR 5,534 560 0.15%
307 ISHARES TR 24,192 1,247 0.32%
308 ISHARES TR 8,603 897 0.23%
309 ISHARES TR 15,757 1,774 0.46%
310 ISHARES TR 7,887 886 0.23%
311 ISHARES TR 1,605 237 0.06%
312 ISHARES TR 30,365 1,552 0.40%
313 ISHARES TR 29,064 1,149 0.30%
314 ISHARES TR 4,370 522 0.14%
315 IVY HIGH INCOME FUND 104,109 885 0.23%
316 IVY MUNICIPAL HIGH INC-I 11,617 61 0.02%
317 Illinois St Go Bds 15,000 15 0.00%
318 InterOil Corp 26,213 1,422 0.37%
319 Invesco Tax-Free Intermediate Y 25,854 300 0.08%
320 Invesco V.I. Government Securities Fund 20,964 28 0.01%
321 Ivy Fds Asset Strategy Fd Cl A 19,538 596 0.16%
322 Ivy Fds High Income Cl A 45,914 390 0.10%
323 Ivy Fds Science Tech Fd Cl A 7,733 414 0.11%
324 Ivy Funds Inc Muni High Income Cl A 16,732 88 0.02%
325 JETBLUE AIRWAYS CORP 10,750 114 0.03%
326 JHancock Bond A 15,398 248 0.06%
327 JNL/GS CORE PLUS BOND 27,566 696 0.18%
328 JNL/GS Core Plus Bond 100,535 2,585 0.67%
329 JNL/Goldman Sachs Core Plus Bond Fund 48,342 1,196 0.31%
330 JNL/Goldman Sachs Core Plus Bond Fund 12,718 290 0.08%
331 JNL/MCM Hlthcare Sector 39,486 947 0.25%
332 JNL/MCM Hlthcare Sector 20,072 477 0.12%
333 JNL/MCM Nasdaq 25 45,459 925 0.24%
334 JNL/MELLON CAPITAL HLTHCARE SECTOR 10,750 259 0.07%
335 JNL/Mellon Capital Nasdaq 25 12,310 252 0.07%
336 JNL/Mellon Capital Nasdaq 25 22,866 463 0.12%
337 JNL/NEUBERGER STRAT INCOME 36,839 387 0.10%
338 JNL/NEUBERGER STRAT INCOME 87,407 930 0.24%
339 JNL/NEUBERGER STRAT INCOME 13,585 145 0.04%
340 JNL/Neuberger Berman Strategic Income 12,589 133 0.03%
341 JNL/Neuberger Strat Income 324,067 3,443 0.90%
342 JNL/Neuberger Strat Income 156,620 1,656 0.43%
343 JNL/PPM AMERICA FL RATE INCOME 63,642 690 0.18%
344 JNL/PPM AMERICA HIGH YLD BOND 23,002 463 0.12%
345 JNL/PPM America Fl Rate Income 109,874 1,186 0.31%
346 JNL/PPM America Fl Rate Income 27,067 287 0.07%
347 JNL/PPM America Fl Rate Income 235,316 2,550 0.66%
348 JNL/PPM America High Yield Bond Fund 42,097 827 0.22%
349 JNL/PPM America High Yield Bond Fund 10,367 192 0.05%
350 JNL/PPM America High Yld Bond 83,549 1,697 0.44%
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