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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 Float Rate-A 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 BLKSTN GSOSRLN ETF 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 FD II 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
401 MICRON TECHNOLOGY INC 12,475 458 0.12%
402 MICROSOFT CORP 69,705 3,311 0.86%
403 MIMEDX GROUP INC COM 18,000 128 0.03%
404 MITSUBISHI UFJ FINL GROUP IN 25,330 142 0.04%
405 MOBILEYE N V AMSTELVEEN 5,915 317 0.08%
406 MOLYCORP INC (MCP) - 83.3333 c 4,200,000 1,470 0.38%
407 MONDELEZ INTL INC 8,381 287 0.07%
408 MONSANTO CO NEW 5,890 663 0.17%
409 MOSAIC CO NEW 5,828 259 0.07%
410 Mad Catz Interactive 90,000 35 0.01%
411 Magnum Hunter Resources Corp 13,320 74 0.02%
412 Market Vectors Gold 13,225 282 0.07%
413 Miami Dade Cnty Fla Solid Wast Solid Was 15,000 15 0.00%
414 Miami-Dade Cnty Fla Aviation R Aviation 10,000 11 0.00%
415 Morgan Stanley D W Disc Srmtns 23,000 23 0.01%
416 Morgan Stanley D W Disc Srmtns 25,000 26 0.01%
417 Mutual Global Discovery Securities Fund 16,883 234 0.06%
418 NATURAL RESOURCE PARTNERS 10,165 133 0.03%
419 NEURALSTEM INC COM 37,362 123 0.03%
420 NEW YORK CMNTY BANCORP INC 20,952 333 0.09%
421 NEW YORK MTG TR INC 15,103 109 0.03%
422 NEW YORK REIT INC 51,974 534 0.14%
423 NEXTERA ENERGY INC 8,963 841 0.22%
424 NIKE INC 4,761 425 0.11%
425 NORFOLK SOUTHERN CORP 9,922 1,107 0.29%
426 NOVAGOLD RES INC 10,000 30 0.01%
427 NOVAVAX INC 14,500 60 0.02%
428 NQ MOBILE INC 106,170 740 0.19%
429 NUVEEN MUN HIGH INCOME OPPOR 25,832 337 0.09%
430 NUVEEN MUN VALUE FD INC 12,473 117 0.03%
431 NUVEEN N C PREM INCOME MUN F 19,300 263 0.07%
432 NUVEEN NJ INVT QUALITY MUN F 18,700 249 0.06%
433 NXP SEMICONDUCTORS N V 3,863 264 0.07%
434 NY Fixed Acc - 3 Percent Minimum 105,225 105 0.03%
435 National Holdings Corp 23,526 11 0.00%
436 Neo Performance Materials 48,050 57 0.01%
437 New York N Y 15,000 17 0.00%
438 New York N Y 35,000 38 0.01%
439 New York N Y City Hsg Dev Corp 50,000 51 0.01%
440 New York N Y City Mun Wtr Fin 10,000 10 0.00%
441 New York N Y City Mun Wtr Fin 10,000 11 0.00%
442 New York N Y City Mun Wtr Fin Rev Bds 15,000 16 0.00%
443 New York N Y City Transitional 15,000 16 0.00%
444 New York N Y City Transitional 25,000 27 0.01%
445 New York N Y Go Bds 15,000 16 0.00%
446 New York St Energy Resh & Dev Ref Rev B 30,000 30 0.01%
447 New York St Environmental Facs 10,000 10 0.00%
448 Nexpoint Cr Strategies 11,038 117 0.03%
449 OCH ZIFF CAP MGMT GROUP 10,050 108 0.03%
450 OCULUS INNOVATIVE SCIENCES I 58,603 138 0.04%
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