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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
1 REVOLUTION LIGHTING TECHNOLO COM 356,190 598 0.16%
2 Franklin Income Adv 211,244 520 0.14%
3 PEABODY ENERGY CORP 16,257 201 0.05%
4 TEMPLETON GLOBAL BOND ADV 36,325 480 0.12%
5 * ATMEL CORP COM 19,000 129 0.03%
6 * SANDRIDGE ENERGY INC COM 28,800 124 0.03%
7 3M CO 1,479 210 0.05%
8 ABBVIE INC 11,868 685 0.18%
9 ACCESS MIDSTREAM PARTNERS LP 5,926 377 0.10%
10 AFLAC Inc 4,594 267 0.07%
11 AG MTG INVT TR INC 24,345 433 0.11%
12 AIM Invt Fds Invesco Bal Risk Allo Cl A 13,921 170 0.04%
13 AIM Invt Fds Invesco Bal Risk llo Cl Y 70,639 872 0.23%
14 AKAMAI TECHNOLOGIES INC 2,003 218 0.06%
15 ALLERGAN PLC 1,773 428 0.11%
16 ALLIANCEBERNSTEIN INCOME FUN 78,213 587 0.15%
17 ALPINE TTL DYNAMIC NEW 30,689 261 0.07%
18 ALPS ETF TR 48,771 935 0.24%
19 ALTRIA GROUP INC 57,535 2,643 0.69%
20 AMARIN CORP PLC 18,150 20 0.01%
21 AMAZON COM INC 2,746 885 0.23%
22 AMER RLTY CAP HEALTHCAR TR INC 15,000 157 0.04%
23 AMERICA MOVIL SAB DE CV 9,629 243 0.06%
24 AMERICAN APPAREL INC 12,500 10 0.00%
25 AMERICAN ELECTRIC POWER 6,862 358 0.09%
26 AMERICAN EXPRESS CO 6,883 603 0.16%
27 AMERICAN GROWTH FUND OF AMERICA CLASS A 6,390 292 0.08%
28 AMERICAN RLTY CAP PPTYS INC 48,689 587 0.15%
29 AMG YACKTMAN FUND CLASS I 18,562 461 0.12%
30 AMR Asset Allocation 11,448 197 0.05%
31 AMR Global Small Capitalization HLS 10,724 119 0.03%
32 AMR International HLS 20,425 204 0.05%
33 AMR New World HLS 19,728 204 0.05%
34 ANADARKO PETROLE 2,622 266 0.07%
35 ANNALY CAP MGMT INC 15,089 161 0.04%
36 ANNALY CAP MGMT INC 35,719 381 0.10%
37 API EFF FRNT INCM I 13,904 167 0.04%
38 APPLE COMPUTER INC 8,371 843 0.22%
39 APPLE COMPUTER INC 102,550 10,016 2.61%
40 ARENA PHARMACEUTICALS INC 10,600 44 0.01%
41 ARMOUR RESIDENTIAL REIT INC 244,953 943 0.25%
42 AT&T INC 120,552 4,284 1.11%
43 ATLATSA RES CORP 10,651 3 0.00%
44 Abbott Labs Common 8,220 342 0.09%
45 Aberdeen Asia-Pacific Income 21,567 127 0.03%
46 Aegon Funding Corp 25,000 29 0.01%
47 Alcoa Inc 22,431 361 0.09%
48 Alliance Data Systems 1,236 307 0.08%
49 Allianzgi Conv & Income Fund I 46,435 424 0.11%
50 Allstate Corp 5,953 365 0.09%
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