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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 iShares Mortgage Real Estate C 22,700 268 0.07%
2 ZYNGA INC 17,767 48 0.01%
3 ZBB ENERGY CORPORATION 40,000 22 0.01%
4 YAHOO INC 7,210 288 0.07%
5 XEROX CORP 11,744 155 0.04%
6 XCEL ENERGY INC 11,612 353 0.09%
7 Winter Garden Fla Sales Tax Re 15,000 16 0.00%
8 Welltower Inc. 20,127 1,255 0.33%
9 WYNDHAM WORLDWIDE CORP 2,688 218 0.06%
10 WISDOMTREE TR 4,052 354 0.09%
11 WISDOMTREE TR 4,939 228 0.06%
12 WISDOMTREE TR 13,979 829 0.22%
13 WILLIAMS COS INC DEL 6,931 384 0.10%
14 WHOLE FOODS MKT INC 7,122 310 0.08%
15 WESTERN DIGITAL CORP 2,430 236 0.06%
16 WELLS FARGO & CO NEW 250 301 0.08%
17 WELLS FARGO & CO NEW 24,022 1,246 0.32%
18 WEATHERFORD INTL PLC 17,182 357 0.09%
19 WASTE MGMT INC DEL 5,436 258 0.07%
20 WALTER ENERGY INC COM 35,520 83 0.02%
21 WAL-MART STORES INC 5,262 402 0.10%
22 WAFERGEN BIO-SYSTEMS INC 52,500 0 0.00%
23 W P CAREY INC 4,083 260 0.07%
24 Vaneck Vectors Gold 13,225 282 0.07%
25 Van Eck Global Hard Assets Fund Cl A 8,692 425 0.11%
26 Van Eck 11,300 265 0.07%
27 VOYA GLBL EQTY DIV & PREM OP 118,768 1,113 0.29%
28 VODAFONE GROUP PLC NEW 10,866 357 0.09%
29 VISA INC 4,476 955 0.25%
30 VIRNETX HLDG CORP 37,950 228 0.06%
31 VERIZON COMMUNICATIONS INC 56,689 2,833 0.74%
32 VENTAS INC 9,023 559 0.15%
33 VANGUARD WORLD FDS 2,802 329 0.09%
34 VANGUARD WORLD FDS 18,566 1,621 0.42%
35 VANGUARD WORLD FD 1,990 233 0.06%
36 VANGUARD WORLD FD 3,201 320 0.08%
37 VANGUARD WORLD FD 2,564 336 0.09%
38 VANGUARD WORLD FD 2,817 257 0.07%
39 VANGUARD WHITEHALL FDS 3,317 220 0.06%
40 VANGUARD TAX-MANAGED FDS 5,737 228 0.06%
41 VANGUARD SPECIALIZED FUNDS 8,739 673 0.18%
42 VANGUARD INTL EQUITY INDEX F 5,383 224 0.06%
43 VANGUARD INTL EQUITY INDEX F 3,884 214 0.06%
44 VANGUARD INFLATION PROTECTED SECURITIES FUND 11,486 153 0.04%
45 VANGUARD INDEX FDS 3,080 371 0.10%
46 VANGUARD INDEX FDS 3,774 443 0.12%
47 VANGUARD INDEX FDS 7,938 791 0.21%
48 VANGUARD INDEX FDS 6,966 771 0.20%
49 VANGUARD INDEX FDS 4,696 337 0.09%
50 VANGUARD INDEX FDS 3,697 314 0.08%
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