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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%
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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 MOLYCORP INC (MCP) - 83.3333 c 4,200,000 1,470 0.38%
2 GUARANTEED ACCOUNT - 1 YR 3,752,115 3,752 0.98%
3 Saratoga Resources Inc 1,356,161 1,600 0.42%
4 FX ENERGY INC 799,123 2,430 0.63%
5 MANNKIND CORP. 619,440 3,661 0.95%
6 OPPENHEIMER SR FLOATING RATE C 413,644 3,425 0.89%
7 ER Urgent Care Holdings, Inc. 400,000 0 0.00%
8 MFS INTERMEDIATE INCOME TRUST SH BEN INT 358,056 1,794 0.47%
9 REVOLUTION LIGHTING TECHNOLO COM 356,190 598 0.16%
10 JNL/Neuberger Strat Income 324,067 3,443 0.90%
11 COMPANIA DE MINAS BUENAVENTU 247,323 2,864 0.75%
12 ARMOUR RESIDENTIAL REIT INC 244,953 943 0.25%
13 LORD ABBETT INVT TR SH DURA IN 239,464 1,080 0.28%
14 JNL/PPM America Fl Rate Income 235,316 2,550 0.66%
15 Franklin Income Adv 211,244 520 0.14%
16 Hartford MF Balanced Income Fd Cl A 198,697 2,690 0.70%
17 LILIS ENERGY INC 196,500 442 0.12%
18 John Hancock Funds II Global Absolute A 172,589 1,971 0.51%
19 GENERAL ELECTRIC CO 159,980 4,098 1.07%
20 JNL/Neuberger Strat Income 156,620 1,656 0.43%
21 PUTNAM INCOME FUND-A 156,566 1,137 0.30%
22 PIMCO INCOME STRATEGY FUND II COM 130,472 1,374 0.36%
23 SunAmerica Senior Floating Rate A 128,277 1,053 0.27%
24 AT&T INC 120,552 4,284 1.11%
25 SYNTHESIS ENERGY SYS INC 119,100 166 0.04%
26 VOYA GLBL EQTY DIV & PREM OP 118,768 1,113 0.29%
27 Hotchkis & Wiley Capital Income A 117,293 1,517 0.39%
28 FIDELITY ADVISOR REAL ESTATE I 115,111 1,321 0.34%
29 CLAYMORE EXCHANGE TRD FD TR 110,350 2,945 0.77%
30 JNL/PPM America Fl Rate Income 109,874 1,186 0.31%
31 PEDEVCO CORP 109,570 180 0.05%
32 NQ MOBILE INC 106,170 740 0.19%
33 NY Fixed Acc - 3 Percent Minimum 105,225 105 0.03%
34 FRANKLIN CUSTODIAN FDS INC 104,120 258 0.07%
35 IVY HIGH INCOME FUND 104,109 885 0.23%
36 JNL/WMC Balanced 103,413 4,088 1.06%
37 PROSPECT CAPITAL CORPORATION 102,748 1,017 0.26%
38 APPLE COMPUTER INC 102,550 10,016 2.61%
39 JNL/GS Core Plus Bond 100,535 2,585 0.67%
40 Gnma Pass-Thru X Single Family 93,000 15 0.00%
41 PFIZER INC 90,402 2,674 0.70%
42 Mad Catz Interactive 90,000 35 0.01%
43 JNL/NEUBERGER STRAT INCOME 87,407 930 0.24%
44 BANK AMERICA CORP 86,047 1,432 0.37%
45 CBRE CLARION GLOBAL REAL EST 84,450 708 0.18%
46 JNL/PPM America High Yld Bond 83,549 1,697 0.44%
47 GRO FIXD 83,200 83 0.02%
48 SILVERCORP METALS INC 82,112 131 0.03%
49 GAMCO GLOBAL GOLD NAT RES & 81,405 753 0.20%
50 LORD ABBETT INVT TR SH DURA IN 78,994 355 0.09%
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