13F-HR filed by B. Riley Wealth Advisors, Inc.
B. Riley Wealth Advisors, Inc. filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-10-21, with 667 holding rows worth $292,494,000.
- Accession
- 0000910472-13-004343
- Filer
- CIK 1464811
- Filed
- 2013-10-21
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A combination report, 667 entries on the cover page, a total value of $292,494,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $292,494,000 with VALUE read as thousands by filing date, 13F file number 028-13634. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerBrandes Investment Partners, LP 028-24896
- reports for this filerClark Capital Management Group 028-28445
- reports for this filerDreman Value Management, LLC 028-54255
- reports for this filerHays Advisory 028-60453
- reports for this filerInstitute for Wealth Management 028-67624
- reports for this filerNavellier & Associates 028-30582
- reports for this filerSFE Investment Counsel 028-68580
- reports for this filerGood Harbor 028-71064
- reports for this filerMain Management, LLC 028-61113
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 5,500 | $117,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 6,130 | $117,000 | thousands by filing date | |
| HORIZON PHARMA INC | 44047T109 | COM | 34,813 | $117,000 | thousands by filing date | |
| VEOLIA ENVIRONNEMENT F | 92334N103 | Equity | 6,775 | $116,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 6,106 | $116,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 2,700 | $116,000 | thousands by filing date | |
| ALLIANZGI INTL & PREM STRATE | 01882X108 | COM | 10,990 | $116,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 2,846 | $115,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 6,248 | $115,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 3,825 | $114,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 2,480 | $114,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 4,100 | $113,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 3,376 | $112,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 3,950 | $112,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 2,271 | $112,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 4,400 | $112,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 4,250 | $112,000 | thousands by filing date | |
| CINEDIGM DIGITAL CINEMA - A | 172407108 | COM | 73,999 | $111,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 2,866 | $109,000 | thousands by filing date | |
| AVERY DENNISON CORP COM | 053611109 | Stock | 2,500 | $109,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 4,300 | $108,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 6,750 | $108,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 2,860 | $108,000 | thousands by filing date | |
| C+J ENERGY SERVICES INC | 12467B304 | COM | 5,400 | $108,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 5,400 | $107,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 6,190 | $107,000 | thousands by filing date | |
| VENTRUS BIOSCIENCES INC | 922822101 | COM | 37,000 | $107,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 5,325 | $106,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 4,188 | $106,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 5,264 | $106,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 4,450 | $106,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 3,175 | $106,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 5,645 | $106,000 | thousands by filing date | |
| NUVEEN NJ INVT QUALITY MUN F | 670971100 | COM | 8,100 | $104,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 2,350 | $103,000 | thousands by filing date | |
| LOCAL CORP | 53954W104 | COM | 53,000 | $103,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 4,100 | $103,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 5,907 | $102,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 2,395 | $101,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 4,915 | $101,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 6,530 | $100,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 2,250 | $99,000 | thousands by filing date | |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 4,825 | $99,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 2,715 | $98,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 3,990 | $98,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 3,394 | $97,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 7,452 | $97,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 3,405 | $96,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 7,301 | $96,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 3,681 | $96,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 5,400 | $95,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 4,304 | $95,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 5,180 | $95,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 7,600 | $94,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 2,236 | $94,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 3,787 | $94,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 3,250 | $94,000 | thousands by filing date | |
| EQUAL ENERGY LTD | 29390Q109 | COM | 20,000 | $94,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 8,000 | $93,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 3,058 | $93,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 12,218 | $93,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 3,388 | $92,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 4,481 | $92,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 4,092 | $92,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 4,398 | $92,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 6,400 | $92,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 5,000 | $92,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 5,041 | $91,000 | thousands by filing date | |
| PROSHARES | 74347R826 | MUTUAL FUNDS EQ | 4,877 | $90,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 10,008 | $90,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 2,440 | $89,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 2,324 | $89,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 10,000 | $89,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 10,405 | $89,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 3,900 | $88,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 3,679 | $87,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 3,172 | $87,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 23,600 | $87,000 | thousands by filing date | |
| AMERICAN EQUITY INVT LIFE | 025676206 | COMMON STOCK | 4,084 | $87,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 2,581 | $86,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 5,200 | $86,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 4,000 | $85,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 5,000 | $84,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 25,000 | $84,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 28,715 | $84,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 13,958 | $83,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 5,117 | $82,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 30,262 | $82,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 4,648 | $81,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 3,593 | $80,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 37,575 | $80,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 5,100 | $79,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 2,650 | $78,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 12,625 | $78,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 12,250 | $77,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 4,925 | $76,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 3,950 | $76,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 7,458 | $75,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 4,400 | $74,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 5,851 | $74,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 6,098 | $73,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 3,730 | $73,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 4,113 | $72,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 11,110 | $71,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 5,517 | $71,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 3,748 | $70,000 | thousands by filing date | |
| ING GLBL ADV & PREM OPP FUND | 44982N109 | COM | 5,843 | $70,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 4,080 | $70,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 4,146 | $69,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 3,120 | $68,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 11,459 | $68,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 6,034 | $67,000 | thousands by filing date | |
| BLACKROCK SR HIGH INCOME FD | 09255T109 | COM | 16,431 | $65,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 5,000 | $64,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 3,741 | $64,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 5,512 | $64,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 8,000 | $63,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 7,050 | $63,000 | thousands by filing date | |
| ING RISK MANAGED NAT RES FD | 449810100 | COM | 6,248 | $63,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 14,572 | $62,000 | thousands by filing date | |
| ORIENT EXPRESS HOTELS LTD -A | G67743107 | CL A | 4,690 | $61,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 9,444 | $60,000 | thousands by filing date | |
| ING ASIA PAC HGH DIVID EQ IN | 44983J107 | COM | 4,500 | $60,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 29,837 | $60,000 | thousands by filing date | |
| L+L ENERGY INC | 50162D100 | COM | 47,000 | $59,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 6,992 | $58,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 4,500 | $58,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 6,200 | $58,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 7,425 | $58,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 6,266 | $57,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 11,194 | $56,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 6,075 | $56,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 17,491 | $55,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 6,125 | $55,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 4,231 | $55,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 4,795 | $55,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 6,923 | $55,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 4,108 | $55,000 | thousands by filing date | |
| ING | 44977W106 | EXCHANGE TRADED | 8,690 | $53,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 6,458 | $52,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 6,275 | $50,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 8,500 | $50,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 15,000 | $50,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 4,360 | $49,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 8,100 | $49,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 10,500 | $48,000 | thousands by filing date | |
| SYMMETRICOM INC | 871543104 | COM | 10,025 | $48,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 6,170 | $46,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 4,890 | $46,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 16,200 | $46,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 6,104 | $46,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 9,489 | $45,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 4,640 | $45,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 5,652 | $44,000 | thousands by filing date | |
| PULSE ELECTRONICS CORP | 74586W205 | COM | 10,740 | $42,000 | thousands by filing date | |
| BLACKROCK HIGH YIELD TR | 09248N102 | SHS | 5,865 | $41,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 5,550 | $39,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 5,270 | $38,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 33,000 | $36,000 | thousands by filing date | |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 8,500 | $36,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 10,250 | $32,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 7,634 | $30,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 10,562 | $28,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 12,500 | $16,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 51,306 | $15,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 10,000 | $13,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 10,000 | $10,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000910472-13-004343 | this filing | 2013-10-21 | acceptance time not in the bulk data set |