13F-HR/A filed by B. Riley Wealth Advisors, Inc.
B. Riley Wealth Advisors, Inc. filed this 13F-HR/A for the quarter ended 2014-09-30, filed 2014-11-20, with 672 holding rows worth $384,278,000.
- Accession
- 0000910472-14-005227
- Filer
- CIK 1464811
- Filed
- 2014-11-20
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, amendment of type new holdings, 675 entries on the cover page, a total value of $384,278,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $384,278,000 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.
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 |
|---|---|---|---|---|---|---|
| INVESCO V.I. CORE EQUITY FUND | HLC160175 | Other | 14,312 | $208,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 2,450 | $207,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 2,088 | $204,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 20,330 | $204,000 | thousands by filing date | |
| AMR International HLS | HLLN60175 | Global Equity | 20,425 | $204,000 | thousands by filing date | |
| AMR New World HLS | HLMZ60175 | Other | 19,728 | $204,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 4,262 | $203,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,296 | $203,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 2,306 | $203,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 3,150 | $203,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 2,696 | $203,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 3,977 | $202,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 2,144 | $201,000 | thousands by filing date | |
| VANGUARD MUN BD FD | 922907845 | SHS | 17,943 | $201,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 16,257 | $201,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 30,787 | $200,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 13,392 | $199,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 23,104 | $199,000 | thousands by filing date | |
| Virtus Seix Fltg Rt Incm Cl I | 76628t678 | US TAXABLE BOND FUNDS | 22,144 | $198,000 | thousands by filing date | |
| AMR Asset Allocation | HL9N30240 | Other | 11,448 | $197,000 | thousands by filing date | |
| Jpmorgan NY Tax Free Bd Sel | 4812A0789 | Intermediate Muni | 26,581 | $195,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 13,277 | $194,000 | thousands by filing date | |
| JNL/PPM America High Yield Bond Fund | JHCUE9HJD | Other | 10,367 | $192,000 | thousands by filing date | |
| Franklin Strategic Income Securities | HLNY60175 | Large-Cap Value | 14,108 | $190,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 16,458 | $183,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 12,539 | $181,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 109,570 | $180,000 | thousands by filing date | |
| INVESCO V.I. SMALL CAP EQUITY FUND | HLGC60175 | Other | 11,385 | $179,000 | thousands by filing date | |
| HEALTHCARE TRUST OF AMERICA | 42225P105 | COMMON STOCK | 14,931 | $173,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 11,848 | $171,000 | thousands by filing date | |
| FRANKLIN UTILITIES ADV | 353496854 | MFA | 10,250 | $171,000 | thousands by filing date | |
| INVESCO BALANCED-RISK ALLOCATION A | 00141V747 | COM | 13,921 | $170,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C101 | COM | 41,000 | $169,000 | thousands by filing date | |
| JOHN HANCOCK INCOME FUND CLASS | 410227102 | MUT | 25,554 | $168,000 | thousands by filing date | |
| AMER INCOME FD INSTL | 28837763 | MUTUAL | 13,904 | $167,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 11,682 | $166,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 119,100 | $166,000 | thousands by filing date | |
| PIMCO Fds Fundamental Indexplus Tr Cl A | 72201F888 | Mutual Fund | 23,607 | $166,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 16,791 | $164,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 10,743 | $160,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 10,500 | $158,000 | thousands by filing date | |
| AMER RLTY CAP HEALTHCAR TR INC COM | 02917R108 | COM | 15,000 | $157,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 11,744 | $155,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 70,000 | $154,000 | thousands by filing date | |
| VANGUARD INFLATION-PROTECTED SECS INV | 922031869 | BOND FUNDS | 11,486 | $153,000 | thousands by filing date | |
| JNL/NEUBERGER STRAT INCOME | 1A2HA5YPH | Other | 13,585 | $145,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 17,150 | $143,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 25,330 | $142,000 | thousands by filing date | |
| Ft Water Utility & Infras Sel 28 F Re | 30281F830 | Commodity | 13,597 | $142,000 | thousands by filing date | |
| FRANKLIN CORE PLUS BOND FUND ADVISOR | 354713737 | NTF BOND FUNDS | 13,173 | $138,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 58,603 | $138,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 10,134 | $137,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 36,547 | $135,000 | thousands by filing date | |
| BLACKROCK NATIONAL MUNICIPAL F | 09253C603 | MF | 12,204 | $134,000 | thousands by filing date | |
| BLACKROCK MULTI-ASSET INCOME INVESTOR A | 09256H351 | NTF EQUITY FUNDS | 11,850 | $134,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 10,165 | $133,000 | thousands by filing date | |
| JNL/Neuberger Berman Strategic Income | 1A2HA61Y4 | Other | 12,589 | $133,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 82,112 | $131,000 | thousands by filing date | |
| Atmel Corp. | 49513104 | COM | 19,000 | $129,000 | thousands by filing date | The CUSIP as filed is malformed. |
| MIMEDX GROUP INC | 602496101 | COM | 18,000 | $128,000 | thousands by filing date | |
| Aberdeen Asia-Pacific Inc. Fnd | 3009107 | COM | 21,567 | $127,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 41,366 | $126,000 | thousands by filing date | |
| Franklin NY Intermediate T/F Income A | 354128308 | Interm. Muni | 10,731 | $126,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 28,800 | $124,000 | thousands by filing date | |
| OPPEN STLPTH MLP INCM | 858268709 | MUTUAL | 10,496 | $124,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 37,362 | $123,000 | thousands by filing date | |
| PIMCO ALL ASSET ALL AUTHORITY | 72200Q190 | Equity Mutual Fu | 12,457 | $123,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 10,396 | $122,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 15,212 | $121,000 | thousands by filing date | |
| AMR Global Small Capitalization HLS | HLIR60175 | Other | 10,724 | $119,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 12,473 | $117,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 11,038 | $117,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 10,750 | $114,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 13,930 | $114,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 15,103 | $109,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 10,050 | $108,000 | thousands by filing date | |
| BLACKROCK FUNDS II, STRATEGIC | 09256h286 | MUT | 10,367 | $107,000 | thousands by filing date | |
| NY Fixed Acc - 3 Percent Minimum | HF1F40000 | Other | 105,225 | $105,000 | thousands by filing date | |
| OPP L/T NY MUNI - A | 771740107 | COM | 32,359 | $102,000 | thousands by filing date | |
| FIDELITY FLOATING RATE HIGH INCOME | 315916783 | BOND FUNDS | 10,166 | $100,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 63,549 | $99,000 | thousands by filing date | |
| ARCH COAL INC. | 39380100 | COM | 46,436 | $98,000 | thousands by filing date | The CUSIP as filed is malformed. |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 14,100 | $97,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 19,495 | $94,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 18,575 | $94,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 10,000 | $89,000 | thousands by filing date | |
| Ivy Funds Inc Muni High Income Cl A | 466001849 | Mutual Fund | 16,732 | $88,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 22,710 | $86,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 35,520 | $83,000 | thousands by filing date | |
| GRO FIXD | PRUGR7000 | Other | 83,200 | $83,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 22,982 | $80,000 | thousands by filing date | |
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 38,100 | $80,000 | thousands by filing date | |
| LOCAL CORP | 53954W104 | COM | 40,000 | $80,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 10,909 | $78,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 10,700 | $76,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 13,320 | $74,000 | thousands by filing date | |
| OPPENHEIMER STRATEG FD INCOME | 68380K102 | MF | 17,223 | $71,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 10,738 | $70,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 17,833 | $68,000 | thousands by filing date | |
| KBS REAL ESTATE INV TRUST II | 48243C109 | COMMON STOCK | 10,000 | $61,000 | thousands by filing date | |
| Ivy Muni High Income Fund Cl I | 466001757 | INX | 11,617 | $61,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 14,500 | $60,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 30,142 | $60,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 40,160 | $59,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 48,050 | $57,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 11,346 | $55,000 | thousands by filing date | |
| New York N Y City Hsg Dev Corp | 64970MZA4 | Long Muni | 50,000 | $51,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 17,767 | $48,000 | thousands by filing date | |
| ARENA PHARMACEUTICALS INC. | 40047102 | COM | 10,600 | $44,000 | thousands by filing date | The CUSIP as filed is malformed. |
| DENISON MINES CORP | 248356107 | COM | 36,000 | $41,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 16,500 | $38,000 | thousands by filing date | |
| New York N Y | 64966LQF1 | Short Muni | 35,000 | $38,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 90,000 | $35,000 | thousands by filing date | |
| Amerenenergy Generating Co | 02360XAL1 | High Yield | 35,000 | $33,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 10,000 | $30,000 | thousands by filing date | |
| New York St Energy Resh & Dev Ref Rev B | 649845ED2 | Long Muni | 30,000 | $30,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 11,607 | $29,000 | thousands by filing date | |
| Aegon Funding Corp | 007634AA6 | Intermediate Bond | 25,000 | $29,000 | thousands by filing date | |
| Invesco V.I. Government Securities Fund | HLBI30185 | Intermediate Bond | 20,964 | $28,000 | thousands by filing date | |
| New York N Y City Transitional | 64972HNJ7 | Long Muni | 25,000 | $27,000 | thousands by filing date | |
| Morgan Stanley D W Disc Srmtns | 61745E5R8 | Long Bond | 25,000 | $26,000 | thousands by filing date | |
| United States Treas Nts TIPS 01.875%15 TIPS 01.875%15 | 912828EA4 | Short Bond | 20,000 | $25,000 | thousands by filing date | |
| Morgan Stanley D W Disc Srmtns | 61745EG70 | Short Bond | 23,000 | $23,000 | thousands by filing date | |
| ZBB ENERGY CORP | 98876R303 | COM NEW | 40,000 | $22,000 | thousands by filing date | |
| Goldman Sachs Grp Inc Mtn Be | 38141EX95 | Long Bond | 20,000 | $22,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 13,853 | $21,000 | thousands by filing date | |
| US TREASU NT | 912810FB9 | BTR | 15,000 | $21,000 | thousands by filing date | |
| Amarin Corp Plc New Adrf | 23111206 | SPONS ADR NEW | 18,150 | $20,000 | thousands by filing date | The CUSIP as filed is malformed. |
| DENDREON CORP | 24823Q107 | COM | 13,215 | $19,000 | thousands by filing date | |
| New York N Y | 64966G4F6 | Long Muni | 15,000 | $17,000 | thousands by filing date | |
| General Electric Capital Corp | 36966TBJ0 | Long Bond | 15,000 | $17,000 | thousands by filing date | |
| HP INC. 4.0522 | 428236BX0 | BCO | 15,000 | $16,000 | thousands by filing date | |
| New York N Y Go Bds | 64966G4L3 | Long Muni | 15,000 | $16,000 | thousands by filing date | |
| New York N Y City Transitional | 64971MEC2 | Long Muni | 15,000 | $16,000 | thousands by filing date | |
| New York N Y City Mun Wtr Fin Rev Bds | 64972FBZ8 | Long Muni | 15,000 | $16,000 | thousands by filing date | |
| Oyster Bay N Y | 692160BK9 | Short Muni | 15,000 | $16,000 | thousands by filing date | |
| Winter Garden Fla Sales Tax Re | 975778AU5 | Long Muni | 15,000 | $16,000 | thousands by filing date | |
| Bank Of America Corp | 06048WFQ8 | Interm. Bond | 15,000 | $15,000 | thousands by filing date | |
| Birmingham Ala Wtrwks Brd Wtr | 091096BF3 | Intermediate Muni | 13,000 | $15,000 | thousands by filing date | |
| Block Finl Corp | 093662AC8 | Short Bond | 15,000 | $15,000 | thousands by filing date | |
| Miami Dade Cnty Fla Solid Wast Solid Was | 59333WBC6 | Short Muni | 15,000 | $15,000 | thousands by filing date | |
| Gnma Pass-Thru X Single Family | 36201GL52 | Short Bond | 93,000 | $15,000 | thousands by filing date | |
| Illinois St Go Bds | 452151MW0 | Intermediate Muni | 15,000 | $15,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 14,000 | $14,000 | thousands by filing date | |
| GENWORTH FINL INCFIXED RT NT | 37247DAM8 | FIXED INCOME | 12,000 | $14,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 10,562 | $13,000 | thousands by filing date | |
| Orlando & Orange Cnty Expwy Au | 686543QW2 | Long Muni | 12,500 | $13,000 | thousands by filing date | |
| Ohio St | 677520UZ9 | Short Muni | 11,000 | $12,000 | thousands by filing date | |
| Salt Verde Finl Corp Sr Gas Re | 79575EAL2 | Long Muni | 10,000 | $12,000 | thousands by filing date | |
| NATIONAL HOLDINGS | 636375107 | COM | 23,526 | $11,000 | thousands by filing date | |
| General Electric Co | 36962G4R2 | CB | 10,000 | $11,000 | thousands by filing date | |
| Ba Mtg Trust 2006-2 | 05950GAS2 | High Yield | 20,000 | $11,000 | thousands by filing date | |
| Miami-Dade Cnty Fla Aviation R Aviation | 59333PSZ2 | Long Muni | 10,000 | $11,000 | thousands by filing date | |
| New York N Y City Mun Wtr Fin | 64972FD29 | Long Muni | 10,000 | $11,000 | thousands by filing date | |
| Ulster Cnty N Y | 903766VX8 | Long Muni | 10,000 | $11,000 | thousands by filing date | |
| Commercial Metals Co | 201723AH6 | High Yield | 10,000 | $11,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 34,306 | $10,000 | thousands by filing date | |
| American Apparel Inc | 23850100 | CS | 12,500 | $10,000 | thousands by filing date | The CUSIP as filed is malformed. |
| DELL INC | 24702RAQ4 | COM | 10,000 | $10,000 | thousands by filing date | |
| Bmc Software Inc | 055921AA8 | High Yield | 10,000 | $10,000 | thousands by filing date | |
| Butler Cnty Ohio Hosp Facs Rev Hosp Fac | 123550FF7 | Long Muni | 10,000 | $10,000 | thousands by filing date | |
| New York N Y City Mun Wtr Fin | 64972F8E9 | Short Muni | 10,000 | $10,000 | thousands by filing date | |
| New York St Environmental Facs | 64986A4X6 | Long Muni | 10,000 | $10,000 | thousands by filing date | |
| Suffolk Cnty N Y | 864766V98 | Long Muni | 10,000 | $10,000 | thousands by filing date | |
| Dade Cnty Fla Hsg Fin Auth Mul | 233911KD7 | Long Muni | 10,000 | $10,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 10,000 | $9,000 | thousands by filing date | |
| ATLATSA RES CORP | 49477102 | COM | 10,651 | $3,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Fhlmc Remic Series 2036 | 3133TD6A9 | Long Bond | 10,000 | $2,000 | thousands by filing date | |
| ION LTD ADR | 462052101 | ADR | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ER URGENT CARE HLDGS INC | 26884H207 | COM | 400,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 52,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| App Fin II Mauritius Ltd | 00202RAB2 | International Bond | 35,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000910472-14-005123 | superseded | 2014-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000910472-14-005227 | this filing | 2014-11-20 | acceptance time not in the bulk data set |