13F-HR filed by B. Riley Wealth Management, Inc.
B. Riley Wealth Management, Inc. filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-12, with 634 holding rows worth $1,301,986,000 by the sum of the rows.
- Accession
- 0001213900-21-058322
- Filer
- CIK 1599892
- Filed
- 2021-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 634 entries on the cover page, a total value of $1,301,995,000,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,301,986,000 with VALUE read as thousands by filing date, 13F file number 028-16196. The quarter's positions are built on this report. The resolved quarter.
The cover page states a total of $1,301,995,000,000, about 1,000 times the sum of the rows, $1,301,986,000. The filer likely wrote its cover total in dollars and its rows in thousands. This page uses the sum of the rows.
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 |
|---|---|---|---|---|---|---|
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 17,000 | $248,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 1,122 | $246,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 15,721 | $246,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 2,183 | $245,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 1,222 | $244,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 3,215 | $243,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 1,818 | $242,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 1,071 | $241,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 977 | $240,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 4,634 | $240,000 | thousands by filing date | |
| ACADEMY SPORTS & OUTDOORS INC COM | 00402L107 | Stock | 6,006 | $240,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 12,100 | $240,000 | thousands by filing date | |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 4,868 | $240,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 5,616 | $239,000 | thousands by filing date | |
| MP MATERIALS CORP | 553368101 | COM CL A | 7,425 | $239,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 3,516 | $238,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 477 | $236,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 6,179 | $236,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 17,535 | $235,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TE | 09260E105 | COM SHS | 8,659 | $234,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 4,252 | $233,000 | thousands by filing date | |
| SABA CAPITAL INCOME & OPRNT | 78518H103 | SHARES | 51,250 | $233,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 1,438 | $232,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 2,225 | $232,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 17,471 | $230,000 | thousands by filing date | |
| MARVELL TECHNOLOGY INC | 573874104 | COM | 3,795 | $229,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 2,533 | $229,000 | thousands by filing date | |
| DOUBLELINE YIELD OPPORTUNITI | 25862D105 | COM | 11,926 | $228,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 5,356 | $227,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 3,809 | $226,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 2,531 | $224,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 4,096 | $224,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 2,267 | $223,000 | thousands by filing date | |
| KRANESHARES QUADRATIC INTEREST RATE VOLATILITY AND INFLATION HEDGE ETF | 500767736 | ETF | 8,000 | $223,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 4,796 | $222,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F755 | FT VEST LADDERED | 9,694 | $222,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 12,587 | $222,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 2,511 | $221,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 25,791 | $221,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 4,925 | $220,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V308 | BUYBACK ACHIEV | 2,427 | $219,000 | thousands by filing date | |
| FIVERR INTL LTD ORD SHS | M4R82T106 | Stock | 1,194 | $218,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 1,129 | $218,000 | thousands by filing date | |
| TRUIST FINL CORP COM | 89832Q109 | Stock | 3,722 | $218,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 2,130 | $218,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 21,819 | $218,000 | thousands by filing date | |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 18,700 | $217,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F789 | ACTIVE FACTOR LA | 7,950 | $216,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F643 | MRNGSTR WDE MOAT | 2,918 | $214,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 545 | $213,000 | thousands by filing date | |
| RH | 74967X103 | COM | 318 | $212,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J742 | RAFI STRATGIC US | 5,748 | $212,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 4,425 | $212,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 10,090 | $211,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 1,385 | $210,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 3,373 | $209,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 385 | $208,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 50,000 | $208,000 | thousands by filing date | |
| STRATA CRITICAL MEDICAL INC | 092667104 | CL A COM | 20,000 | $208,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 100,000 | $208,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 5,450 | $206,000 | thousands by filing date | |
| YETI HLDGS INC COM | 98585X104 | Stock | 2,397 | $205,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 1,460 | $205,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 1,594 | $204,000 | thousands by filing date | |
| CURIOSITYSTREAM INC | 23130Q107 | COMMON STOCK | 19,399 | $204,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 13,779 | $203,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 520 | $202,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 3,400 | $201,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 2,547 | $201,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 11,500 | $201,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E396 | S&P 500 CONC ETF | 4,880 | $201,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 24,544 | $201,000 | thousands by filing date | |
| VIRTUS ALLIANZGI CONVERTIBLE & | 92838X102 | COM | 33,500 | $200,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 2,090 | $200,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 38,500 | $195,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 36,490 | $193,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 13,296 | $192,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 12,038 | $191,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 11,000 | $179,000 | thousands by filing date | |
| NOVAN INC COM NEW | 66988N205 | Stock | 22,000 | $179,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 28,200 | $174,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 14,000 | $174,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 18,314 | $173,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 33,000 | $171,000 | thousands by filing date | |
| SERVICE PPTYS TR | 81761L102 | COM SH BEN INT | 15,000 | $168,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 17,949 | $168,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 18,600 | $164,000 | thousands by filing date | |
| VIRTUS DIVIDEND, INTEREST & PR | 92840R101 | COM | 11,000 | $163,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 11,780 | $158,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 15,604 | $154,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U101 | COM | 10,346 | $149,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 26,000 | $148,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 14,952 | $148,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 14,325 | $146,000 | thousands by filing date | |
| AMCOR PLC | G0250X107 | ORD | 12,546 | $145,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 10,150 | $139,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 13,670 | $139,000 | thousands by filing date | |
| LUMEN TECHNOLOGIES INC | 550241103 | COM | 11,053 | $137,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 10,256 | $132,000 | thousands by filing date | |
| BNY MELLON ALCENTRA GLOBAL C | 05588N108 | COM | 13,881 | $131,000 | thousands by filing date | |
| US GOLD CORP | 90291C201 | COMMON STOCK | 11,750 | $120,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 10,100 | $118,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 12,611 | $113,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 20,520 | $106,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 20,400 | $104,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 14,250 | $103,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 10,800 | $102,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 31,059 | $98,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B208 | COM NEW | 13,500 | $98,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 17,504 | $96,000 | thousands by filing date | |
| PAYSAFE LIMITED | G6964L107 | ORD | 12,340 | $96,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 14,602 | $94,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 10,831 | $87,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 18,000 | $87,000 | thousands by filing date | |
| KUBIENT INC COM USD0.00001 | 50116V107 | COM | 26,204 | $85,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 11,930 | $82,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 17,000 | $82,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 31,130 | $81,000 | thousands by filing date | |
| MAMAS CREATIONS INC COM | 56146T103 | Stock | 30,900 | $74,000 | thousands by filing date | |
| TRITERRAS INC | G9103H102 | COM CL A | 12,275 | $72,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 18,700 | $65,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 19,000 | $65,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 16,962 | $63,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 12,000 | $57,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 50,000 | $51,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 14,000 | $50,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 16,750 | $45,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 10,000 | $44,000 | thousands by filing date | |
| WISA TECHNOLOGIES INC | 86633R203 | COM NEW | 14,500 | $41,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 12,800 | $38,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 10,000 | $37,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 30,000 | $32,000 | thousands by filing date | |
| CELULARITY INC | 151190113 | *W EXP 07/16/202 | 10,000 | $12,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 14,795 | $11,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001213900-21-058322 | this filing | 2021-11-12 | acceptance time not in the bulk data set |