13F-HR filed by B. Riley Wealth Advisors, Inc.
B. Riley Wealth Advisors, Inc. filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 616 holding rows worth $509,824,000.
- Accession
- 0001580642-16-012086
- Filer
- CIK 1464811
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 1,101 entries on the cover page, a total value of $509,824,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $509,824,000 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
- included managerVanguard
- included managerCongress Asset Management Company
- included managerForward Uniplan Advisors
- included managerBrandes
- included managerMiller/Howard
- included managerManulife
- included managerNavellier & Associates Inc.
- included managerLoomis
- included managerZacks Investment Mgt
- included managerPMC Sigma Mutual Fund Solutions
- included managerInvesco A.I.
- included managerCambiar
- included managerAnchor Capital
- included managerAtlanta Capital
- included managerICM
- included managerGranite Invstmt Ptnr
- included managerSparrow
- included managerLazard
- included managerAthenaInvest Advisor
- included managerACR
- included managerRisk Paradigm Group
- included managerAstor
- included managerDana Investment
- included managerChartwell
- included managerClark Capital Mgmt
- included managerCohen & Steers
- included managerCLS Investments
- included managerSymmetry Partners
- included managerPMC ETF Solutions
- included managerS&P
- included managerHahn Capital Management
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 |
|---|---|---|---|---|---|---|
| HALLIBURTON CO COM | 406216101 | Stock | 5,019 | $226,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 6,038 | $225,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 28,135 | $225,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 6,664 | $222,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 1,366 | $221,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 131,725 | $221,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 1,762 | $220,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 2,087 | $220,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 1,461 | $218,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 11,432 | $217,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 3,322 | $215,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 3,185 | $214,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 4,060 | $213,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 13,226 | $213,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M266 | CLAYMORE EXCHANGE TRD FD TR | 9,853 | $213,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 4,968 | $212,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 1,358 | $212,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 5,074 | $211,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 4,990 | $210,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 52,967 | $210,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 2,659 | $209,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 1,947 | $209,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 7,319 | $209,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 4,066 | $208,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 5,396 | $208,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 3,669 | $208,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 1,615 | $207,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 8,472 | $207,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 3,961 | $207,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 140 | $207,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 23,194 | $207,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 3,319 | $206,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 2,724 | $205,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 14,242 | $204,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 1,908 | $203,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 2,618 | $203,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 2,544 | $202,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 30,293 | $199,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 145,700 | $197,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 127,606 | $193,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 16,000 | $191,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 23,918 | $185,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 19,479 | $184,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 11,133 | $183,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 19,185 | $182,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 20,570 | $181,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 10,599 | $179,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 11,941 | $178,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 20,674 | $178,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 23,700 | $174,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 11,867 | $171,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 16,600 | $168,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 11,187 | $165,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 11,925 | $163,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 10,316 | $162,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 28,361 | $159,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 14,352 | $157,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 11,605 | $154,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 240,000 | $151,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 13,885 | $149,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 21,142 | $143,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 19,757 | $143,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 16,186 | $141,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 22,586 | $139,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 23,520 | $138,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 10,170 | $134,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 68,714 | $129,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 30,194 | $126,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 24,900 | $124,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 39,950 | $123,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 11,817 | $118,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 34,445 | $113,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 35,232 | $113,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 18,485 | $110,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 10,356 | $110,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 12,211 | $98,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 25,700 | $88,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 14,130 | $85,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 25,000 | $84,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 24,183 | $83,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 15,967 | $83,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 31,563 | $82,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 13,966 | $79,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 10,356 | $72,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 24,100 | $72,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 15,044 | $71,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 10,500 | $70,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 26,000 | $68,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 14,716 | $65,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 60,000 | $64,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 10,424 | $61,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 14,786 | $60,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 16,500 | $57,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 10,458 | $54,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 54,500 | $54,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 11,609 | $52,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 279,490 | $51,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 169,249 | $50,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 50,500 | $42,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 20,490 | $40,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 13,000 | $40,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 16,700 | $40,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 180,000 | $40,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 11,750 | $38,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 76,800 | $37,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 21,000 | $37,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 99,015 | $31,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 309 | $21,000 | thousands by filing date | principal |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 11,988 | $21,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 13,350 | $19,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 48,226 | $19,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 27,800 | $5,000 | thousands by filing date | |
| OPGEN INC | 68373L117 | *W EXP 05/05/202 | 49,300 | $5,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P116 | *W EXP 01/21/202 | 18,500 | $5,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 15,306 | $3,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 10,889 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-16-012086 | this filing | 2016-11-14 | acceptance time not in the bulk data set |