13F-HR filed by B. Riley Wealth Management, Inc.
B. Riley Wealth Management, Inc. filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-10-03, with 1,107 holding rows worth $135,182,000.
- Accession
- 0001599892-14-000003
- Filer
- CIK 1599892
- Filed
- 2014-10-03
- 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, 1,107 entries on the cover page, a total value of $135,182,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $134,628,000 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 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 |
|---|---|---|---|---|---|---|
| L-3 COMMUNICATIONS HLDGS INC | 502424104 | COM | 25 | $2,000 | thousands by filing date | |
| NORTHEAST UTILS | 664397106 | COM | 58 | $2,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 250 | $2,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 200 | $2,000 | thousands by filing date | |
| EXTERRAN PARTNERS LP | 30225N105 | COM UNITS | 75 | $2,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 500 | $2,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550107 | CL A | 142 | $2,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 1,280 | $2,000 | thousands by filing date | |
| COMPUWARE CORP | 205638109 | COM | 200 | $2,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 1,000 | $2,000 | thousands by filing date | |
| SCHULMAN (A.) INC | 808194104 | COM | 80 | $2,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 57 | $2,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 600 | $2,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 1,000 | $2,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 75 | $2,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 100 | $2,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 500 | $2,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 200 | $2,000 | thousands by filing date | |
| PENN WEST ENERGY TRUST | 707885109 | Stock | 328 | $2,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 70 | $2,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 70 | $2,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X673 | INTL INDS ETF | 90 | $2,000 | thousands by filing date | |
| PUT (QQQ) POWERSHARES QQQ TRUST 01/17/2015 @ $95 | P00095000 | PUT | 10 | $2,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 24 | $1,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 35 | $1,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 15 | $1,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 52 | $1,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 43 | $1,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 100 | $1,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 20 | $1,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 18 | $1,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 42 | $1,000 | thousands by filing date | |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 49 | $1,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 25 | $1,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 27 | $1,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 54 | $1,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 82 | $1,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 17 | $1,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 425 | $1,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 20 | $1,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 88 | $1,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 71 | $1,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 605 | $1,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 76 | $1,000 | thousands by filing date | |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 43 | $1,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 51 | $1,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 16 | $1,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 100 | $1,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 100 | $1,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 21 | $1,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 400 | $1,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 200 | $1,000 | thousands by filing date | |
| SPARK NEW ZEALAND ADR | 84652A102 | COM | 133 | $1,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 250 | $1,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 145 | $1,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 1,000 | $1,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 55 | $1,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592200 | CMN | 1,000 | $1,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 70 | $1,000 | thousands by filing date | |
| CORP RES SVCS INC COM | 22004Y105 | Stock | 1,000 | $1,000 | thousands by filing date | |
| PUT (TNA) DIREXION SM CAP BLL 3X 10/10/2014 @ $64 | P00064000 | PUT | 6 | $1,000 | thousands by filing date | |
| CALL (BBY) BEST BUY INC 11/22/2014 @ $30 | C00030000 | CALL | 3 | $1,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VGT | 92204A702 | SHS | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEWMONT CORP | 651639106 | COM | 43 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROYAL BK CDA COM | 780087102 | Stock | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CINTAS CORP COM | 172908105 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONE GAS INC COM | 68235P108 | Stock | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROVISION INC DEL | 594960304 | COM NEW | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DUKE REALTY CORP | 264411505 | COM NEW | 41 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERPUBLIC GROUP COS | 460690100 | COM | 47 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CST BRANDS INC | 12646R105 | COM | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KRATON CORPORATION | 50077C106 | COM | 31 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INGERSOLL-RAND PLC | G47791101 | SHS | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LANDS END INC | 51509F105 | COMMON STOCK | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DNOW INC | 67011P100 | COMMON STOCK | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTERN CO | 276317104 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Ashland | 044209104 | Common | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| SPRINT CORP | 85207U105 | COM SER 1 | 78 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBALSTAR INC | 378973408 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALENCE TECHNOLOGY INC BANKRUPTCY EFF: 03/07/14 | 918914102 | COMMON STOCK | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAMERON INTERNATIONAL CORP | 13342B105 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| AGRIUM INC | 008916108 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAST THERAPEUTICS INC | 576314108 | COM | 597 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RUBICON MINERALS CORP | 780911103 | COM | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Fairpoint Communications Inc/O | 305560104 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOLYCORP INC DEL | 608753109 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HARDINGE INC | 412324303 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TICC CAPITAL CORP | 87244T109 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CUBIC ENERGY INC | 229675103 | COM | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SAMSON OIL AND GAS LIMITED ADR | 796043107 | ADR | 3,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OXIGENE INC | 691828404 | COM PAR$.001 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 68 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELCATH SYS INC | 24661P401 | Cmn | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MABVAX THERAPEUTICS HOLDINGS, INC. | 55414P108 | COMMON STOCK | 43 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Call HRL 6-19-15 @ 60 | C00060000 | E | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001599892-14-000003 | this filing | 2014-10-03 | acceptance time not in the bulk data set |