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| B Riley Capital Management LLC
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| CRD # | 160510 |
| SEC # | 801-73824 |
| CIK # | 0001658704 |
| AUM | |
| Employees | 9 (11% Investors, 78% Brokers) |
| Phone | 310-966-1444 |
| Address | 11100 Santa Monica Blvd Los Angeles, CA 90025 |
| Source | [IAPD] [EDGAR] [Website] |
| Total AUM ($M) |
|---|
| Sector | Form 13F Holdings | Value ($M) | |
|---|---|---|---|
| Babcock & Wilcox Enterprises Inc | 174.9 | ||
| B Riley Principal Merger Corp II | 86.7 | ||
| B Riley Principal Merger Corp | 85.9 | ||
| Global Ship Lease Inc | 61.3 | ||
| Quantum Corp /DE/ | 39.4 | ||
| Doubledown Interactive Co Ltd | 33.5 | ||
| Tile Shop Holdings Inc | 28.7 | ||
| Telos Corp | 25.6 | ||
| Great American Group Inc | 18.8 | ||
| Perpetua Resources Corp | 18.4 | ||
| View All | |||
| Holdings by Sector ($M) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| PE | Innovation X Capital Partners LLC - EC Class A Share Class | [2022-04-26] | 455.8 M | 126.0 M |
| Filed 2022-09-07 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Commission $10,040,000 · Revenue Decline to Disclose | ||||
| PE | Innovation X Capital Partners LLC - STP Class A Share Class | [2022-04-26] | 455.8 M | |
| Filed 2022-09-07 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Commission $10,040,000 · Revenue Decline to Disclose | ||||
| PE | GACP II LP | [2018-04-02] | 321.1 M | 137.7 M |
| Offered $321,150,000 · Filed 2018-07-13 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Duration One year or less · Revenue Decline to Disclose | ||||
| Other | BR SPAC Opportunity Fund LP | [2017-03-31] | 18.5 M | 12.9 M |
| Filed 2018-07-02 (D/A) · Exemption 506(b), 3(c), 3(c)(1), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose | ||||
| HF | BRC Partners Opportunity Fund LP | [2015-07-22] | 273.2 M | 48.8 M |
| Filed 2024-06-11 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $1,000,000 · Remaining Indefinite · Duration More than one year · Commission $271,211 · Net Assets Decline to Disclose | ||||
| PE | GACP I LP | [2015-07-22] | 155.0 M | 1.2 M |
| Offered $155,000,000 · Filed 2016-01-19 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Duration One year or less · Revenue Decline to Disclose | ||||
| HF | BRC Emerging Managers Fund of Funds LP | [2014-03-28] | 10.4 M | 12.8 M |
| Filed 2024-06-11 (D/A) · Exemption 3(c), 3(c)(1) · Minimum $500,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | BRC Special Situations Fund LP | [2014-03-28] | 0.8 M | 3.0 M |
| Filed 2015-01-26 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $500,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | Dialectic Antithesis Opportunities Fund II LP | [2012-02-14] | 127.7 M | 28.0 M |
| Filed 2017-04-06 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | Dialectic Antithesis Partners LP | 2012-02-14 | 190.4 M | |
| HF | Dialectic Capital Partners LP | 2012-02-14 | 34.8 M | |
| HF | Dialectic Offshore Ltd | 2012-02-14 | 145.6 M | |
| HF | MKCA Opportunity Fund LLC | [2012-02-14] | 35.8 M | 66.2 M |
| Offered $5,000,000,000 · Filed 2011-07-08 (D) · Exemption 506 · Minimum $250,000 · Remaining $4,964,200,000 · Duration More than one year · Net Assets $25,000,001 - $50,000,000 | ||||
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 4 | 200.4 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 4 | 200.4 |
| By Discretionary | ||
| Discretionary | 4 | 200.4 |
| Non-Discretionary | 0 | 0.0 |
| Total | 4 | 200.4 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 200.4 | |
| Total | 4 | 200.4 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Mark Goldwasser | Director | 47 | 7 | |
| John Fichthorn | Executive Officer | 49 | 6 | |
| Roger Monteforte | Director | 45 | 5 | |
| Michael McCoy | Executive Officer | 32 | 4 | |
| Allison Petchenick | Executive Officer | 22 | 4 | |
| Bryant Riley | Executive Officer | 19 | 4 | |
| Luke Fichthorn | Executive Officer | 9 | 4 | |
| Harry Chung | Executive Officer | 8 | 4 | |
| Dialectic Capital Management LLC | Executive Officer | 7 | 4 | |
| Dialectic Capital Management LP | Executive Officer | 7 | 4 | |
| View All | ||||
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-NT | [0001658704] | |
| 3 | [0001658704] | |
| 4 | [0001658704] | |
| 5 | [0001658704] | |
| SC 13G | [0001658704] |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed |
|---|---|---|
| B Riley Capital Management LLC | Digital Turbine Inc | [2016-01-21] |
| B Riley Capital Management LLC | PRGX Global Inc | [2015-11-27] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.1B |
| Serves | Institutional |
| Fund Types | Hedge Fund, Private Equity |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
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Alta Equipment Group Inc ALTG
Common Stock
|
2021-10-20 | Buy | 5,603 | $13.48 | 75,528 |
|
Alta Equipment Group Inc ALTG
Common Stock
|
2021-10-18 | Buy | 23,086 | $13.50 | 311,661 |
|
Eos Energy Enterprises Inc EOSE
Class A Common Stock
|
2021-10-15 | Sell | 6,521 | $12.85 | 83,795 |
|
Eos Energy Enterprises Inc EOSE
Class A Common Stock
|
2021-10-14 | Sell | 600 | $12.85 | 7,710 |
|
Eos Energy Enterprises Inc EOSE
Class A Common Stock
|
2021-10-01 | Sell | 87,714 | $14.23 | 1,248,170 |
|
Eos Energy Enterprises Inc EOSE
Class A Common Stock
|
2021-09-30 | Sell | 44,172 | $14.11 | 623,267 |
|
Eos Energy Enterprises Inc EOSE
Class A Common Stock
|
2021-09-29 | Sell | 60,731 | $14.15 | 859,344 |
|
Eos Energy Enterprises Inc EOSE
Class A Common Stock
|
2021-09-28 | Sell | 12,427 | $14.11 | 175,345 |
|
Eos Energy Enterprises Inc EOSE
Class A Common Stock
|
2021-09-27 | Sell | 60,143 | $14.10 | 848,016 |
|
Eos Energy Enterprises Inc EOSE
Class A Common Stock
|
2021-09-17 | Sell | 5,000 | $13.77 | 68,850 |
|
Eos Energy Enterprises Inc EOSE
Class A Common Stock
|
2021-09-17 | Sell | 5,000 | $13.77 | 68,850 |
|
Eos Energy Enterprises Inc EOSE
Class A Common Stock
|
2021-09-17 | Sell | 5,000 | $13.77 | 68,850 |
|
Eos Energy Enterprises Inc EOSE
Class A Common Stock
|
2021-09-17 | Sell | 5,000 | $13.77 | 68,850 |
|
Eos Energy Enterprises Inc EOSE
Class A Common Stock
|
2021-09-17 | Sell | 18,231 | $13.81 | 251,770 |
|
Alta Equipment Group Inc ALTG
Common Stock
|
2021-09-16 | Buy | 17,771 | $12.88 | 228,890 |
|
Alta Equipment Group Inc ALTG
Common Stock
|
2021-09-15 | Buy | 5,031 | $12.80 | 64,397 |
|
Alta Equipment Group Inc ALTG
Common Stock
|
2021-09-10 | Buy | 10,277 | $12.80 | 131,546 |
|
Eos Energy Enterprises Inc EOSE
Class A Common Stock
|
2021-09-09 | Sell | 25,371 | $13.41 | 340,225 |
|
Alta Equipment Group Inc ALTG
Common Stock
|
2021-09-09 | Buy | 3,954 | $12.80 | 50,611 |
|
Eos Energy Enterprises Inc EOSE
Class A Common Stock
|
2021-09-08 | Sell | 300 | $13.60 | 4,080 |
| showing 20 of 200 most recent transactions | |||||