B Riley Capital Management LLC

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B Riley Capital Management LLC ✚
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) Copy

CIK	Period
0001658704	2021-09-30 2021-06-30 2021-03-31 2018-09-30 2018-06-30 2018-03-31 2017-12-31 2017-09-30 2017-06-30 2017-03-31 2016-12-31 2016-09-30 2016-06-30 2016-03-31 2015-12-31

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
	Smart Server Inc	12.3
	Hydra Industries Acquisition Corp	9.6
	Immudyne Inc	9.0
	Primus Telecommunications Group Inc	8.3
	Marchex Inc	7.1
	Greenidge Generation Holdings Inc	6.2
	In8Bio Inc	1.8
	Garrett Motion Inc	0.7













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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
View All

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
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

Form 3/4/5 Subject	2011 - 2026
Alta Equipment Group Inc
BRC Group Holdings Inc
Riley Bryant R
BRC Partners Management GP LLC
B Riley Capital Management LLC
BRC Partners Opportunity Fund LP
FBR Capital Markets & Co
Eos Energy Enterprises Inc
BRF Investments LLC
B Riley Principal Investments LLC
View All

Insider Transaction (Form 3/4/5)	Date	Action	Shares	Price	Value ($)
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

B Riley Capital Management LLC

Assets, Funds, Holdings