B Riley Capital Management LLC

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B Riley Capital Management LLC ✚
CRD #	160510
SEC #	801-73824
CIK #
AUM
Employees	9 (11% Investors, 78% Brokers)
Fees
Minimum
Phone	310-966-1444
Address	11100 Santa Monica Blvd Los Angeles, CA 90025
Source	[IAPD] [Website]

Total AUM ($M) Copy

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	9	4
Dialectic Capital Management LLC	Executive Officer	7	4
Dialectic Capital Management LP	Executive Officer	7	4
B Riley Capital Management LLC	Executive Officer, Promoter	6	4
Michael Kramer	Director	57	3
Robert Dean	Director	34	3
Mark Klein	Director, Promoter	25	3
Innovation X Advisors LLC	Promoter	11	3
John Ahn	Executive Officer	8	3
Michael Markunas	Director, Executive Officer	7	3
Eugene Kim	Director	6	3
The Managing Member Ladenburg Thalmann Asset Management Inc	Promoter	3	3
Alan Forman	Executive Officer	13	2
Tom Kelleher	Executive Officer	9	2
Mike McCoy	Executive Officer	5	2
Phillip Ahn	Director	4	2
Dialectic Capital LLC	Executive Officer	3	2
Jonathan Mitchell	Director	3	2
Sole Member B Riley Capital Management LLC	Promoter	2	2
Stuart Armstrong	Executive Officer	2	2
A Division of B Riley Capital Management LLC B Riley Asset Management	Executive Officer, Promoter	4	1
Great American Capital Partners LLC	Executive Officer, Promoter	2	1
Investment Manager B Riley Capital Management LLC	Promoter	1	1
Brc Partners Management GP LLC	Promoter	1	1
B Riley Innovation X Capital Management LLC	Executive Officer	1	1
B Riley Innovation Management LLC	Executive Officer	1	1
Nicholas Capuano	Executive Officer	1	1
Allision Petchenick	Promoter	1	1
General Partner B Riley Capital Management LLC	Promoter	1	1
General Partner Brc Emerging Managers GP LLC	Promoter	1	1
B Riley Asset Management	Promoter	1	1
Innovation X Capital Management LLC	Executive Officer	1	1
Kelleher Tom	Executive Officer	1	1
A Division of B Riley Capital Management B Riley Asset Management	Promoter	1	1
General Partner BR SPAC Capital Management LLC	Promoter	1	1
A Division of B Riley Capital Management LLC Gacp Management	Executive Officer	1	1

Firm Profile (Form ADV)
Discretionary AUM	$0.1B
Serves	Institutional
Fund Types	Hedge Fund, Private Equity

B Riley Capital Management LLC

Assets, Funds, Holdings