|
⚲
|
| Keyboard |
| B Riley Wealth Advisors Inc
✚
|
|
|---|---|
| CRD # | 115927 |
| SEC # | 801-64837 |
| CIK # | 0001464811 |
| AUM | 4.2 B (2026-03-31) |
| Employees | 268 (64% Investors, 72% Brokers) |
| Phone | 901-251-1330 |
| Address | 40 S Main St Memphis, TN 38103 |
| Source | [IAPD] [EDGAR] [Website] |
| Total AUM ($B) |
|---|
| Sector | Form 13F Holdings | Value ($B) | |
|---|---|---|---|
| Nvidia Corp | 0.1 | ||
| Apple Inc | 0.1 | ||
| Amazon Com Inc | 0.0 | ||
| Facebook Inc | 0.0 | ||
| Lilly Eli & Co | 0.0 | ||
| Microsoft Corp | 0.0 | ||
| Alphabet Inc | 0.0 | ||
| Broadcom Inc | 0.0 | ||
| Palo Alto Networks Inc | 0.0 | ||
| Palantir Technologies Inc | 0.0 | ||
| View All | |||
| Holdings by Sector ($B) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| PE | Innovation X Holdings Series 2020-1 QP LLC | [2020-12-26] | 230.2 M | |
| PE | Innovation X Holdings V LLC | [2020-12-26] | 18.5 M | |
| PE | Innovation X Holdings II LLC Series 2018-5 | [2019-12-24] | 8.6 M | |
| PE | Innovation X Holdings QP LLC Series 2018-5 | [2019-12-24] | 93.7 M | |
| PE | Innovation X Holdings QP LLC Series 2018-6 | [2019-12-24] | 63.2 M | |
| PE | Innovation X Holdings QP LLC Series 2018-6B | [2019-12-24] | 3.5 M | 40.3 M |
| PE | Innovation X Holdings QP LLC Series 2019-1 | [2019-12-24] | 24.7 M | |
| PE | Innovation X Holdings QP LLC Series 2019-5 | [2019-12-24] | 21.4 M | |
| PE | NAM Special Situations Fund I QP LLC Series 2018-6 | [2019-12-24] | 36.7 M | |
| PE | Innovation X Holdings II LLC Series 2018-2 Pinterest | [2018-12-27] | 9.7 M | |
| View All | ||||
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 9,295 | 2.1 |
| (b) Individuals (high net worth individuals) | 801 | 1.9 |
| (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 | 0 | 0.0 |
| (g) Pension and profit sharing plans | 267 | 0.1 |
| (h) Charitable organizations | 16 | 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 | 194 | 0.1 |
| (n) Other | 0 | 0.0 |
| Total | 10,573 | 4.2 |
| By Discretionary | ||
| Discretionary | 7,143 | 2.8 |
| Non-Discretionary | 3,430 | 1.4 |
| Total | 10,573 | 4.2 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 4.2 | |
| Total | 10,573 | 4.2 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Mark Goldwasser | 46 | 7 | ||
| David Levine | 73 | 5 | ||
| National Asset Management Inc | 56 | 5 | ||
| Michael Mullen | 45 | 5 | ||
| Roger Monteforte | 44 | 5 | ||
| Tom Kowalczyk | 25 | 5 | ||
| Leonard Sokolow | 56 | 4 | ||
| Innovation X Management LLC | 27 | 4 | ||
| NAM Special Situations Management LLC | 13 | 4 | ||
| Glenn Worman | 9 | 4 | ||
| View All | ||||
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-HR | [0001464811] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.6B |
| Clients | 40 (1 non-US) |
| Serves | Institutional, Retail, Research |
| Fund Types | Hedge Fund, Private Equity |
| Comparable Firms | State | AUM |
|---|---|---|
|
Stelac Advisory Services LLC
✚
|
NY | 6.3 B |
|
Palisade Capital Management LP
✚
|
NJ | 3.9 B |
|
CM Wealth Advisors LLC
✚
|
OH | 3.6 B |
|
Institute for Wealth Management LLC
✚
|
CO | 1.4 B |
|
Almanack Investment Partners LLC
✚
|
PA | 945.9 M |
|
Rays Capital Partners Limited
✚
|
547.2 M | |
|
The Estate Planners Group LLC
✚
|
PA | 422.1 M |
|
Everstar Asset Management LLC
✚
|
NC | 336.7 M |
|
Preston Wealth Advisors LLC
✚
|
VA | 286.0 M |
|
Colarion LLC
✚
|
AL | 188.3 M |