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| B Riley Wealth Advisors Inc
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|---|---|
| CRD # | 115927 |
| SEC # | 801-64837 |
| CIK # | 0001464811 |
| AUM | 4,211.6 M (2026-03-31) |
| Employees | 268 (64% Investors, 72% Brokers) |
| Fees | |
| Minimum | |
| 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] | 67.9 M | 230.2 M |
| Offered $100,000,000 · Filed 2020-07-17 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $32,147,025 · Duration One year or less · Commission $10,000,000 · Revenue Decline to Disclose | ||||
| PE | Innovation X Holdings V LLC | [2020-12-26] | 18.5 M | |
| Offered $15,000,000 · Filed 2020-05-29 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $15,000,000 · Duration One year or less · Commission $1,500,000 · Revenue Decline to Disclose | ||||
| PE | Innovation X Holdings II LLC Series 2018-5 | [2019-12-24] | 8.6 M | |
| Offered $25,000,000 · Filed 2018-11-29 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining $25,000,000 · Duration One year or less · Commission $2,500,000 · Revenue Decline to Disclose | ||||
| PE | Innovation X Holdings QP LLC Series 2018-5 | [2019-12-24] | 93.7 M | |
| Offered $125,000,000 · Filed 2018-11-29 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $125,000,000 · Duration One year or less · Commission $12,500,000 · Revenue Decline to Disclose | ||||
| PE | Innovation X Holdings QP LLC Series 2018-6 | [2019-12-24] | 63.2 M | |
| Offered $50,000,000 · Filed 2018-12-11 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $50,000,000 · Duration One year or less · Commission $5,000,000 · Revenue Decline to Disclose | ||||
| PE | Innovation X Holdings QP LLC Series 2018-6B | [2019-12-24] | 3.5 M | 40.3 M |
| Offered $50,000,000 · Filed 2019-05-23 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $46,483,000 · Duration One year or less · Commission $5,000,000 · Revenue Decline to Disclose | ||||
| PE | Innovation X Holdings QP LLC Series 2019-1 | [2019-12-24] | 42.2 M | 24.7 M |
| Offered $50,000,000 · Filed 2019-04-02 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $7,847,500 · Duration One year or less · Commission $5,000,000 · Revenue Decline to Disclose | ||||
| PE | Innovation X Holdings QP LLC Series 2019-5 | [2019-12-24] | 21.4 M | |
| Offered $100,000,000 · Filed 2019-09-27 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $100,000,000 · Duration One year or less · Commission $10,000,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund I QP LLC Series 2018-6 | [2019-12-24] | 36.7 M | |
| Offered $50,000,000 · Filed 2019-04-25 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $50,000,000 · Duration One year or less · Commission $5,000,000 · Revenue Decline to Disclose | ||||
| PE | Innovation X Holdings II LLC Series 2018-2 Pinterest | [2018-12-27] | 9.7 M | |
| Offered $15,000,000 · Filed 2018-05-31 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining $15,000,000 · Duration One year or less · Commission $1,500,000 · Revenue Decline to Disclose | ||||
| PE | Innovation X QP LLC Series 2018-2 Pinterest | [2018-12-27] | 73.4 M | |
| Offered $75,000,000 · Filed 2018-05-31 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $75,000,000 · Duration One year or less · Commission $7,500,000 · Revenue Decline to Disclose | ||||
| PE | Innovation X QP LLC Series 2018-4 Lyft | [2018-12-27] | 21.7 M | |
| Filed 2017-03-21 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration One year or less · Commission $1,500,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund VI LLC Series VI | [2018-12-27] | 8.5 M | 0.1 M |
| Offered $10,000,000 · Filed 2019-04-02 (D/A) · Exemption 506(b) · Remaining $1,494,000 · Duration One year or less · Commission $1,000,000 · Revenue Decline to Disclose | ||||
| PE | NSC Biotech Opportunities Fund LLC Series I | [2018-12-27] | 1.1 M | |
| Offered $30,000,000 · Filed 2018-03-12 (D) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $100,000 · Remaining $28,925,000 · Duration One year or less · Commission $86,000 · Net Assets Decline to Disclose | ||||
| PE | NSC Biotech Opportunities QP Fund LLC Series I | [2018-12-27] | 5.4 M | |
| Offered $30,000,000 · Filed 2018-03-12 (D) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $100,000 · Remaining $24,558,000 · Duration One year or less · Commission $435,260 · Net Assets Decline to Disclose | ||||
| PE | Innovation X Holdings QP LLC - Slack Series I | [2018-01-24] | 10.7 M | |
| Offered $25,000,000 · Filed 2017-12-15 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $25,000,000 · Duration One year or less · Commission $2,500,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund V LLC Slack Series I | [2018-01-24] | 4.2 M | |
| Offered $25,000,000 · Filed 2017-12-22 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining $25,000,000 · Duration One year or less · Commission $2,500,000 · Revenue Decline to Disclose | ||||
| PE | Innovation X Holdings II LLC Snap Series I | [2017-12-19] | ||
| Filed 2017-02-28 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration One year or less · Commission $2,800,000 · Revenue Decline to Disclose | ||||
| PE | Innovation X Holdings QP LLC - Palantir Series I | [2017-12-19] | 32.9 M | |
| Filed 2017-04-27 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration One year or less · Commission $2,000,000 · Revenue Decline to Disclose | ||||
| PE | Innovation X QP LLC Lyft Series IV | [2017-12-19] | ||
| Filed 2017-03-21 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration One year or less · Commission $1,500,000 · Revenue Decline to Disclose | ||||
| PE | Innovation X QP LLC Series I Snap | [2017-12-19] | ||
| Filed 2017-02-28 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration One year or less · Commission $2,800,000 · Revenue Decline to Disclose | ||||
| PE | NAM Biotech Fund II LLC Series I | [2017-12-19] | 12.3 M | |
| Offered $50,000,000 · Filed 2017-03-30 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining $50,000,000 · Duration One year or less · Commission $5,000,000 · Revenue Decline to Disclose | ||||
| PE | NAM Biotech Fund II LLC Series II | [2017-12-19] | ||
| Offered $40,000,000 · Filed 2017-04-27 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining $40,000,000 · Duration One year or less · Commission $4,000,000 · Revenue Decline to Disclose | ||||
| PE | NAM Biotech Fund II LLC Series III | [2017-12-19] | ||
| Offered $40,000,000 · Filed 2017-05-31 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining $40,000,000 · Duration One year or less · Commission $4,000,000 · Revenue Decline to Disclose | ||||
| PE | NAM Biotech Fund II LLC Series IV | [2017-12-19] | ||
| Offered $40,000,000 · Filed 2017-06-29 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining $40,000,000 · Duration One year or less · Commission $4,000,000 · Revenue Decline to Disclose | ||||
| PE | NAM Biotech Fund II LLC Series V | [2017-12-19] | ||
| Offered $40,000,000 · Filed 2017-08-30 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining $40,000,000 · Duration One year or less · Commission $4,000,000 · Revenue Decline to Disclose | ||||
| PE | NAM Biotech Fund II LLC Series VI | [2017-12-19] | ||
| Offered $40,000,000 · Filed 2017-09-28 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining $40,000,000 · Duration One year or less · Commission $4,000,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund II LLC | [2017-12-19] | 5.7 M | |
| Filed 2016-11-29 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Commission $1,200,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund I QP LLC FBIO Series I | [2017-12-19] | 1.8 M | 16.1 M |
| Offered $50,000,000 · Filed 2017-04-12 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $48,196,000 · Duration One year or less · Commission $5,000,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund I QP LLC FBIO Series II | [2017-12-19] | ||
| Offered $50,000,000 · Filed 2017-04-27 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $50,000,000 · Duration One year or less · Commission $5,000,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund I QP LLC FBIO Series III | [2017-12-19] | ||
| Offered $50,000,000 · Filed 2017-05-31 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $50,000,000 · Duration One year or less · Commission $5,000,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund I QP LLC FBIO Series IV | [2017-12-19] | ||
| Offered $50,000,000 · Filed 2017-06-29 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $50,000,000 · Duration One year or less · Commission $5,000,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund I QP LLC FBIO Series V | [2017-12-19] | ||
| Offered $50,000,000 · Filed 2017-08-30 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $50,000,000 · Duration One year or less · Commission $5,000,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund I QP LLC FBIO Series VI | [2017-12-19] | ||
| Offered $50,000,000 · Filed 2017-09-28 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $50,000,000 · Duration One year or less · Commission $5,000,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund I QP LLC Lyft Series IV | [2017-12-19] | 3.6 M | 6.0 M |
| Filed 2017-04-19 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration One year or less · Commission $1,000,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund I QP LLC Lyft Series V | [2017-12-19] | 41.1 M | |
| Offered $35,000,000 · Filed 2017-11-29 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $35,000,000 · Duration One year or less · Commission $2,450,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund I QP LLC Series II Palantir | [2017-12-19] | 4.6 M | 32.1 M |
| Filed 2019-04-02 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration One year or less · Commission $1,200,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund I QP LLC Series I Palantir | [2017-12-19] | 6.6 M | |
| Filed 2017-02-15 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration One year or less · Commission $1,200,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund IV LLC WUP Series I | [2017-12-19] | 4.6 M | |
| Offered $10,000,000 · Filed 2017-09-28 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining $10,000,000 · Duration One year or less · Commission $1,000,000 · Revenue Decline to Disclose | ||||
| PE | Innovation X Holdings LLC Lyft Series I | [2016-12-02] | 11.4 M | |
| Offered $230,000,000 · Filed 2017-01-30 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining $218,611,712 · Duration More than one year · Commission $1,138,828 · Revenue Decline to Disclose | ||||
| PE | Innovation X Holdings LLC Lyft Series II | [2016-12-02] | 11.4 M | 5.7 M |
| Offered $230,000,000 · Filed 2017-01-30 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining $218,611,712 · Duration More than one year · Commission $1,138,828 · Revenue Decline to Disclose | ||||
| PE | Innovation X Holdings QP LLC Lyft Series I | [2016-12-02] | 58.3 M | |
| Offered $230,000,000 · Filed 2017-01-30 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $171,670,626 · Duration More than one year · Commission $5,832,937 · Revenue Decline to Disclose | ||||
| PE | Innovation X Holdings QP LLC Lyft Series II | [2016-12-02] | 58.3 M | |
| Offered $230,000,000 · Filed 2017-01-30 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $171,670,626 · Duration More than one year · Commission $5,832,937 · Revenue Decline to Disclose | ||||
| PE | Innovation X Holdings QP LLC Lyft Series III | [2016-12-02] | 58.3 M | |
| Offered $230,000,000 · Filed 2017-01-30 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $171,670,626 · Duration More than one year · Commission $5,832,937 · Revenue Decline to Disclose | ||||
| PE | Innovation X QP LLC Series I Spotify | [2016-12-02] | 58.3 M | |
| Offered $230,000,000 · Filed 2017-01-30 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $171,670,626 · Duration More than one year · Commission $5,832,937 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund II LLC Palantir Series I | [2016-12-02] | 14.9 M | |
| Filed 2016-11-29 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Commission $1,200,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund I LLC Lyft Series I | [2016-12-02] | 9.3 M | 18.8 M |
| Offered $1,000,000,000 · Filed 2016-07-26 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining $990,690,000 · Duration One year or less · Commission $931,000 · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund I QP LLC Lyft Series I | [2016-12-02] | 20.2 M | |
| Offered $1,000,000,000 · Filed 2016-03-01 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $1,000,000,000 · Duration One year or less · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund I QP LLC Lyft Series II | [2016-12-02] | 17.0 M | |
| Offered $1,000,000,000 · Filed 2016-03-01 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $1,000,000,000 · Duration One year or less · Revenue Decline to Disclose | ||||
| PE | NAM Special Situations Fund I QP LLC Lyft Series III | [2016-12-02] | 24.9 M | |
| Offered $1,000,000,000 · Filed 2016-03-01 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $1,000,000,000 · Duration One year or less · Revenue Decline to Disclose | ||||
| PE | Truncatus Holdings LLC | [2016-12-02] | 1.7 M | 0.0 M |
| Offered $12,500,000 · Filed 2015-12-29 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining $10,835,375 · Duration One year or less · Commission $1,250,000 · Revenue Decline to Disclose | ||||
| PE | Truncatus Holdings QP LLC | [2016-12-02] | 1.0 M | 0.0 M |
| Offered $12,500,000 · Filed 2015-12-29 (D) · Exemption 506(c), 3(c), 3(c)(7) · Remaining $11,469,947 · Duration One year or less · Commission $1,250,000 · Revenue Decline to Disclose | ||||
| PE | NSC Biotech Venture Fund I LLC | [2015-12-21] | 10.0 M | |
| Offered $10,000,000 · Filed 2015-03-09 (D) · Exemption 506(b) · Minimum $25,000 · Duration One year or less · Commission $800,000 · Revenue Decline to Disclose | ||||
| PE | Powermat Partners LLC | [2015-12-21] | 5.6 M | 0.0 M |
| Offered $10,000,000 · Filed 2015-06-26 (D) · Exemption 506(b) · Minimum $100,000 · Remaining $4,398,000 · Duration More than one year · Commission $448,160 · Revenue Decline to Disclose | ||||
| HF | Mirus Opportunity Fund LLC | [2012-08-17] | 30.3 M | |
| Offered $25,000,000 · Filed 2011-08-17 (D) · Exemption 506, 3(c), 3(c)(1) · Minimum $100,000 · Remaining $25,000,000 · Duration One year or less · Revenue Decline to Disclose | ||||
| HF | Profectus QP Opportunity Fund LLC | [2012-08-17] | 40.2 M | |
| Offered $25,000,000 · Filed 2011-11-28 (D) · Exemption 506, 3(c), 3(c)(7) · Minimum $100,000 · Remaining $25,000,000 · Duration One year or less · Revenue Decline to Disclose | ||||
| AUM Breakdown | Accounts | AUM ($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 | Executive Officer | 47 | 7 | |
| David Levine | Executive Officer | 73 | 5 | |
| National Asset Management Inc | Executive Officer | 56 | 5 | |
| Michael Mullen | Director, Executive Officer | 45 | 5 | |
| Roger Monteforte | Executive Officer | 45 | 5 | |
| Tom Kowalczyk | Director, Executive Officer | 25 | 5 | |
| Leonard Sokolow | Executive Officer | 56 | 4 | |
| Innovation X Management LLC | Executive Officer | 27 | 4 | |
| Nam Special Situations Management LLC | Executive Officer | 13 | 3 | |
| Glenn Worman | Director, Executive Officer | 9 | 3 | |
| 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
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NY | 6,286.4 M |
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Palisade Capital Management LP
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NJ | 3,862.5 M |
|
CM Wealth Advisors LLC
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|
OH | 3,597.4 M |
|
Institute for Wealth Management LLC
✚
|
CO | 1,370.3 M |
|
Almanack Investment Partners LLC
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|
PA | 945.9 M |
|
Rays Capital Partners Limited
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|
547.2 M | |
|
The Estate Planners Group LLC
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|
PA | 422.1 M |
|
Everstar Asset Management LLC
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|
NC | 336.7 M |
|
Preston Wealth Advisors LLC
✚
|
VA | 286.0 M |
|
Colarion LLC
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|
AL | 188.3 M |