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| Happy Holidays!! thanks for using AUM13F!! |
| B Riley Wealth Advisors Inc
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| CRD # | 115927 |
| SEC # | 801-64837 |
| CIK # | 0001464811 |
| AUM | $7.0 B (2025-06-10) |
| Employees | 350 (78% Investors, 84% Brokers) |
| Phone | 901-251-1330 |
| Address | 40 S Main St Memphis, TN 38103 |
| Source | [IAPD] [EDGAR] [Website] |
| Total AUM ($B) |
|---|
| CIK | Period |
|---|---|
| 0001464811 |
| Sector | Form 13F Holdings | Value ($B) | |
|---|---|---|---|
| Nvidia Corp | 0.1 | ||
| Apple Inc | 0.1 | ||
| Microsoft Corp | 0.1 | ||
| Amazon Com Inc | 0.1 | ||
| Facebook Inc | 0.1 | ||
| Lilly Eli & Co | 0.0 | ||
| Palantir Technologies Inc | 0.0 | ||
| J P Morgan Chase & Co | 0.0 | ||
| Broadcom Inc | 0.0 | ||
| Tesla Motors Inc | 0.0 | ||
| Netflix Inc | 0.0 | ||
| Uber Technologies Inc | 0.0 | ||
| Alphabet Inc | 0.0 | ||
| SPDR Gold Trust | 0.0 | ||
| CrowdStrike Holdings Inc | 0.0 | ||
| Alphabet Inc | 0.0 | ||
| Eaton Corp Ltd | 0.0 | ||
| Palo Alto Networks Inc | 0.0 | ||
| Procter & Gamble Co | 0.0 | ||
| International Business Machines Corp | 0.0 | ||
| Prev | Page 1 | Next | |||
| Type | Form D Funds | Date | Sold ($M) | AUM ($M) |
|---|---|---|---|---|
| PE | Innovation X Holdings Series 2020-1 QP LLC | [2020-12-26] | 67.9 | 230.2 |
| PE | Innovation X Holdings V LLC | [2020-12-26] | 0.0 | 18.5 |
| PE | Innovation X Holdings II LLC Series 2018-5 | [2019-12-24] | 0.0 | 8.6 |
| PE | Innovation X Holdings QP LLC Series 2018-5 | [2019-12-24] | 0.0 | 93.7 |
| PE | Innovation X Holdings QP LLC Series 2018-6 | [2019-12-24] | 0.0 | 63.2 |
| PE | Innovation X Holdings QP LLC Series 2018-6B | [2019-12-24] | 3.5 | 40.3 |
| PE | Innovation X Holdings QP LLC Series 2019-1 | [2019-12-24] | 42.2 | 24.7 |
| PE | Innovation X Holdings QP LLC Series 2019-5 | [2019-12-24] | 0.0 | 21.4 |
| PE | NAM Special Situations Fund I QP LLC Series 2018-6 | [2019-12-24] | 0.0 | 36.7 |
| PE | Innovation X Holdings II LLC Series 2018-2 Pinterest | [2018-12-27] | 0.0 | 9.7 |
| View All | ||||
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 15,577 | 3.6 |
| (b) Individuals (high net worth individuals) | 1,244 | 3.0 |
| (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 | 0 | 0.0 |
| (g) Pension and profit sharing plans | 338 | 0.2 |
| (h) Charitable organizations | 26 | 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 | 187 | 0.2 |
| (n) Other | 0 | 0.0 |
| Total | 17,372 | 7.0 |
| By Discretionary | ||
| Discretionary | 12,389 | 5.2 |
| Non-Discretionary | 4,983 | 1.8 |
| Total | 17,372 | 7.0 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 7.0 | |
| Total | 17,372 | 7.0 |
| Form D Directors | # Filings | # Firms | 2011 - 2025 | |
|---|---|---|---|---|
| Mark Goldwasser | 43 | |||
| David Levine | 73 | |||
| National Asset Management Inc | 56 | |||
| Michael Mullen | 45 | |||
| Roger Monteforte | 42 | |||
| Tom Kowalczyk | 25 | |||
| Leonard Sokolow | 49 | |||
| Innovation X Management LLC | 27 | |||
| NAM Special Situations Management LLC | 13 | |||
| Glenn Worman | 9 | |||
| View All | ||||
| EDGAR Form | CIK | 2011 - 2025 |
|---|---|---|
| 13F-HR | [0001464811] |
| Comparable Firms | State | AUM ($B) |
|---|---|---|
|
Horizon Kinetics Asset Management LLC
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|
NY | 9.8 |
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Palisade Capital Management LP
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NJ | 4.2 |
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Stelac Advisory Services LLC
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NY | 4.1 |
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Manchester Capital Management LLC
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VT | 3.5 |
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CM Wealth Advisors LLC
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OH | 3.4 |
|
Private Capital Management LLC
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CO | 1.5 |
|
Institute for Wealth Management LLC
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|
CO | 1.2 |
|
Rays Capital Partners Limited
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|
0.4 | |
|
The Estate Planners Group LLC
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|
PA | 0.4 |
|
Everstar Asset Management LLC
✚
|
NC | 0.3 |