B Riley Wealth Advisors Inc

Search
⚲

B Riley Wealth Advisors Inc ✚
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) Copy

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
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
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
William Lerner	Executive Officer	4	3
Innovation X Management II LLC	Executive Officer	3	3
Nam Biotech Management LLC	Executive Officer	12	1
Nsc Biotech Opportunities Management Associates LLC	Director	2	1

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	6,286.4 M
Palisade Capital Management LP ✚	NJ	3,862.5 M
CM Wealth Advisors LLC ✚	OH	3,597.4 M
Institute for Wealth Management LLC ✚	CO	1,370.3 M
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

B Riley Wealth Advisors Inc

Assets, Funds, Holdings