B. RILEY WEALTH MANAGEMENT, INC.

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B. Riley Wealth Management is based out of Memphis. B. Riley Wealth Management is a large advisory firm with 6331 clients and discretionary assets under management (AUM) of $1,579,833,643 (Form ADV from 2018-10-01). Their last reported 13F filing for Q3 2019 included $573,205,000 in managed 13F securities and a top 10 holdings concentration of 26.12%. B. Riley Wealth Management's largest holding is Vanguard Short-Term Corporate Bond ETF with shares held of 362,933. Whalewisdom has at least 14 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $573.205 Million
  • Prior Market Value $650.767 Million
  • New Purchases57 stocks
  • Additional Purchases121 stocks
  • Sold out of57 stocks
  • Reduced holdings in171 stocks
  • Top 10 Holdings % 26.12 %
  • Turnover % [1]:28.93%
  • Turnover Alt % [2]: 9.54 %
  • Time Held Top20:2.95 quarters
  • Time Held Top10:2.60 quarters
  • Time Held All:2.98 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 6.29%
Performance Last 4 Quarters: 15.19%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

B RILEY WEALTH MANAGEMENT
40 SOUTH MAIN SUITE 1800
MEMPHIS TN    38103
Country: United States

Business Phone: 901-251-1330
Fax: 901-251-1352
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: TN
Number of employees: 289
Other Business Activities: broker-dealer,insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Commissions
Amount of client funds and securities: 71,114,500
Total Number of Clients: 6331
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.C (2),11.C (4),11.C (5),11.D (1),11.D (2),11.D (4),11.E (1),11.E (2),11.E (4),11.H (2)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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B RILEY WEALTH MANAGEMENT, INC.

ownership team - last updated 2019-07-11
Name Title Start Date Direct/Indirect % Ownership
B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. DIRECT OWNER 12/01/1997 Direct 75% or more
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. DIRECT OWNER direct 1997-12-01
CAPITAL SECURITIES OF AMERICA, INC. SHAREHOLDER direct 2007-03-01
WUNDERLICH CAPITAL MANAGEMENT, LLC MEMBER direct 1999-08-01
ILLUMINATION ASSET MANAGEMENT, LLC MEMBER direct 2015-05-01
ZANONE, PHILIP RICHARD JR DIRECTOR/CEO 12/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. DIRECTOR/PRESIDENT direct 1997-12-01
WUNDERLICH CAPITAL MANAGEMENT, LLC SECRETARY direct 1999-08-01
BONNEMA, STEPHEN JOSEPH CHIEF ADMINISTRATIVE OFFICER 07/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF OPERATING OFFICER & DIRECTOR direct 2002-07-01
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC DIRECTOR direct 2015-05-01
RITT, JAMES TIMOTHY CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2015-08-01
MORGAN KEEGAN & COMPANY, INC. CLO direct 1998-08-01 2001-07-18
MORGAN KEEGAN & COMPANY, INC. CLO & CCO direct 1998-08-01 2006-02-28
MORGAN KEEGAN FUND MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2008-03-01 2008-03-13
MORGAN KEEGAN & COMPANY, INC. CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER direct 1998-08-01 2008-03-28
MORGAN KEEGAN & COMPANY, INC. GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 1998-08-01 2009-05-27
MORGAN KEEGAN & COMPANY, INC. GENERAL COUNSEL direct 1998-08-01 2012-09-24
SWAIN, MARY ANN NELL CHIEF FINANCIAL OFFICER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
B RILEY WEALTH MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2019-02-01
PALUGI, CANDY JOHNSON CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY SERVICES 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
B RILEY WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY SERVICES direct 2019-01-01
B. RILEY FINANCIAL, INC. PARENT B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. PARENT indirect 2014-07-01
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC PARENT indirect 2014-07-01
B. RILEY ASSET MANAGEMENT, LLC OWNER direct 2014-08-01
B. RILEY CAPITAL MANAGEMENT, LLC OWNER direct 2015-02-01

B RILEY WEALTH MANAGEMENT, INC.

ownership team - last updated 2019-04-01
Name Title Start Date Direct/Indirect % Ownership
WUNDERLICH INVESTMENT COMPANY, INC. DIRECT OWNER 12/01/1997 Direct 75% or more
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. DIRECT OWNER direct 1997-12-01
CAPITAL SECURITIES OF AMERICA, INC. SHAREHOLDER direct 2007-03-01
WUNDERLICH CAPITAL MANAGEMENT, LLC MEMBER direct 1999-08-01
ILLUMINATION ASSET MANAGEMENT, LLC MEMBER direct 2015-05-01
ZANONE, PHILIP RICHARD JR DIRECTOR/CEO 12/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. DIRECTOR/PRESIDENT direct 1997-12-01
WUNDERLICH CAPITAL MANAGEMENT, LLC SECRETARY direct 1999-08-01
BONNEMA, STEPHEN JOSEPH CHIEF ADMINISTRATIVE OFFICER 07/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF OPERATING OFFICER & DIRECTOR direct 2002-07-01
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC DIRECTOR direct 2015-05-01
RITT, JAMES TIMOTHY CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2015-08-01
MORGAN KEEGAN & COMPANY, INC. CLO direct 1998-08-01 2001-07-18
MORGAN KEEGAN & COMPANY, INC. CLO & CCO direct 1998-08-01 2006-02-28
MORGAN KEEGAN FUND MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2008-03-01 2008-03-13
MORGAN KEEGAN & COMPANY, INC. CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER direct 1998-08-01 2008-03-28
MORGAN KEEGAN & COMPANY, INC. GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 1998-08-01 2009-05-27
MORGAN KEEGAN & COMPANY, INC. GENERAL COUNSEL direct 1998-08-01 2012-09-24
SWAIN, MARY ANN NELL CHIEF FINANCIAL OFFICER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
B RILEY WEALTH MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2019-02-01
PALUGI, CANDY JOHNSON CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY SERVICES 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
B RILEY WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY SERVICES direct 2019-01-01
B. RILEY FINANCIAL, INC. PARENT WUNDERLICH INVESTMENT COMPANY 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. PARENT indirect 2014-07-01
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC PARENT indirect 2014-07-01
B. RILEY ASSET MANAGEMENT, LLC OWNER direct 2014-08-01
B. RILEY CAPITAL MANAGEMENT, LLC OWNER direct 2015-02-01

B RILEY WEALTH MANAGEMENT, INC.

ownership team - last updated 2019-03-25
Name Title Start Date Direct/Indirect % Ownership
WUNDERLICH INVESTMENT COMPANY, INC. DIRECT OWNER 12/01/1997 Direct 75% or more
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. DIRECT OWNER direct 1997-12-01
CAPITAL SECURITIES OF AMERICA, INC. SHAREHOLDER direct 2007-03-01
WUNDERLICH CAPITAL MANAGEMENT, LLC MEMBER direct 1999-08-01
ILLUMINATION ASSET MANAGEMENT, LLC MEMBER direct 2015-05-01
ZANONE, PHILIP RICHARD JR DIRECTOR/CEO 12/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. DIRECTOR/PRESIDENT direct 1997-12-01
WUNDERLICH CAPITAL MANAGEMENT, LLC SECRETARY direct 1999-08-01
BONNEMA, STEPHEN JOSEPH CHIEF ADMINISTRATIVE OFFICER 07/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF OPERATING OFFICER & DIRECTOR direct 2002-07-01
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC DIRECTOR direct 2015-05-01
RITT, JAMES TIMOTHY CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2015-08-01
MORGAN KEEGAN & COMPANY, INC. CLO direct 1998-08-01 2001-07-18
MORGAN KEEGAN & COMPANY, INC. CLO & CCO direct 1998-08-01 2006-02-28
MORGAN KEEGAN FUND MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2008-03-01 2008-03-13
MORGAN KEEGAN & COMPANY, INC. CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER direct 1998-08-01 2008-03-28
MORGAN KEEGAN & COMPANY, INC. GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 1998-08-01 2009-05-27
MORGAN KEEGAN & COMPANY, INC. GENERAL COUNSEL direct 1998-08-01 2012-09-24
SWAIN, MARY ANN NELL CHIEF FINANCIAL OFFICER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
B RILEY WEALTH MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2019-02-01
PALUGI, CANDY JOHNSON CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY SERVICES 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
B RILEY WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY SERVICES direct 2019-01-01
B. RILEY FINANCIAL, INC. PARENT WUNDERLICH INVESTMENT COMPANY 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. PARENT indirect 2014-07-01
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC PARENT indirect 2014-07-01
B. RILEY ASSET MANAGEMENT, LLC OWNER direct 2014-08-01
B. RILEY CAPITAL MANAGEMENT, LLC OWNER direct 2015-02-01

B RILEY WEALTH MANAGEMENT, INC.

ownership team - last updated 2018-12-03
Name Title Start Date Direct/Indirect % Ownership
WUNDERLICH INVESTMENT COMPANY, INC. DIRECT OWNER 12/01/1997 Direct 75% or more
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. DIRECT OWNER direct 1997-12-01
CAPITAL SECURITIES OF AMERICA, INC. SHAREHOLDER direct 2007-03-01
WUNDERLICH CAPITAL MANAGEMENT, LLC MEMBER direct 1999-08-01
ILLUMINATION ASSET MANAGEMENT, LLC MEMBER direct 2015-05-01
WUNDERLICH, GARY KENT JR DIRECTOR/CEO 12/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. DIRECTOR/CEO direct 1997-12-01
WUNDERLICH SECURITIES, INC. SHAREHOLDER - COMMON STOCK indirect 1997-12-01
CAPITAL SECURITIES OF AMERICA, INC. CHIEF EXECUTIVE OFFICER direct 2007-03-01
ZANONE, PHILIP RICHARD JR DIRECTOR/PRESIDENT 12/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. DIRECTOR/PRESIDENT direct 1997-12-01
WUNDERLICH CAPITAL MANAGEMENT, LLC SECRETARY direct 1999-08-01
BONNEMA, STEPHEN JOSEPH CHIEF FINANCIAL OFFICER 07/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF OPERATING OFFICER & DIRECTOR direct 2002-07-01
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC DIRECTOR direct 2015-05-01
RITT, JAMES TIMOTHY CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2015-08-01
MORGAN KEEGAN & COMPANY, INC. CLO direct 1998-08-01 2001-07-18
MORGAN KEEGAN & COMPANY, INC. CLO & CCO direct 1998-08-01 2006-02-28
MORGAN KEEGAN FUND MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2008-03-01 2008-03-13
MORGAN KEEGAN & COMPANY, INC. CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER direct 1998-08-01 2008-03-28
MORGAN KEEGAN & COMPANY, INC. GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 1998-08-01 2009-05-27
MORGAN KEEGAN & COMPANY, INC. GENERAL COUNSEL direct 1998-08-01 2012-09-24
HUGHES, NOLAN BLAKE CHIEF COMPLIANCE OFFICER ADVISORY SERVICES 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF COMPLIANCE OFFICER ADVISORY SERVICES direct 2018-03-01
B. RILEY FINANCIAL, INC. PARENT WUNDERLICH INVESTMENT COMPANY 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. PARENT indirect 2014-07-01
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC PARENT indirect 2014-07-01
B. RILEY ASSET MANAGEMENT, LLC OWNER direct 2014-08-01
B. RILEY CAPITAL MANAGEMENT, LLC OWNER direct 2015-02-01

B RILEY WEALTH MANAGEMENT, INC.

ownership team - last updated 2018-06-29
Name Title Start Date Direct/Indirect % Ownership
WUNDERLICH INVESTMENT COMPANY, INC. DIRECT OWNER 12/01/1997 Direct 75% or more
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. DIRECT OWNER direct 1997-12-01
CAPITAL SECURITIES OF AMERICA, INC. SHAREHOLDER direct 2007-03-01
WUNDERLICH CAPITAL MANAGEMENT, LLC MEMBER direct 1999-08-01
ILLUMINATION ASSET MANAGEMENT, LLC MEMBER direct 2015-05-01
WUNDERLICH, GARY KENT JR DIRECTOR/CEO 12/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. DIRECTOR/CEO direct 1997-12-01
WUNDERLICH SECURITIES, INC. SHAREHOLDER - COMMON STOCK indirect 1997-12-01
CAPITAL SECURITIES OF AMERICA, INC. CHIEF EXECUTIVE OFFICER direct 2007-03-01
ZANONE, PHILIP RICHARD JR DIRECTOR/PRESIDENT 12/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. DIRECTOR/PRESIDENT direct 1997-12-01
WUNDERLICH CAPITAL MANAGEMENT, LLC SECRETARY direct 1999-08-01
BONNEMA, STEPHEN JOSEPH CHIEF FINANCIAL OFFICER 07/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF OPERATING OFFICER & DIRECTOR direct 2002-07-01
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC DIRECTOR direct 2015-05-01
RITT, JAMES TIMOTHY CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2015-08-01
MORGAN KEEGAN & COMPANY, INC. CLO direct 1998-08-01 2001-07-18
MORGAN KEEGAN & COMPANY, INC. CLO & CCO direct 1998-08-01 2006-02-28
MORGAN KEEGAN FUND MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2008-03-01 2008-03-13
MORGAN KEEGAN & COMPANY, INC. CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER direct 1998-08-01 2008-03-28
MORGAN KEEGAN & COMPANY, INC. GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 1998-08-01 2009-05-27
MORGAN KEEGAN & COMPANY, INC. GENERAL COUNSEL direct 1998-08-01 2012-09-24
HUGHES, NOLAN BLAKE CHIEF COMPLIANCE OFFICER ADVISORY SERVICES 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF COMPLIANCE OFFICER ADVISORY SERVICES direct 2018-03-01
B. RILEY FINANCIAL, INC. PARENT WUNDERLICH INVESTMENT COMPANY 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. PARENT indirect 2014-07-01
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC PARENT indirect 2014-07-01
B. RILEY ASSET MANAGEMENT, LLC OWNER direct 2014-08-01
B. RILEY CAPITAL MANAGEMENT, LLC OWNER direct 2015-02-01

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