0001213900-21-027030.txt : 20210517 0001213900-21-027030.hdr.sgml : 20210517 20210517162917 ACCESSION NUMBER: 0001213900-21-027030 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210517 DATE AS OF CHANGE: 20210517 EFFECTIVENESS DATE: 20210517 FILER: COMPANY DATA: COMPANY CONFORMED NAME: B. Riley Wealth Management, Inc. CENTRAL INDEX KEY: 0001599892 IRS NUMBER: 621518255 STATE OF INCORPORATION: TN FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16196 FILM NUMBER: 21931263 BUSINESS ADDRESS: STREET 1: 40 S. MAIN STREET STREET 2: SUITE 1800 CITY: MEMPHIS STATE: TN ZIP: 38103 BUSINESS PHONE: 901-251-1367 MAIL ADDRESS: STREET 1: 40 S. MAIN STREET STREET 2: SUITE 1800 CITY: MEMPHIS STATE: TN ZIP: 38103 FORMER COMPANY: FORMER CONFORMED NAME: Wunderlich Securities, Inc. DATE OF NAME CHANGE: 20140211 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001599892 XXXXXXXX 03-31-2021 03-31-2021 false B. Riley Wealth Management, Inc.

40 S. Main Street Suite 1800 Memphis TN 38103

13F HOLDINGS REPORT 028-16196 N Candy Palugi 901-251-1361 /s/ Candy Palugi Memphis TN 05-17-2021 0 432 855638 INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 1298 10829 SH SOLE 0 0 10829 ADVANCED MICRO DEVICES INC COM 007903107 1401 17848 SH SOLE 0 0 17848 AGREE REALTY CORP COM 008492100 225 3350 SH SOLE 0 0 3350 AIRBNB INC COM CL A 009066101 1607 8549 SH SOLE 0 0 8549 AIR PRODS & CHEMS INC COM 009158106 332 1178 SH SOLE 0 0 1178 ALLSTATE CORP COM 020002101 242 2103 SH SOLE 0 0 2103 AMARIN CORP PLC SPONS ADR NEW 023111206 105 16900 SH SOLE 0 0 16900 AMAZON COM INC COM 023135106 38211 12350 SH SOLE 174 0 12176 AMERICAN CENTY ETF TR FOCUSED DYNAMIC 025072810 487 6591 SH SOLE 0 0 6591 AMERICAN EXPRESS CO COM 025816109 634 4481 SH SOLE 0 0 4481 AMERICAN WTR WKS CO INC NEW COM 030420103 3045 20311 SH SOLE 0 0 20311 AMGEN INC COM 031162100 3491 14029 SH SOLE 1150 0 12879 AMPHENOL CORP NEW CL A 032095101 1701 25791 SH SOLE 0 0 25791 AMPLIFY ETF TR ONLIN RETL ETF 032108102 305 2459 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0 0 7125 MPLX LP COM UNIT REP LTD 55336V100 426 16625 SH SOLE 0 0 16625 MAGNITE INC COM 55955D100 745 17901 SH SOLE 0 0 17901 MAIN STR CAP CORP COM 56035L104 328 8390 SH SOLE 0 0 8390 MASTERCARD INCORPORATED CL A 57636Q104 9095 25544 SH SOLE 550 0 24994 MERCADOLIBRE INC COM 58733R102 791 537 SH SOLE 0 0 537 MERCK & CO. INC COM 58933Y105 10625 137830 SH SOLE 2246 0 135584 MODERNA INC COM 60770K107 314 2400 SH SOLE 0 0 2400 MOLSON COORS BEVERAGE CO CL B 60871R209 238 4655 SH SOLE 0 0 4655 MONGODB INC CL A 60937P106 301 1125 SH SOLE 0 0 1125 NIO INC SPON ADS 62914V106 328 8420 SH SOLE 0 0 8420 NCINO INC COM 63947U107 234 3500 SH SOLE 0 0 3500 NETFLIX INC COM 64110L106 1673 3207 SH SOLE 0 0 3207 NEUBERGER BERMAN REAL ESTATE COM 64190A103 64 14000 SH SOLE 0 0 14000 NEXTERA ENERGY INC COM 65339F101 9461 125135 SH SOLE 2000 0 123135 NOVARTIS AG SPONSORED ADR 66987V109 232 2710 SH SOLE 0 0 2710 NUSTAR ENERGY LP UNIT COM 67058H102 265 15523 SH SOLE 0 0 15523 NUVEEN CALIFORNIA MUNI VLU F COM STK 67062C107 345 33782 SH SOLE 0 0 33782 NUVEEN CALIF SELECT TAX FREE SH BEN INT 67063R103 434 26626 SH SOLE 0 0 26626 NVIDIA CORPORATION COM 67066G104 5265 9862 SH SOLE 0 0 9862 NUVEEN QUALITY MUNCP INCOME COM 67066V101 226 14935 SH SOLE 0 0 14935 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 512 34422 SH SOLE 0 0 34422 NUVEEN DIVERSIFIED DIVID & I COM 6706EP105 137 14450 SH SOLE 0 0 14450 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 834 51614 SH SOLE 0 0 51614 NUVEEN PFD & INCM SECURTIES COM 67072C105 2178 224124 SH SOLE 6896 0 217228 NUVEEN CR OPPORTUNITIES 2022 COM 67075U102 610 72730 SH SOLE 0 0 72730 NUVEEN CORPORATE INCM NOVEME COM 67077N106 156 16699 SH SOLE 0 0 16699 NUVEEN EMERGING MKTS DEBT 20 COM 67077P101 85 10780 SH SOLE 0 0 10780 NUVEEN HIGH INCOME 2023 TARG COM 67079F101 149 14952 SH SOLE 0 0 14952 NUSHARES ETF TR NUVEEN ESG SMLCP 67092P607 945 21956 SH SOLE 0 0 21956 OREILLY AUTOMOTIVE INC COM 67103H107 867 1709 SH SOLE 0 0 1709 ORACLE CORP COM 68389X105 929 13239 SH SOLE 1500 0 11739 OVERSEAS SHIPHOLDING GROUP I CL A NEW 69036R863 206 100000 SH SOLE 0 0 100000 PACER FDS TR TRENDP US LAR CP 69374H105 355 9750 SH SOLE 0 0 9750 PACER FDS TR TRENDPILOT US BD 69374H642 7530 276124 SH SOLE 0 0 276124 PACER FDS TR BNCHMRK INFRA 69374H741 223 6147 SH SOLE 0 0 6147 PACER FDS TR PACER US SMALL 69374H857 243 5925 SH SOLE 0 0 5925 PALANTIR TECHNOLOGIES INC CL A 69608A108 1132 48619 SH SOLE 0 0 48619 PAYPAL HLDGS INC COM 70450Y103 7419 30552 SH SOLE 0 0 30552 PERSHING SQUARE TONTINE HLDG *W EXP 07/24/202 71531R117 139 17000 SH SOLE 0 0 17000 PHYSICIANS RLTY TR COM 71943U104 219 12408 SH SOLE 0 0 12408 PIMCO ETF TR ACTIVE BD ETF 72201R775 16484 150596 SH SOLE 0 0 150596 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 445 4487 SH SOLE 0 0 4487 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 1024 10049 SH SOLE 0 0 10049 PIMCO ETF TR INTER MUN BD ACT 72201R866 348 6200 SH SOLE 0 0 6200 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 1518 68143 SH SOLE 0 0 68143 PINTEREST INC CL A 72352L106 534 7216 SH SOLE 0 0 7216 PLAINS GP HLDGS L P LTD PARTNR INT A 72651A207 230 24515 SH SOLE 0 0 24515 PLUS THERAPEUTICS INC COM NEW 72941H400 29 12000 SH SOLE 0 0 12000 PROSHARES TR LARGE CAP CRE 74347R248 12328 135058 SH SOLE 0 0 135058 PROSHARES TR S&P 500 DV ARIST 74348A467 318 3681 SH SOLE 0 0 3681 RANGE RES CORP COM 75281A109 212 20500 SH SOLE 0 0 20500 RESTAURANT BRANDS INTL INC COM 76131D103 382 5878 SH SOLE 0 0 5878 RIVERNORTH DOUBLELINE STRATE COM 76882G107 211 14000 SH SOLE 0 0 14000 ROKU INC COM CL A 77543R102 308 944 SH SOLE 0 0 944 SBA COMMUNICATIONS CORP NEW CL A 78410G104 1589 5724 SH SOLE 0 0 5724 SPDR S&P 500 ETF TR TR UNIT 78462F103 25563 64498 SH SOLE 485 0 64013 SPDR GOLD TR GOLD SHS 78463V107 13102 81911 SH SOLE 2825 0 79086 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 791 14277 SH SOLE 0 0 14277 SPDR SER TR BLMBRG BRC CNVRT 78464A359 10431 131773 SH SOLE 4350 0 127423 SPDR SER TR HLTH CARE SVCS 78464A573 245 2307 SH SOLE 0 0 2307 SPDR SER TR PORTFOLIO AGRGTE 78464A649 881 29702 SH SOLE 0 0 29702 SPDR SER TR S&P DIVID ETF 78464A763 334 2828 SH SOLE 0 0 2828 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 1338 27746 SH SOLE 0 0 27746 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 5246 15887 SH SOLE 0 0 15887 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 2481 5212 SH SOLE 310 0 4902 SPDR SER TR BLOOMBERG SRT TR 78468R408 270 9894 SH SOLE 0 0 9894 SPDR SER TR BLOOMBERG BRCLYS 78468R622 892 28973 SH SOLE 0 0 28973 SPDR SER TR S&P KENSHO NEW 78468R648 1020 15059 SH SOLE 0 0 15059 SPDR SER TR NUVEEN BLMBRG SR 78468R739 229 4545 SH SOLE 0 0 4545 SPDR SER TR PRTFLO S&P500 HI 78468R788 1524 39572 SH SOLE 0 0 39572 SVB FINANCIAL GROUP COM 78486Q101 811 1642 SH SOLE 0 0 1642 SALESFORCE COM INC COM 79466L302 2511 11851 SH SOLE 0 0 11851 SEA LTD SPONSORD ADS 81141R100 277 1240 SH SOLE 0 0 1240 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 932 7987 SH SOLE 0 0 7987 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 407 5956 SH SOLE 0 0 5956 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 2794 16622 SH SOLE 0 0 16622 SELECT SECTOR SPDR TR ENERGY 81369Y506 360 7336 SH SOLE 0 0 7336 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1257 36918 SH SOLE 0 0 36918 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1370 13911 SH SOLE 0 0 13911 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3124 23519 SH SOLE 1500 0 22019 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 265 3612 SH SOLE 0 0 3612 SERVICE PPTYS TR COM SH BEN INT 81761L102 178 15038 SH SOLE 0 0 15038 SERVICENOW INC COM 81762P102 320 640 SH SOLE 0 0 640 SHOPIFY INC CL A 82509L107 3495 3159 SH SOLE 0 0 3159 SIGNATURE BK NEW YORK N Y COM 82669G104 214 945 SH SOLE 0 0 945 SILVERCORP METALS INC COM 82835P103 196 40000 SH SOLE 0 0 40000 SNAP INC CL A 83304A106 457 8733 SH SOLE 0 0 8733 SOLAREDGE TECHNOLOGIES INC COM 83417M104 288 1002 SH SOLE 0 0 1002 SPROTT PHYSICAL GOLD TR UNIT 85207H104 1845 137579 SH SOLE 0 0 137579 STARWOOD PPTY TR INC COM 85571B105 2112 85359 SH SOLE 0 0 85359 SUMMIT WIRELESS TECH INC COM NEW 86633R203 36 11500 SH SOLE 0 0 11500 TARGA RES CORP COM 87612G101 510 16073 SH SOLE 0 0 16073 TC ENERGY CORP COM 87807B107 699 15271 SH SOLE 0 0 15271 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 798 32686 SH SOLE 0 0 32686 TELADOC HEALTH INC COM 87918A105 530 2914 SH SOLE 0 0 2914 TESLA INC COM 88160R101 3145 4709 SH SOLE 0 0 4709 THE TRADE DESK INC COM CL A 88339J105 2296 3523 SH SOLE 0 0 3523 3M CO COM 88579Y101 3396 17625 SH SOLE 100 0 17525 TOUGHBUILT INDS INC COM NEW 89157G504 9 10000 SH SOLE 0 0 10000 TRIDENT ACQUISITIONS CORP COM 89615T106 186 15600 SH SOLE 0 0 15600 TRILOGY METALS INC NEW COM 89621C105 43 20000 SH SOLE 0 0 20000 TWILIO INC CL A 90138F102 3828 11235 SH SOLE 0 0 11235 TWITTER INC COM 90184L102 1418 22284 SH SOLE 0 0 22284 U S GOLD CORP COM NEW 90291C201 171 16500 SH SOLE 0 0 16500 UBER TECHNOLOGIES INC COM 90353T100 874 16039 SH SOLE 0 0 16039 UNITEDHEALTH GROUP INC COM 91324P102 7524 20221 SH SOLE 400 0 19821 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 301 9438 SH SOLE 0 0 9438 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 706 2900 SH SOLE 0 0 2900 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 1207 5278 SH SOLE 0 0 5278 VANGUARD WORLD FDS INF TECH ETF 92204A702 758 2115 SH SOLE 0 0 2115 VANGUARD WORLD FDS UTILITIES ETF 92204A876 644 4581 SH SOLE 0 0 4581 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 297 4821 SH SOLE 0 0 4821 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 17884 216775 SH SOLE 0 0 216775 VANGUARD SCOTTSDALE FDS VNG RUS2000GRW 92206C623 778 4166 SH SOLE 0 0 4166 VANGUARD SCOTTSDALE FDS VNG RUS2000VAL 92206C649 237 1694 SH SOLE 0 0 1694 VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 92206C680 348 1390 SH SOLE 0 0 1390 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 278 4135 SH SOLE 0 0 4135 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 243 4555 SH SOLE 0 0 4555 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 793 8526 SH SOLE 0 0 8526 VENTAS INC COM 92276F100 421 7892 SH SOLE 0 0 7892 VERIZON COMMUNICATIONS INC COM 92343V104 11090 234869 SH SOLE 0 0 234869 VIASAT INC COM 92552V100 1665 34639 SH SOLE 0 0 34639 VIACOMCBS INC CL B 92556H206 355 7874 SH SOLE 0 0 7874 VIATRIS INC COM 92556V106 193 13841 SH SOLE 161 0 13680 VIEWRAY INC COM 92672L107 72 16500 SH SOLE 0 0 16500 VISA INC COM CL A 92826C839 9980 47134 SH SOLE 0 0 47134 VIRTUS ALLIANZGI CONVERTIBLE COM 92838X102 175 31000 SH SOLE 0 0 31000 VIRTUS ALLIANZGI ARTIFICIAL COM 92838Y100 459 17300 SH SOLE 0 0 17300 VIRTUS DIVIDEND INTEREST & P COM 92840R101 162 11769 SH SOLE 0 0 11769 VUZIX CORP COM NEW 92921W300 2384 93700 SH SOLE 0 0 93700 WP CAREY INC COM 92936U109 397 5606 SH SOLE 0 0 5606 WASTE MGMT INC DEL COM 94106L109 3068 23782 SH SOLE 0 0 23782 WAYFAIR INC CL A 94419L101 370 1174 SH SOLE 0 0 1174 WELLS FARGO ADVANTAGE INCOME WF INC OPPTY FD 94987B105 134 15900 SH SOLE 0 0 15900 WELLTOWER INC COM 95040Q104 5561 77628 SH SOLE 0 0 77628 WESTERN ASSET INVESTMENT GRA COM 95766T100 178 11750 SH SOLE 0 0 11750 WESTERN ASSET HIGH YIELD DEF COM 95768B107 295 19130 SH SOLE 0 0 19130 WISDOMTREE TR US LARGECAP DIVD 97717W307 458 3994 SH SOLE 0 0 3994 WISDOMTREE TR HEDGED HI YLD BD 97717W430 16196 732195 SH SOLE 0 0 732195 WISDOMTREE TR INTL EQUITY FD 97717W703 2170 41265 SH SOLE 0 0 41265 WISDOMTREE TR WSDM EMKTBD FD 97717X784 290 3865 SH SOLE 0 0 3865 XAI OCTAGON FLOATING RATE & COM 98400T106 165 18176 SH SOLE 0 0 18176 ZILLOW GROUP INC CL C CAP STK 98954M200 265 2044 SH SOLE 0 0 2044 ZOETIS INC CL A 98978V103 408 2591 SH SOLE 0 0 2591 ZSCALER INC COM 98980G102 215 1250 SH SOLE 0 0 1250 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 2249 7000 SH SOLE 0 0 7000 EURONAV NV SHS B38564108 137 15000 SH SOLE 0 0 15000 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 298 1079 SH SOLE 0 0 1079 BUNGE LIMITED COM G16962105 229 2891 SH SOLE 0 0 2891 EATON CORP PLC SHS G29183103 830 6003 SH SOLE 0 0 6003 GOLDEN OCEAN GROUP LTD SHS NEW G39637205 74 11000 SH SOLE 0 0 11000 MEDTRONIC PLC SHS G5960L103 617 5226 SH SOLE 0 0 5226 PAYSAFE LIMITED ORD G6964L107 165 12240 SH SOLE 0 0 12240 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8252P105 1017 59295 SH SOLE 0 0 59295 TRITERRAS INC SHS CL A G9103H102 86 11803 SH SOLE 0 0 11803 GOLAR LNG LTD SHS G9456A100 205 20000 SH SOLE 0 0 20000 CHUBB LIMITED COM H1467J104 504 3192 SH SOLE 0 0 3192 LOGITECH INTL S A SHS H50430232 209 2000 SH SOLE 0 0 2000 SPOTIFY TECHNOLOGY S A SHS L8681T102 512 1910 SH SOLE 0 0 1910 FIVERR INTL LTD ORD SHS M4R82T106 283 1301 SH SOLE 0 0 1301 ZIM INTEGRATED SHIPPING SERV SHS M9T951109 623 25600 SH SOLE 0 0 25600 ASML HOLDING N V N Y REGISTRY SHS N07059210 338 548 SH SOLE 0 0 548 DIAMOND S SHIPPING INC COM Y20676105 104 10350 SH SOLE 0 0 10350 NAVIOS MARITIME PARTNERS L P COM UNIT LPI Y62267409 589 25000 SH SOLE 0 0 25000