B. Riley Wealth Advisors, Inc. — 13F Holdings & Portfolio
CIK 1464811 · latest 13F-HR filed 2026-10-13
B. Riley Wealth Advisors, Inc. manages $2.57B in 13F-reported U.S. long-equity assets across 1,092 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are NVDA (5.18%), AAPL (4.36%), MSFT (2.30%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 215 new positions and exited 49; 402 existing positions rose in reported value and 228 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
Loading holdings…
AUM
$2.57B
Long-equity book
Holdings
1,092
Distinct positions
Period
2026-09-30
Filed 2026-10-13
Q/Q Activity
+215 / −49 / ↑402 / ↓228
vs 2026-06-30
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q3 26NVDA5.3% · +16%AAPL4.4% · +48%MSFT2.3% · +41%AMZN2.1% · +41%VUG2.0% · +61%IVV2.0% · +9%META1.9% · +12%BIL1.9% · +444%SPY1.4% · +35%GOOGL1.2% · +39%PLTR1.2% · -2%LLY1.1% · +12%QQQ1.1% · +30%CRWD1.1% · +326%GOOG1.1% · +49%AVGO1.0% · +28%VTV1.0% · +26%APUE1.0% · +2%PANW1.0% · -1%AMD0.9% · +9%JPM0.9% · +34%FVAL0.8% · +960%LRCX0.8% · +268%SMH0.8% · +3%XLK0.8% · +3%MU0.8% · +59%BRK.B0.7% · +37%CSM0.6% · +12%VGT0.6% · +390%CGBL0.6% · +18%JNJ0.6% · +16%VOO0.6% · +23%VTI0.5% · +45%NFLX0.5% · +90%GLD0.5% · +49%TSM0.5% · +22%JPST0.5% · +100%APIE0.4% · +14%TSLA0.4% · +15%VEA0.4% · +6%VIG0.4% · +1168%WMT0.4% · +36%ABBV0.4% · +22%IAU0.4% · +404%IVW0.4% · +5%ICVT0.4% · +4%FNX0.4% · +1410%GS0.4% · +16%STX0.4% · -1%XOM0.4% · +23%ASML0.4% · +619%FBND0.4% · +13%PG0.4% · -1%C0.4% · +119%IUSB0.3% · +20%DGRO0.3% · -6%FDMO0.3% · newEMLP0.3% · newETN0.3% · -13%INTC0.3% · +38%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q2 26 → Q3 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
5 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 24.4%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Mar 31, 2026.
Assets Under Management
$4.21B
Discretionary
$2.79B
Employees
268
Accounts
10,573
This firm reports 9 disclosure items on its registration.
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. Control | DIRECT OWNER since Aug 2022 | 75% or more | Domestic Entity |
| MULLEN, MICHAEL, ANTHONY Control | CHIEF EXECUTIVE OFFICER since Aug 2022 | Less than 5% | Individual |
| Ortega, Daniel Control | CHIEF COMPLIANCE OFFICER since May 2025 | Less than 5% | Individual |
| SWAIN, MARY, ANN Control | CHIEF FINANCIAL OFFICER since Aug 2022 | Less than 5% | Individual |
| ZANONE, PHILIP, RICHARD Control | CHIEF OPERATING OFFICER since Aug 2022 | Less than 5% | Individual |
| HORVATH, AGOSTON, STEPHEN | ADVISORY OPERATIONS MANAGER since Mar 2026 | Less than 5% | Individual |
| BR FINANCIAL HOLDINGS, LLC Control Indirect owner via B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | PARENT since Apr 2021 | 75% or more | Domestic Entity |
| BRC GROUP HOLDINGS, INC. Control Indirect owner via BR FINANCIAL HOLDINGS, LLC | PARENT since Jan 2026 | 75% or more | Domestic Entity |
Ownership & leadership changes · 33 filings with changes since Dec 1, 2011
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Mar 31, 2026 filing
- No longer listedB.RILEY FINANCIAL, INC. · PARENT · 75% or more · indirect via B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. · control person · listed since Apr 2021
- AddedBRC GROUP HOLDINGS, INC. · PARENT · 75% or more · indirect via BR FINANCIAL HOLDINGS, LLC · control person
- AddedHORVATH, AGOSTON, STEPHEN · ADVISORY OPERATIONS MANAGER · Less than 5%
Apr 30, 2025 filing
- No longer listedARNEAUD, MARCUS, ANTHONY · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Aug 2022
- Listed againOrtega, Daniel · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Jan 13, 2025 filing
- No longer listedKowalczyk, Thomas, David · PRESIDENT · Less than 5% · control person · listed since Aug 2022
Sep 15, 2023 filing
- No longer listedHASTINGS, CHARLES, PETER · CO-CHIEF EXECUTIVE OFFICER · Less than 5% · control person · listed since Aug 2022
- No longer listedMARKUNAS, MICHAEL · GENERAL COUNSEL · Less than 5% · control person · listed since Aug 2022
- ChangedMULLEN, MICHAEL, ANTHONY · title CO-CHIEF EXECUTIVE OFFICER → CHIEF EXECUTIVE OFFICER
Mar 31, 2023 filing
- No longer listedB.RILEY FINANCIAL, INC. · PARENT · 75% or more · indirect via NATIONAL HOLDINGS CORPORATION · control person · listed since Apr 2021
- No longer listedBR FINANCIAL HOLDINGS, LLC · PARENT · 75% or more · indirect via NATIONAL HOLDINGS CORPORATION · control person · listed since Apr 2021
- No longer listedNATIONAL HOLDINGS CORPORATION · PARENT COMPANY · 75% or more · control person · listed since Mar 8
- AddedB. RILEY WEALTH MANAGEMENT HOLDINGS, INC. · DIRECT OWNER · 75% or more · control person
- AddedB.RILEY FINANCIAL, INC. · PARENT · 75% or more · indirect via B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. · control person
- AddedBR FINANCIAL HOLDINGS, LLC · PARENT · 75% or more · indirect via B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. · control person
Aug 29, 2022 filing
- No longer listedDESENA, JOHN, CHARLES · SECRETARY · Less than 5% · control person · listed since Dec 2017
- No longer listedGroeneveld, William, Lawrence · EXECUTIVE VICE PRESIDENT. CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Oct 2021
- No longer listedKAPLAN, HENRY, EDWARD · PRESIDENT & CHIEF OPERATING OFFICER · Less than 5% · control person · listed since Jul 2018
- No longer listedKOENIGSBERG, JOHN, A · DIRECTOR OF OPERATIONS · Less than 5% · control person · listed since May 2017
- No longer listedOrtega, Daniel · CHIEF SUPERVISORY OFFICER · Less than 5% · control person · listed since Apr 2019
- No longer listedWATSON, NATALIA, TOVAR · TREASURER · Less than 5% · control person · listed since Oct 2016
- AddedARNEAUD, MARCUS, ANTHONY · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- AddedHASTINGS, CHARLES, PETER · CO-CHIEF EXECUTIVE OFFICER · Less than 5% · control person
- AddedMARKUNAS, MICHAEL · GENERAL COUNSEL · Less than 5% · control person
- AddedSWAIN, MARY, ANN · CHIEF FINANCIAL OFFICER · Less than 5% · control person
- AddedZANONE, PHILIP, RICHARD · CHIEF OPERATING OFFICER · Less than 5% · control person
- ChangedB.RILEY FINANCIAL, INC. · indirect via NATIONAL HOLDINGS CORPORATION: title PARENT / SHAREHOLDER ( COMMON STOCK) → PARENT
- ChangedKowalczyk, Thomas, David · title CHIEF EXECUTIVE OFFICER / DIRECTOR → PRESIDENT
- ChangedMULLEN, MICHAEL, ANTHONY · title DIRECTOR / EXECUTIVE CHAIRMAN → CO-CHIEF EXECUTIVE OFFICER
Dec 23, 2021 filing
- No longer listedWORMAN, GLENN, CHARLES · DIRECTOR · Less than 5% · control person · listed since Jul 2016
- AddedBR FINANCIAL HOLDINGS, LLC · PARENT · 75% or more · indirect via NATIONAL HOLDINGS CORPORATION · control person
- ChangedB.RILEY FINANCIAL, INC. · indirect via NATIONAL HOLDINGS CORPORATION: title SHAREHOLDER ( COMMON STOCK) → PARENT / SHAREHOLDER ( COMMON STOCK)
Oct 20, 2021 filing
- No longer listedCHAFFEE, HAROLD, GERARD · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Aug 2018
- ChangedGroeneveld, William, Lawrence · title VICE PRESIDENT → EXECUTIVE VICE PRESIDENT. CHIEF COMPLIANCE OFFICER
Mar 27, 2021 filing
- No longer listedNHC HOLDINGS LLC · SHAREHOLDER (COMMON STOCK) · 25–50% · indirect via NATIONAL HOLDINGS CORPORATION · control person · listed since Feb 2019
- ChangedB.RILEY FINANCIAL, INC. · indirect via NATIONAL HOLDINGS CORPORATION: ownership 25–50% → 75% or more
Apr 1, 2020 filing
- No longer listedRUNKLE, DONALD, KENNETH · CHIEF REGULATORY OFFICER · Less than 5% · control person · listed since Apr 2019
Older changes (24 more filings)
Apr 5, 2019 filing
- No longer listedJOHNSON, KAY, ALISON · DIRECTOR / VICE PRESIDENT · Less than 5% · control person · listed since Mar 2013
- AddedOrtega, Daniel · CHIEF SUPERVISORY OFFICER · Less than 5% · control person
- ChangedRUNKLE, DONALD, KENNETH · title CHIEF SUPERVISORY OFFICER → CHIEF REGULATORY OFFICER
Feb 14, 2019 filing
- No longer listedFORTRESS BIOTECH, INC · SHAREHOLDER (COMMON STOCK) · 25–50% · indirect via NATIONAL HOLDINGS CORPORATION · control person · listed since Sep 2016
- AddedB.RILEY FINANCIAL, INC. · SHAREHOLDER ( COMMON STOCK) · 25–50% · indirect via NATIONAL HOLDINGS CORPORATION · control person
- AddedNHC HOLDINGS LLC · SHAREHOLDER (COMMON STOCK) · 25–50% · indirect via NATIONAL HOLDINGS CORPORATION · control person
Dec 7, 2018 filing
- No longer listedFORTRESS BIOTECH, INC · SHAREHOLDER (COMMON STOCK) · 50–75% · indirect via NATIONAL HOLDINGS CORP · control person · listed since Sep 2016
- AddedFORTRESS BIOTECH, INC · SHAREHOLDER (COMMON STOCK) · 25–50% · indirect via NATIONAL HOLDINGS CORPORATION · control person
Aug 15, 2018 filing
- AddedCHAFFEE, HAROLD, GERARD · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- AddedKAPLAN, HENRY, EDWARD · PRESIDENT & CHIEF OPERATING OFFICER · Less than 5% · control person
- ChangedJOHNSON, KAY, ALISON · title CHIEF COMPLIANCE OFFICER / DIRECTOR / VICE PRESIDENT → DIRECTOR / VICE PRESIDENT
- ChangedKowalczyk, Thomas, David · title PRESIDENT → CHIEF EXECUTIVE OFFICER / DIRECTOR
- ChangedMULLEN, MICHAEL, ANTHONY · title DIRECTOR / EXECUTIVE CHAIRMAN & INTERIM CHIEF EXECUTIVE OFFICER → DIRECTOR / EXECUTIVE CHAIRMAN
Jun 1, 2018 filing
- No longer listedNAPOLITANO, JOSEPH · VICE PRESIDENT OF OPERATIONS · Less than 5% · control person · listed since May 2017
Dec 19, 2017 filing
- No longer listedFBIO ACQUISITION, INC. · SHAREHOLDER (COMMON STOCK) · 50–75% · indirect via NATIONAL HOLDINGS CORP · control person · listed since Sep 2016
- No longer listedLEVINE, DAVID, CHARLES · DIRECTOR / PRESIDENT · Less than 5% · control person · listed since Jan 2017
- AddedDESENA, JOHN, CHARLES · SECRETARY · Less than 5% · control person
- AddedGroeneveld, William, Lawrence · VICE PRESIDENT · Less than 5% · control person
- AddedRUNKLE, DONALD, KENNETH · CHIEF SUPERVISORY OFFICER · Less than 5% · control person
- ChangedJOHNSON, KAY, ALISON · title CHIEF COMPLIANCE OFFICER / VICE PRESIDENT → CHIEF COMPLIANCE OFFICER / DIRECTOR / VICE PRESIDENT
- ChangedKowalczyk, Thomas, David · title SENIOR VICE PRESIDENT → PRESIDENT
- ChangedMULLEN, MICHAEL, ANTHONY · title DIRECTOR → DIRECTOR / EXECUTIVE CHAIRMAN & INTERIM CHIEF EXECUTIVE OFFICER
- ChangedWORMAN, GLENN, CHARLES · title DIRECTOR / SECRETARY → DIRECTOR
Jul 31, 2017 filing
- AddedKowalczyk, Thomas, David · SENIOR VICE PRESIDENT · Less than 5% · control person
May 30, 2017 filing
- No longer listedRICH, DAVID, SEAN · CHIEF SUPERVISORY OFFICER · Less than 5% · control person · listed since Jul 2013
May 25, 2017 filing
- AddedNAPOLITANO, JOSEPH · VICE PRESIDENT OF OPERATIONS · Less than 5% · control person
May 19, 2017 filing
- AddedKOENIGSBERG, JOHN, A · DIRECTOR OF OPERATIONS · Less than 5% · control person
Apr 25, 2017 filing
- ChangedLEVINE, DAVID, CHARLES · title DIRECTOR / EXECUTIVE VICE PRESIDENT → DIRECTOR / PRESIDENT
Mar 30, 2017 filing
- No longer listedFAGENSON, ROBERT, BRUCE · PRESIDENT AND CHIEF EXECUTIVE OFFICER · Less than 5% · control person · listed since Jul 2016
Jan 10, 2017 filing
- No longer listedLERNER, WILLIAM · DIRECTOR · Less than 5% · control person · listed since Dec 2013
- AddedMULLEN, MICHAEL, ANTHONY · DIRECTOR · Less than 5% · control person
- ChangedFAGENSON, ROBERT, BRUCE · title DIRECTOR / PRESIDENT AND CHIEF EXECUTIVE OFFICER → PRESIDENT AND CHIEF EXECUTIVE OFFICER
- ChangedLEVINE, DAVID, CHARLES · title EXECUTIVE VICE PRESIDENT → DIRECTOR / EXECUTIVE VICE PRESIDENT
Oct 25, 2016 filing
- No longer listedLEVIN, ALAN, BRUCE · SECRETARY AND TREASURER · Less than 5% · control person · listed since Aug 2011
- AddedWATSON, NATALIA, TOVAR · TREASURER · Less than 5% · control person
- ChangedWORMAN, GLENN, CHARLES · title DIRECTOR → DIRECTOR / SECRETARY
Sep 29, 2016 filing
- AddedFBIO ACQUISITION, INC. · SHAREHOLDER (COMMON STOCK) · 50–75% · indirect via NATIONAL HOLDINGS CORP · control person
- AddedFORTRESS BIOTECH, INC · SHAREHOLDER (COMMON STOCK) · 50–75% · indirect via NATIONAL HOLDINGS CORP · control person
Jul 8, 2016 filing
- No longer listedGOLDWASSER, MARK, HARRY · PRESIDENT AND CHIEF EXECUTIVE OFFICER · Less than 5% · control person · listed since Mar 2013
- AddedWORMAN, GLENN, CHARLES · DIRECTOR · Less than 5% · control person
- ChangedFAGENSON, ROBERT, BRUCE · title DIRECTOR → DIRECTOR / PRESIDENT AND CHIEF EXECUTIVE OFFICER
- ChangedGOLDWASSER, MARK, HARRY · title DIRECTOR / PRESIDENT AND CHIEF EXECUTIVE OFFICER → PRESIDENT AND CHIEF EXECUTIVE OFFICER
Dec 22, 2014 filing
- No longer listedKLEIN, MARK, DAVID · DIRECTOR · Less than 5% · control person · listed since Dec 2013
- Listed againLEVINE, DAVID, CHARLES · EXECUTIVE VICE PRESIDENT · Less than 5% · control person
Sep 11, 2014 filing
- No longer listedKEATON, PAUL, ANDREW · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Mar 2013
- AddedRICH, DAVID, SEAN · CHIEF SUPERVISORY OFFICER · Less than 5% · control person
- ChangedGOLDWASSER, MARK, HARRY · title CHIEF EXECUTIVE OFFICER / DIRECTOR → DIRECTOR / PRESIDENT AND CHIEF EXECUTIVE OFFICER
- ChangedJOHNSON, KAY, ALISON · title VICE PRESIDENT → CHIEF COMPLIANCE OFFICER / VICE PRESIDENT
Apr 24, 2014 filing
- No longer listedLEVINE, DAVID, CHARLES · DIRECTOR OF BUSINESS DEVELOPMENT · Less than 5% · control person · listed since Oct 2013
Feb 28, 2014 filing
- No longer listedISRAEL, JAY, MARC · DIRECTOR · Less than 5% · control person · listed since Mar 2013
- AddedFAGENSON, ROBERT, BRUCE · DIRECTOR · Less than 5% · control person
- AddedKLEIN, MARK, DAVID · DIRECTOR · Less than 5% · control person
- AddedLERNER, WILLIAM · DIRECTOR · Less than 5% · control person
- ChangedLEVIN, ALAN, BRUCE · title SECRETARY AND DIRECTOR AND TREASURER → SECRETARY AND TREASURER
Nov 12, 2013 filing
- AddedISRAEL, JAY, MARC · DIRECTOR · Less than 5% · control person
- AddedLEVINE, DAVID, CHARLES · DIRECTOR OF BUSINESS DEVELOPMENT · Less than 5% · control person
- ChangedLEVIN, ALAN, BRUCE · title SECRETARY AND DIRECTOR → SECRETARY AND DIRECTOR AND TREASURER
Mar 28, 2013 filing
- No longer listedNASR, SEYYED VALIALLAH · CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, TREASURER, AND DIRECTOR · Less than 5% · control person · listed since Aug 2012
- AddedJOHNSON, KAY, ALISON · VICE PRESIDENT · Less than 5% · control person
- AddedKEATON, PAUL, ANDREW · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ChangedGOLDWASSER, MARK, HARRY · title DIRECTOR → CHIEF EXECUTIVE OFFICER / DIRECTOR
Aug 17, 2012 filing
- No longer listedGUAGLIARDO, ALICIA, MARIA · CHIEF COMPLIANCE OFFICER AND CHIEF SUPERVISORY OFFICER · Less than 5% · control person · listed since Jun 2008
- No longer listedSOKOLOW, LEONARD, JAY · DIRECTOR · Less than 5% · control person · listed since Oct 2008
- ChangedNASR, SEYYED VALIALLAH · title CHIEF EXECUTIVE OFFICER, TREASURER, AND DIRECTOR → CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, TREASURER, AND DIRECTOR
Dec 1, 2011 filing (earliest on record)
- ListedGOLDWASSER, MARK, HARRY · DIRECTOR · Less than 5% · control person
- ListedGUAGLIARDO, ALICIA, MARIA · CHIEF COMPLIANCE OFFICER AND CHIEF SUPERVISORY OFFICER · Less than 5% · control person
- ListedLEVIN, ALAN, BRUCE · SECRETARY AND DIRECTOR · Less than 5% · control person
- ListedNASR, SEYYED VALIALLAH · CHIEF EXECUTIVE OFFICER, TREASURER, AND DIRECTOR · Less than 5% · control person
- ListedNATIONAL HOLDINGS CORPORATION · PARENT COMPANY · 75% or more · control person
- ListedSOKOLOW, LEONARD, JAY · DIRECTOR · Less than 5% · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- APPLE INC$47.9M +74.6%
- SPDR SERIES TRUST$38.4M +444.5%
- NVIDIA CORPORATION$35.3M +36.0%
- MICROSOFT CORP$28.8M +95.7%
- VANGUARD INDEX FDS$20.7M +70.6%
Top Trims
- FIDELITY COVINGTON TRUST-$6.5M -84.3%
- BOEING CO-$2.5M -33.1%
- GE VERNOVA INC-$2.3M -23.5%
- ISHARES TR-$2.2M -70.8%
- VANGUARD WHITEHALL FDS-$1.9M -48.2%
New Positions
- EXXONMOBIL HOLDINGS CORP$9.3M
- FIDELITY COVINGTON TRUST$8.6M
- FIRST TR EXCHANGE-TRADED FD$8.6M
- WISDOMTREE TR$6.9M
- FIRST TR EXCHNG TRADED FD VI$5.8M
Exited Positions
- EXXON MOBIL CORP$6.3M
- ALLIANCEBERNSTEIN HLDG L P$2.7M
- ISHARES TR$1.5M
- PROSHARES TR$1.4M
- J P MORGAN EXCHANGE TRADED F$1.1M
B. Riley Wealth Advisors, Inc. Holdings (2026-09-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | NVIDIA CORPORATION | NVDA | 67066G104 | $133.1M | 5.18% | 582,603 | SH |
| 2 | APPLE INC | AAPL | 037833100 | $112.0M | 4.36% | 336,396 | SH |
| 3 | MICROSOFT CORP | MSFT | 594918104 | $59.0M | 2.30% | 115,004 | SH |
| 4 | AMAZON COM INC | AMZN | 023135106 | $53.1M | 2.07% | 212,968 | SH |
| 5 | VANGUARD INDEX FDS | VUG | 922908736 | $50.0M | 1.95% | 555,179 | SH |
| 6 | ISHARES TR | IVV | 464287200 | $49.6M | 1.93% | 64,810 | SH |
| 7 | META PLATFORMS INC | META | 30303M102 | $48.1M | 1.87% | 66,288 | SH |
| 8 | SPDR SERIES TRUST | BIL | 78468R663 | $47.1M | 1.83% | 513,880 | SH |
| 9 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $34.6M | 1.35% | 45,385 | SH |
| 10 | ALPHABET INC | GOOGL | 02079K305 | $30.5M | 1.19% | 88,512 | SH |
| 11 | PALANTIR TECHNOLOGIES INC | PLTR | 69608A108 | $29.1M | 1.13% | 155,587 | SH |
| 12 | ELI LILLY & CO | LLY | 532457108 | $29.0M | 1.13% | 25,044 | SH |
| 13 | INVESCO QQQ TR | QQQ | 46090E103 | $28.2M | 1.10% | 38,131 | SH |
| 14 | CROWDSTRIKE HLDGS INC | CRWD | 22788C105 | $27.5M | 1.07% | 103,966 | SH |
| 15 | ALPHABET INC | GOOG | 02079K107 | $27.5M | 1.07% | 80,681 | SH |
| 16 | BROADCOM INC | AVGO | 11135F101 | $25.9M | 1.01% | 73,656 | SH |
| 17 | VANGUARD INDEX FDS | VTV | 922908744 | $25.2M | 0.98% | 116,706 | SH |
| 18 | TRUST FOR PROFESSIONAL MANAG | APUE | 89834G729 | $24.5M | 0.95% | 520,995 | SH |
| 19 | PALO ALTO NETWORKS INC | PANW | 697435105 | $24.1M | 0.94% | 60,770 | SH |
| 20 | ADVANCED MICRO DEVICES INC | AMD | 007903107 | $23.1M | 0.90% | 37,785 | SH |
| 21 | JPMORGAN CHASE & CO | JPM | 46625H100 | $22.2M | 0.86% | 66,961 | SH |
| 22 | FIDELITY COVINGTON TRUST | FVAL | 316092782 | $21.3M | 0.83% | 264,270 | SH |
| 23 | LAM RESEARCH CORP | LRCX | 512807306 | $21.2M | 0.83% | 64,609 | SH |
| 24 | VANECK ETF TRUST | SMH | 92189F676 | $20.7M | 0.81% | 33,981 | SH |
| 25 | SELECT SECTOR SPDR TR | XLK | 81369Y803 | $20.5M | 0.80% | 104,810 | SH |
| 26 | MICRON TECHNOLOGY INC | MU | 595112103 | $19.7M | 0.77% | 18,529 | SH |
| 27 | BERKSHIRE HATHAWAY INC DEL | BRK.B | 084670702 | $16.9M | 0.66% | 33,933 | SH |
| 28 | PROSHARES TR | CSM | 74347R248 | $15.9M | 0.62% | 182,748 | SH |
| 29 | VANGUARD WORLD FD | VGT | 92204A702 | $15.7M | 0.61% | 125,064 | SH |
| 30 | CAPITAL GROUP CORE BALANCED | CGBL | 14021D107 | $15.4M | 0.60% | 417,954 | SH |
| 31 | JOHNSON & JOHNSON | JNJ | 478160104 | $15.1M | 0.59% | 56,915 | SH |
| 32 | VANGUARD INDEX FDS | VOO | 922908363 | $14.6M | 0.57% | 20,809 | SH |
| 33 | VANGUARD INDEX FDS | VTI | 922908769 | $13.8M | 0.54% | 36,967 | SH |
| 34 | NVIDIA CORPORATION Call | NVDA | 67066G104 | $13.6M | 0.53% | 59,380 | SH |
| 35 | NETFLIX INC. | NFLX | 64110L106 | $13.1M | 0.51% | 187,572 | SH |
| 36 | SPDR GOLD TR | GLD | 78463V107 | $13.0M | 0.50% | 34,011 | SH |
| 37 | NVIDIA CORPORATION Put | NVDA | 67066G104 | $12.4M | 0.48% | 54,080 | SH |
| 38 | TAIWAN SEMICONDUCTOR MANUFAC | TSM | 874039100 | $12.3M | 0.48% | 27,025 | SH |
| 39 | J P MORGAN EXCHANGE TRADED F | JPST | 46641Q837 | $12.1M | 0.47% | 240,441 | SH |
| 40 | TRUST FOR PROFESSIONAL MANAG | APIE | 89834G737 | $11.1M | 0.43% | 287,611 | SH |
| 41 | TESLA INC | TSLA | 88160R101 | $10.9M | 0.42% | 30,734 | SH |
| 42 | VANGUARD TAX-MANAGED FDS | VEA | 921943858 | $10.8M | 0.42% | 153,022 | SH |
| 43 | VANGUARD SPECIALIZED FUNDS | VIG | 921908844 | $10.7M | 0.42% | 45,742 | SH |
| 44 | WALMART INC | WMT | 931142103 | $10.4M | 0.40% | 99,656 | SH |
| 45 | ABBVIE INC | ABBV | 00287Y109 | $10.3M | 0.40% | 39,372 | SH |
| 46 | ISHARES GOLD TR | IAU | 464285204 | $9.9M | 0.39% | 126,977 | SH |
| 47 | ISHARES TR | IVW | 464287309 | $9.7M | 0.38% | 68,444 | SH |
| 48 | ISHARES TR | ICVT | 46435G102 | $9.6M | 0.37% | 84,954 | SH |
| 49 | FIRST TR EXCHANGE-TRADED ALP | FNX | 33735B108 | $9.6M | 0.37% | 71,053 | SH |
| 50 | GOLDMAN SACHS GROUP INC | GS | 38141G104 | $9.4M | 0.37% | 10,419 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-09-30 | 2026-10-13 | $2.57B | 1,092 | 0001464811-26-000010 |
| 2026-06-30 | 2026-07-14 | $1.87B | 914 | 0001464811-26-000007 |
| 2026-03-31 | 2026-04-27 | $1.58B | 898 | 0001464811-26-000006 |
| 2025-12-31 | 2026-02-17 | $2.17B | 1,020 | 0001464811-26-000005 |
| 2025-03-31 | 2026-08-28 | $3.39B | 1,321 | 0001464811-26-000009 |
Filer Information
Address
40 S. MAIN ST.SUITE 1600
MEMPHIS, TN 38103
Phone
(866) 225-3559
Filing Manager
B. Riley Wealth Advisors, Inc.
MEMPHIS, TN
Signatory
Daniel Ortega
Chief Compliance Officer