B. Riley Financial

Latest statistics and disclosures from B. Riley Financial's latest quarterly 13F-HR filing:

Companies in the B. Riley Financial portfolio as of September 2017 quarter

Company (Ticker) Portfolio Weight Share Count Change in Shares Price
PowerShares QQQ Trust, Series 1 (QQQQ) 9.91 249774 -19% 145.40
PIMCO Enhanced Short Mat Str Fund ETF (MINT) 2.54 91344 +39% 101.80
Vanguard Large-Cap ETF (VV) 2.52 79977 +2% 115.40
Rbc Cad Com 2.11 100000 77.35
Hc2 Holdings 1.85 1.29M -10% 5.28
Bbx Capital 1.85 919844 NEW 7.37
SPDR Dow Jones Industrial Average ETF (DIA) 1.65 26992 +941% 223.81
Time Warner (TWX) 1.60 57060 NEW 102.46
HEALTH INSURANCE Common equity Innovations shares 1.60 405000 +62% 14.50
Vanguard Growth ETF (VUG) 1.58 43746 +1596% 132.75
TeleNav (TNAV) 1.51 869660 +131% 6.35
Tempur-Pedic International (TPX) 1.50 85000 +21% 64.52
Mcbc Holdings 1.47 264071 -16% 20.38
USANA Health Sciences (USNA) 1.33 84747 +5% 57.70
Finjan Holdings 1.32 2.06M +23% 2.35
Solar Senior Capital Ltd 1.29 273933 17.23
Ferroglobe Plc shs 1.29 359600 -36% 13.16
Vanguard Short Term Corporate Bond ETF (VCSH) 1.26 57430 +35% 80.13
Microsoft Corporation (MSFT) 1.00 49318 +6% 74.49
iShares Russell Midcap Index Fund (IWR) 0.99 18359 +3% 197.18
Vanguard Mid-Cap ETF (VO) 0.97 24107 +3% 147.00
Micron Technology (MU) 0.87 80748 +36% 39.33
Ishares Tr fltg rate nt 0.86 61772 +3% 50.95
Lonestar Res Us Inc cl a vtg 0.86 893275 +39% 3.51
SPDR S&P; 500 ETF (SPY) 0.78 11409 +58% 251.25
Boulevard Acquisition cl a 0.76 277048 10.00
Vanguard Intermediate Tm Cpte Bd ETF (VCIT) 0.75 31404 -9% 88.01
Vanguard Value ETF (VTV) 0.73 26636 NEW 99.80
Invuity 0.73 299096 -40% 8.90
Hp 0.73 134048 19.96
PennantPark Investment (PNNT) 0.72 350270 7.51
Pennantpark Floating Rate Capi 0.72 181985 14.48
Marvell Technology Group Ltd 0.71 144975 +36% 17.93
Rydex S&P; Equal Weight ETF (RSP) 0.70 26903 NEW 95.53
Vanguard Emerging Markets ETF (VWO) 0.70 58766 +11% 43.57
iShares MSCI EAFE Index Fund (EFA) 0.69 37073 +70% 68.47
Gty Technology Holdings Inc cl a 0.68 250099 9.98
Apple (AAPL) 0.67 15951 +49% 154.11
Clipper Realty Inc Reit equities - reit 0.67 229722 -35% 10.71
Hanesbrands (HBI) 0.66 98500 +155% 24.64
Vanguard Malvern Fds strm infproidx 0.63 46975 -11% 49.45
Vanguard Total Stock Market ETF (VTI) 0.61 17325 +10% 129.49
Pimco Exch Traded Fund 0.60 21803 +88% 101.09
Digital Turbine 0.59 1.44M -14% 1.51
iShares Barclays 1-3 Year Cred Bd Fd ETF (CSJ) 0.57 19666 +24% 105.36
Select Energy Svcs Inc cl a 0.56 127747 -13% 15.92
Kayne Anderson Acquisition 0.56 209998 9.75
Ooma 0.55 188526 +62% 10.69
Doubleline Income Solutions 0.50 86476 21.25
iShares Dow Jones EPAC Sel Div Ind (IDV) 0.49 53431 -2% 33.76
Harley-Davidson (HOG) 0.46 35000 NEW 48.20
PowerShares High Yld. Dividend Achv (PEY) 0.45 95486 NEW 17.15
First Trust Morningstar Divid Ledr (FDL) 0.45 56261 NEW 29.03
iShares S&P; AMT-Fr Mncpl Bnd Fd (NYF) 0.44 14512 +7% 111.98
Vanguard Dividend Appreciation ETF (VIG) 0.43 16570 +2% 94.79
Ishares Tr rus200 grw idx 0.43 23400 NEW 67.82
ON Semiconductor (ONNN) 0.42 83598 +51% 18.37
Red Lion Hotels Corporation (RLH) 0.41 176244 NEW 8.61
Gores Hldgs Ii 0.41 150000 9.97
Amazon (AMZN) 0.40 1526 NEW 961.43
CalAmp (CAMP) 0.40 68286 +112% 21.35
iShares JPMorgan USD Emer Mkt Bnd Fd ETF (EMB) 0.40 12688 +28% 116.45
Facebook Inc cl a 0.40 8679 +144% 170.79
Acacia Research Corporation (ACTG) 0.39 313800 NEW 4.55
Bazaarvoice 0.39 278095 +109% 5.08
Rice Energy 0.39 49571 NEW 28.95
Carbonite 0.38 62752 +126% 22.09
ViaSat (VSAT) 0.37 21104 +123% 64.06
Iteris (ITI) 0.37 203486 NEW 6.74
TransAct Technologies Incorporated (TACT) 0.36 132047 +80% 9.88
iShares IBoxx $ Invest Grade Corp Bd Fd (LQD) 0.36 10954 +3% 121.23
Atlantic Alliance Partner Co shs 0.36 122381 10.63
Ares Capital Corporation (ARCC) 0.35 78448 +2% 16.39
S&W; Seed Company (SANW) 0.35 398190 +151% 3.19
Lumentum Hldgs 0.35 23349 +31% 55.12
Nuveen High Income November 0.35 128116 NEW 10.07
Tonix Pharmaceuticals Hldg C 0.35 281626 -25% 4.56
NetScout Systems (NTCT) 0.34 38196 +118% 32.57
Skyworks Solutions (SWKS) 0.34 12272 +101% 101.29
Stamps (STMP) 0.34 6265 +67% 200.48
Kratos Defense & Security Solutions (KTOS) 0.34 94544 +86% 13.08
Primo Water Corporation (PRMW) 0.34 105920 +25% 11.65
Immersion Corporation (IMMR) 0.33 147453 +76% 8.17
iShares S&P; Natl AMTFr Mncpl Bd Fd (MUB) 0.32 10646 +21% 110.90
Ishares Inc ctr wld minvl 0.32 14523 81.39
Truecar 0.32 77351 +126% 15.11
* Tivo Corp Com stock 0.32 59861 +75% 19.50
Vanguard Intermediate-Term Bond ETF (BIV) 0.30 13132 NEW 84.69
SPDR S&P; MidCap 400 ETF (MDY) 0.29 3293 NEW 326.45
iShares Russell Midcap Growth Idx. (IWP) 0.29 9275 NEW 113.17
Ishares Tr usa min vo 0.29 21269 50.35
NVIDIA Corporation (NVDA) 0.28 5766 NEW 178.81
iShares Dow Jones Select Dividend (DVY) 0.27 10685 -3% 93.68
Natural Resource Partners miscellaneous-ltd partnerships 0.27 40000 NEW 24.75
Avista Healthcare Pub Acq Co cl a 0.27 100000 10.00
Fintech Acquisition Corp Ii 0.27 100000 9.80
Matlin & Partners Acquisitio cl a 0.27 100000 9.71
iShares S&P; 500 Growth Index (IVW) 0.26 6520 NEW 143.40
BRT Realty Trust (BRT) 0.26 87631 +6% 10.72
First Trust Tech AlphaDEX Fnd (FXL) 0.25 19084 NEW 47.95
Spdr Index Shs Fds s^p global nat res 0.25 19968 45.97
National Gen Hldgs 0.25 47600 NEW 19.12
Gcp Applied Technologies 0.25 29585 NEW 30.69
Tortoise MLP Fund (NTG) 0.24 48185 +4% 18.12
Monsanto Company (MON) 0.23 7062 NEW 119.80
iShares S&P; SmallCap 600 Index (IJR) 0.23 11261 +229% 74.24
Berry Plastics 0.23 15000 NEW 56.67
iShares MSCI Emerging Markets Indx (EEM) 0.22 18126 +100% 44.86
Herbalife Ltd Com Stk 0.22 12000 NEW 67.83
Vanguard Long Term Corporate Bond ETF (VCLT) 0.22 8391 94.15
Hewlett Packard Enterprise 0.22 55565 14.72
PowerShares Preferred Portfolio (PGX) 0.21 50425 +24% 15.03
Global Ship Lease inc usd0.01 class a 0.21 488114 NEW 1.57
Apollo Sr Floating Rate Fd I 0.21 44973 +7% 16.74
Sequans Communications Adr adr usd.02 0.21 239400 -5% 3.14
First Tr Exch Trd Alpha Fd I emerg mkt alph 0.21 27856 NEW 27.35
Nuveen Cr Opportunities 2022 0.21 77425 NEW 9.85
Berkshire Hathaway (BRK.B) 0.20 3963 +41% 183.21
Johnson & Johnson (JNJ) 0.20 5506 NEW 130.00
Lockheed Martin Corporation (LMT) 0.20 2312 NEW 310.12
Financial Select Sector SPDR (XLF) 0.20 28224 +41% 25.86
Alerian Mlp Etf(amlp) 0.20 65410 +147% 11.21
SPDR S&P; Emerging Markets Small Cap (EWX) 0.20 14598 NEW 49.53
Cohen & Steers Ltd Dur Pfd I 0.20 28006 26.78
Goldman Sachs Mlp Inc Opp Fd 0.20 79344 +2% 9.33
Pfizer (PFE) 0.19 19170 NEW 35.70
Marathon Oil Corporation (MRO) 0.19 51671 NEW 13.57
iShares NASDAQ Biotechnology Index (IBB) 0.19 2119 333.65
Wisdomtree Trust wrld ex-us grwth 0.19 12222 56.46
Ishares Tr eafe min volat 0.19 9918 +12% 71.08
Nuveen High Income 2020 Targ 0.19 68268 NEW 10.11
Everspin Technologies 0.19 40720 +135% 17.09
SPDR MSCI ACWI ex-US (CWI) 0.18 17676 NEW 37.85
Ishares Core Msci Eafe Etf core msci eafe 0.18 10275 64.14
Platform Specialty Prods Cor 0.18 60000 11.15
Nuveen High Income Target Term 0.18 64373 NEW 10.11
Inseego Corp bond 0.18 820000 -8% 0.80
iShares S&P; MidCap 400 Index (IJH) 0.17 3493 +15% 178.90
Vonage Holdings (VG) 0.17 76700 -75% 8.14
Vanguard Pacific ETF (VPL) 0.17 9264 -2% 68.22
iShares MSCI ACWI ex US Index Fund (ACWX) 0.17 12558 +12% 48.37
Procter & Gamble Company (PG) 0.16 6351 NEW 91.01
Credit Acceptance (CACC) 0.16 2070 -60% 280.19
Vanguard European ETF (VGK) 0.16 10240 +19% 58.34
MiMedx (MDXG) 0.16 50000 -64% 11.88
Vanguard Small-Cap Growth ETF (VBK) 0.15 3667 NEW 152.58
One Liberty Properties (OLP) 0.15 22849 24.38
First Trust Value Line Dividend Indx Fnd (FVD) 0.15 18731 NEW 29.74
Nuveen Build Amer Bd fd com 0.15 24823 21.47
Vanguard Star Fd Intl Stk Idxf 0.15 9756 54.74
Chevron Corporation (CVX) 0.14 4464 NEW 117.57
AT&T; (T) 0.14 12812 NEW 39.18
Sherwin-Williams Company (SHW) 0.14 1454 NEW 358.32
Illinois Tool Works (ITW) 0.14 3567 NEW 148.02
Rigel Pharmaceuticals (RIGL) 0.14 207000 2.54
iShares MSCI EAFE Growth Index (EFG) 0.14 6681 NEW 77.38
stock 0.14 7579 66.37
Garrison Capital 0.14 59735 +2% 8.42
General Electric Company (GE) 0.13 19139 NEW 24.15
Enterprise Products Partners 0.13 18804 NEW 26.10
FormFactor (FORM) 0.13 29189 16.86
Realty Income (O) 0.13 8184 NEW 57.13
iShares Russell Midcap Value Index (IWS) 0.13 5507 NEW 84.87
Dht Holdings 0.13 123121 NEW 3.98
Abbvie 0.13 5326 NEW 88.82
Shopify Inc cl a 0.13 4150 NEW 116.39
Exxon Mobil Corporation (XOM) 0.12 5242 NEW 81.90
Cisco Systems (CSCO) 0.12 13262 NEW 33.60
Boeing Company (BA) 0.12 1678 NEW 254.02
Altria (MO) 0.12 6804 NEW 63.43
Manpower (MAN) 0.12 3740 NEW 117.91
Netflix (NFLX) 0.12 2410 NEW 181.33
Brookline Ban (BRKL) 0.12 28306 -50% 15.51
iShares Russell 2000 Growth Index (IWO) 0.12 2416 178.81
Vanguard Small-Cap Value ETF (VBR) 0.12 3564 NEW 127.67
Spirit AeroSystems Holdings (SPR) 0.12 5483 NEW 77.69
iShares S&P; Latin America 40 Index (ILF) 0.12 12951 NEW 35.05
New Mountain Finance Corp 0.12 30000 14.27
Babcock & Wilcox Enterprises, 0.12 135000 NEW 3.33
Wildhorse Resource Dev Corp Com Added 0.12 32801 -34% 13.32
Dxc Technology 0.12 5072 +6% 85.88
Home Depot (HD) 0.11 2495 +83% 163.24
Health Care SPDR (XLV) 0.11 4986 NEW 81.77
Jack Henry & Associates (JKHY) 0.11 4041 NEW 102.70
Teradyne (TER) 0.11 10404 +5% 37.26
Consumer Discretionary SPDR (XLY) 0.11 4633 +34% 90.12
Vanguard FTSE All-World ex-US ETF (VEU) 0.11 7953 +17% 52.77
Netlist (NLST) 0.11 571907 -57% 0.73
Moneygram International 0.11 25000 NEW 16.12
Apollo Tactical Income Fd In 0.11 24333 +2% 16.19
Alphabet Inc Class C cs 0.11 410 NEW 957.45
Kbl Merger Corp Iv unit 01/15/2024 0.11 40000 10.20
Costco Wholesale Corporation (COST) 0.10 2206 +62% 164.58
Walt Disney Company (DIS) 0.10 3809 +52% 98.39
Verizon Communications (VZ) 0.10 7103 NEW 49.54
Raytheon Company (RTN) 0.10 1917 NEW 186.75
Starbucks Corporation (SBUX) 0.10 6911 NEW 53.68
Hormel Foods Corporation (HRL) 0.10 11411 NEW 32.16
Brocade Communications Systems (BRCD) 0.10 30573 NEW 11.94
iShares MSCI Brazil Index (EWZ) 0.10 8430 +3% 41.70
First Trust DJ Internet Index Fund (FDN) 0.10 3733 NEW 102.33
SPDR DJ Wilshire REIT (RWR) 0.10 3906 NEW 92.42
iShares S&P; Global Mat. Sector Inde (MXI) 0.10 5448 65.35
SPDR Barclays Capital Convertible SecETF (CWB) 0.10 7091 NEW 51.05
ProShares Credit Suisse 130/30 (CSM) 0.10 6101 NEW 62.61
Caterpillar (CAT) 0.09 2716 NEW 124.82
Union Pacific Corporation (UNP) 0.09 2956 NEW 116.04
Nokia Corporation (NOK) 0.09 56288 -43% 5.99
Technology SPDR (XLK) 0.09 5842 NEW 59.06
Vanguard Europe Pacific ETF (VEA) 0.09 7407 NEW 43.47
Physicians Realty Trust 0.09 17638 NEW 17.75
Urban Edge Pptys 0.09 14422 -12% 24.13
Cummins (CMI) 0.08 1715 NEW 167.93
Lincoln Electric Holdings (LECO) 0.08 3122 NEW 91.61
Berkshire Hathaway (BRK.A) 0.08 1 275000.00
Merck & Co (MRK) 0.08 4811 NEW 63.91
Apollo Investment (AINV) 0.08 48206 6.12
Vanguard Small-Cap ETF (VB) 0.08 2119 NEW 141.07
Vanguard Long-Term Bond ETF (BLV) 0.08 3313 NEW 93.87
Vanguard REIT ETF (VNQ) 0.08 3539 NEW 83.07
SPDR Barclays Capital High Yield B (JNK) 0.08 8342 NEW 37.33
PowerShares Dynamic Biotech &Genome; (PBE) 0.08 6102 49.98
Aehr Test Systems (AEHR) 0.08 74126 -85% 4.09
First Trust Health Care AlphaDEX Fd (FXH) 0.08 4304 NEW 67.38
Mondelez Int 0.08 7123 NEW 40.71
Rubicon Proj 0.08 74000 NEW 3.89
Coca-Cola Company (KO) 0.07 5369 NEW 45.08
Abbott Laboratories (ABT) 0.07 4701 NEW 53.27
Intel Corporation (INTC) 0.07 6581 NEW 38.02
Colgate-Palmolive Company (CL) 0.07 3430 NEW 72.89
General Mills (GIS) 0.07 5156 NEW 51.76
International Business Machines (IBM) 0.07 1761 NEW 144.80
First Solar (FSLR) 0.07 5773 NEW 45.90
Greenhill & Co (GHL) 0.07 15659 NEW 16.60
iShares Russell 1000 Growth Index (IWF) 0.07 2004 -2% 125.25
iShares S&P; MidCap 400 Growth (IJK) 0.07 1226 NEW 202.58
PowerShares Gld Drg Haltr USX China (PGJ) 0.07 6225 NEW 43.21
Vanguard Mid-Cap Value ETF (VOE) 0.07 2533 NEW 105.80
Eaton 0.07 3261 NEW 76.66
Ishares Inc core msci emkt 0.07 4909 NEW 53.98
Alibaba Group Holding Ltd Spon 0.07 1455 NEW 172.51
Alphabet Inc Class A cs 0.07 264 NEW 973.68
Brookfield Real Assets Incom shs ben int 0.07 10938 23.77
Micro Focus Intl Plc sponsored adr 0.07 7595 NEW 31.86
JPMorgan Chase & Co. (JPM) 0.06 2349 NEW 95.73
CSX Corporation (CSX) 0.06 4039 NEW 54.22
RPM International (RPM) 0.06 4197 NEW 51.23
Royal Dutch Shell (RDS.A) 0.06 3453 NEW 60.53
Ventas (VTR) 0.06 3339 NEW 64.99
Energy Transfer Equity (ETE) 0.06 12590 17.39
Ladenburg Thalmann Financial Services (LTS) 0.06 81050 2.87
Reading International (RDI) 0.06 13000 NEW 15.69
iShares Dow Jones US Real Estate (IYR) 0.06 2524 NEW 80.03
O'reilly Automotive Inc 0.06 1107 NEW 215.00
MSCI Europe Financials Sector Index Fund (EUFN) 0.06 10010 NEW 23.48
PowerShrs CEF Income Cmpst Prtfl (PCEF) 0.06 8830 24.01
Nuveen Mtg opportunity term fd 0.06 9383 25.37
Ares Dynamic Cr Allocation 0.06 13989 16.37
* Proshares Tr S&p 500 Aristo Added 0.06 3642 NEW 59.58
Paypal Holdings 0.06 3555 NEW 64.14
Spdr Nuveen Barclays Muni Bond Etf nuvn brcly muni 0.06 4250 NEW 48.94
Mkt Vectors Biotech Etf etf 0.06 1619 134.03
Global Medical Reit, Inc. stock 0.06 25549 NEW 8.96
Verso Corp cl a 0.06 42791 -89% 5.09
Arch Coal Inc cl a 0.06 3000 NEW 71.67
First Tr Sr Floating Rate 20 0.06 21339 NEW 9.70
M I Acquisitions 0.06 21500 10.09
Arena Pharmaceuticals 0.06 8010 NEW 25.50
Emerson Electric (EMR) 0.05 3203 NEW 62.75
Ford Motor Company (F) 0.05 16144 -95% 11.95
Solar Cap Ltd 0.05 9290 -2% 21.64
PowerShares DB Com Indx Trckng Fund (DBC) 0.05 12125 NEW 15.42
Oclaro (OCLR) 0.05 19940 -69% 8.63
THL Credit (TCRD) 0.05 20000 9.35
Blackstone Gso Flting Rte Fu 0.05 10000 17.60
PIMCO Short Term Mncpl (SMMU) 0.05 3972 NEW 50.35
Emerge Energy Svcs 0.05 23000 NEW 8.26
Hos Us conv 0.05 250000 +11% 0.78
Energy Transfer Partners 0.05 10064 NEW 18.38
BGC Partners (BGCP) 0.04 10600 NEW 14.43
Numerex (NMRX) 0.04 40000 +166% 3.80
Mattersight Corp 0.04 49203 NEW 2.80
Eco-stim Energy Solution 0.04 93075 NEW 1.54
Sensus Healthcare Inc Wrt Exp 0.04 231256 0.58
iShares Gold Trust (IAU) 0.03 10285 NEW 12.35
Barclays Bk Plc Ipsp croil etn 0.03 17850 NEW 5.38
Southcross Energy Partners L 0.03 48370 NEW 2.36
Sensus Healthcare 0.03 22300 -78% 4.98
J Jill Inc call 0.03 10000 NEW 10.90
RadiSys Corporation (RSYS) 0.02 50000 NEW 1.38
Opko Health (OPK) 0.02 10700 NEW 6.82
Gsv Cap Corp 0.02 11359 NEW 5.47
Gty Technology Holdings Inc w exp 99/99/999 0.02 58333 1.17
Fintech Acquisition Corp Ii *w exp 01/19/202 0.02 50000 1.24
Gores Hldgs Ii Inc *w exp 03/06/202 0.02 50000 1.42
Sanofi Aventis Wi Conval Rt 0.01 115583 NEW 0.36
Gastar Exploration 0.01 30000 NEW 0.87
Comstock Res Inc note 7.750% 4/0 0.01 39359 -68% 0.79
Kayne Anderson Acquisition *w exp 06/30/202 0.01 66666 0.75
Matlin & Partners Acquisitio *w exp 03/15/202 0.01 100000 0.35
Novavax (NVAX) 0.00 10500 1.14
Comstock Res Inc note 9.500% 6/1 0.00 13109 NEW 0.76

Past 13F-HR SEC Filings by B. Riley Financial

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