B. Riley Financial

B. Riley Financial as of Sept. 30, 2016

Portfolio Holdings for B. Riley Financial

B. Riley Financial holds 145 positions in its portfolio as reported in the September 2016 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
iShares Russell 2000 Index (IWM) 13.6 $21M 171k 124.21
PowerShares QQQ Trust, Series 1 8.3 $13M 110k 118.68
Vanguard Large-Cap ETF (VV) 4.3 $6.7M 68k 99.17
Kemet Corporation Cmn 4.2 $6.6M 1.8M 3.56
PIMCO Enhanced Short Mat Str Fund ETF (MINT) 3.2 $5.0M 49k 101.41
Atlantic Alliance Partner 3.1 $4.9M 465k 10.50
Solar Senior Capital 2.9 $4.6M 282k 16.21
Vanguard Short Term Corporate Bond ETF (VCSH) 2.2 $3.4M 43k 80.54
TeleNav 2.0 $3.1M 547k 5.73
Hc2 Holdings 2.0 $3.1M 564k 5.45
Vanguard Mid-Cap ETF (VO) 1.9 $3.0M 23k 129.46
Broadwind Energy (BWEN) 1.7 $2.7M 616k 4.40
iShares Russell Midcap Index Fund (IWR) 1.7 $2.6M 15k 174.33
Vanguard Malvern Fds strm infproidx (VTIP) 1.6 $2.6M 52k 49.66
PennantPark Investment (PNNT) 1.5 $2.4M 318k 7.52
Vanguard Intermediate Tm Cpte Bd ETF (VCIT) 1.5 $2.4M 27k 89.60
Pennantpark Floating Rate Capi (PFLT) 1.5 $2.4M 179k 13.23
Hp (HPQ) 1.5 $2.3M 147k 15.53
Microsoft Corporation (MSFT) 1.4 $2.1M 37k 57.61
Digital Turbine (APPS) 1.3 $2.1M 2.0M 1.05
Spdr S&p 500 Etf (SPY) 1.2 $1.9M 8.7k 216.28
Ishares Inc ctr wld minvl (ACWV) 1.1 $1.8M 24k 76.21
Vanguard Total Stock Market ETF (VTI) 1.1 $1.7M 15k 111.35
iShares Dow Jones EPAC Sel Div Ind (IDV) 1.1 $1.7M 57k 29.98
Doubleline Income Solutions (DSL) 1.1 $1.7M 87k 19.15
Vanguard Emerging Markets ETF (VWO) 1.0 $1.6M 41k 37.63
iShares MSCI EAFE Index Fund (EFA) 1.0 $1.5M 25k 59.13
Hewlett Packard Enterprise (HPE) 1.0 $1.5M 66k 22.75
iShares S&P AMT-Fr Mncpl Bnd (NYF) 0.9 $1.4M 12k 114.05
Westport Innovations 0.9 $1.4M 850k 1.61
iShares IBoxx $ Invest Grade Corp Bd (LQD) 0.9 $1.4M 11k 123.19
Vanguard Dividend Appreciation ETF (VIG) 0.9 $1.4M 16k 83.96
iShares JPMorgan USD Emer Mkt Bnd Fd ETF (EMB) 0.8 $1.2M 11k 117.25
Ares Capital Corporation (ARCC) 0.8 $1.2M 77k 15.50
Apple (AAPL) 0.8 $1.2M 10k 113.08
iShares Dow Jones Select Dividend (DVY) 0.7 $1.1M 13k 85.67
Netlist (NLST) 0.6 $906k 731k 1.24
Ishares Tr usa min vo (USMV) 0.6 $895k 20k 45.44
Spdr Index Shs Fds s^p global nat res (GNR) 0.5 $840k 22k 39.13
Apollo Sr Floating Rate Fd I (AFT) 0.5 $845k 50k 16.94
Vanguard Long Term Corporate Bond ETF (VCLT) 0.5 $810k 8.5k 95.70
Morgan Stanley (MS) 0.5 $802k 25k 32.08
iShares S&P Natl AMTFr Mncpl Bd (MUB) 0.5 $792k 7.0k 112.82
Goldman Sachs Mlp Inc Opp 0.5 $759k 80k 9.50
Garrison Capital 0.5 $741k 73k 10.13
Aetna 0.4 $693k 6.0k 115.50
Pimco Exch Traded Fund (LDUR) 0.4 $688k 6.8k 100.98
SPDR Dow Jones Industrial Average ETF (DIA) 0.4 $678k 3.7k 182.70
Cohen & Steers Ltd Dur Pfd I (LDP) 0.4 $666k 27k 25.12
Tortoise MLP Fund 0.4 $646k 32k 19.99
iShares MSCI Emerging Markets Indx (EEM) 0.4 $619k 17k 37.46
Nuveen Build Amer Bd (NBB) 0.4 $588k 26k 22.68
stock 0.4 $562k 9.6k 58.67
iShares MSCI ACWI ex US Index Fund (ACWX) 0.3 $554k 13k 41.47
Apollo Tactical Income Fd In (AIF) 0.3 $536k 35k 15.47
Berkshire Hathaway (BRK.B) 0.3 $516k 3.6k 144.50
Vanguard European ETF (VGK) 0.3 $522k 11k 48.71
Ishares Tr eafe min volat (EFAV) 0.3 $509k 7.5k 67.60
PRGX Global 0.3 $505k 107k 4.71
iShares S&P MidCap 400 Index (IJH) 0.3 $498k 3.2k 154.85
Cf Corp shs cl a 0.3 $498k 51k 9.80
ON Semiconductor (ON) 0.3 $481k 39k 12.32
iShares NASDAQ Biotechnology Index (IBB) 0.3 $420k 1.5k 289.26
Urban Edge Pptys (UE) 0.3 $428k 15k 28.13
Facebook Inc cl a (META) 0.3 $401k 3.1k 128.40
Blackrock Kelso Capital 0.2 $384k 46k 8.27
Monster Worldwide 0.2 $361k 100k 3.61
PowerShares Preferred Portfolio 0.2 $359k 24k 15.15
Sysorex Global Hldgs 0.2 $367k 1.0M 0.36
Health Care SPDR (XLV) 0.2 $341k 4.7k 72.11
Solar Cap (SLRC) 0.2 $331k 16k 20.55
Energy Transfer Equity (ET) 0.2 $295k 18k 16.77
Alerian Mlp Etf 0.2 $297k 23k 12.67
Bazaarvoice 0.2 $299k 51k 5.91
Brookfield Mortg. Opportunity bond etf 0.2 $297k 20k 15.00
Nielsen Hldgs Plc Shs Eur 0.2 $289k 5.4k 53.52
Lumentum Hldgs (LITE) 0.2 $301k 7.2k 41.74
Apollo Investment 0.2 $280k 48k 5.79
iShares Russell 1000 Growth Index (IWF) 0.2 $280k 2.7k 104.21
iShares MSCI Brazil Index (EWZ) 0.2 $285k 8.4k 33.73
Consumer Discretionary SPDR (XLY) 0.2 $275k 3.4k 79.94
Vanguard FTSE All-World ex-US ETF (VEU) 0.2 $277k 6.1k 45.38
Vanguard Growth ETF (VUG) 0.2 $281k 2.5k 112.31
THL Credit 0.2 $288k 30k 9.54
Walt Disney Company (DIS) 0.2 $264k 2.8k 92.79
Provident Financial Services (PFS) 0.2 $265k 13k 21.20
Kratos Defense & Security Solutions (KTOS) 0.2 $260k 38k 6.90
iShares S&P Global Mat. Sector Inde (MXI) 0.2 $262k 4.9k 53.57
First Trust Energy Income & Gr 0.2 $259k 9.6k 27.09
Autobytel 0.2 $261k 15k 17.79
Skyworks Solutions (SWKS) 0.2 $243k 3.2k 76.06
Viad (PRSU) 0.2 $254k 6.9k 36.94
IntraLinks Holdings 0.2 $251k 25k 10.05
Vanguard Star Fd Intl Stk Idxf (VXUS) 0.2 $243k 5.2k 47.16
Ishares Tr fltg rate nt (FLOT) 0.2 $244k 4.8k 50.77
Dick's Sporting Goods (DKS) 0.1 $237k 4.2k 56.62
Pfizer (PFE) 0.1 $240k 7.1k 33.82
Schlumberger (SLB) 0.1 $233k 3.0k 78.48
ViaSat (VSAT) 0.1 $229k 3.1k 74.62
TransAct Technologies Incorporated (TACT) 0.1 $235k 32k 7.41
NutriSystem 0.1 $232k 7.8k 29.74
Marvell Technology Group 0.1 $237k 18k 13.25
Methode Electronics (MEI) 0.1 $234k 6.7k 34.99
Finisar Corporation 0.1 $229k 7.7k 29.78
NetScout Systems (NTCT) 0.1 $239k 8.2k 29.30
Stoneridge (SRI) 0.1 $239k 13k 18.41
Reading International (RDI) 0.1 $233k 17k 13.38
PowerShares Dynamic Biotech &Genome 0.1 $230k 5.5k 42.02
Nuveen Mtg opportunity term (JLS) 0.1 $235k 9.7k 24.14
Real Networks 0.1 $237k 53k 4.47
Ares Dynamic Cr Allocation (ARDC) 0.1 $237k 16k 14.85
Brookfield Ppty Partners L P unit ltd partn 0.1 $237k 10k 22.91
Tivo Corp 0.1 $228k 12k 19.45
American Eagle Outfitters (AEO) 0.1 $224k 13k 17.90
J.C. Penney Company 0.1 $224k 24k 9.22
Mattel (MAT) 0.1 $222k 7.3k 30.25
Berkshire Hathaway (BRK.A) 0.1 $216k 1.00 216000.00
Prestige Brands Holdings (PBH) 0.1 $219k 4.5k 48.18
CalAmp 0.1 $211k 15k 13.92
iShares Lehman Aggregate Bond (AGG) 0.1 $216k 1.9k 112.68
iShares Russell 2000 Growth Index (IWO) 0.1 $211k 1.4k 148.70
Web 0.1 $224k 13k 17.27
iShares S&P Latin America 40 Index (ILF) 0.1 $216k 7.7k 27.98
Hos Us conv 0.1 $213k 374k 0.57
Vaneck Vectors Etf Tr pre refunded mun 0.1 $225k 9.1k 24.63
Comstock Res Inc note 7.750% 4/0 0.1 $214k 310k 0.69
M I Acquisitions Inc unit 99/99/9999 0.1 $215k 22k 10.00
Vanguard Pacific ETF (VPL) 0.1 $201k 3.3k 60.43
PIMCO Short Term Mncpl (SMMU) 0.1 $200k 4.0k 50.35
Newtek Business Svcs (NEWT) 0.1 $196k 14k 14.24
Boulevard Acquisition cl a 0.1 $206k 21k 9.80
Nuveen Insured Tax-Free Adv Munici (NEA) 0.1 $183k 13k 14.64
Capitol Acquisition Corp Iii 0.1 $188k 19k 9.79
Blackstone Gso Flting Rte Fu (BSL) 0.1 $169k 10k 16.90
Lindblad Expeditions Hldgs I (LIND) 0.1 $172k 19k 9.01
Nuveen Muni Value Fund (NUV) 0.1 $157k 15k 10.61
One Liberty Properties (OLP) 0.1 $117k 15k 7.71
Finjan Holdings 0.1 $92k 54k 1.71
Navistar Intl Corp conv 0.1 $93k 98k 0.95
Comstock Res Inc note 9.500% 6/1 0.1 $73k 100k 0.73
BRT Realty Trust (BRT) 0.0 $51k 49k 1.04
Pdl Biopharma Inc Sr Nt Conv 4.000% 02/01/18 B/e Dtd 02/12/14 0.0 $49k 50k 0.98
Violin Memory Inc conv 0.0 $29k 100k 0.29
Novavax 0.0 $22k 11k 2.10
Ladenburg Thalmann Financial Services 0.0 $5.7k 81k 0.07