B. Riley Financial

B. Riley Financial as of Sept. 30, 2017

Portfolio Holdings for B. Riley Financial

B. Riley Financial holds 302 positions in its portfolio as reported in the September 2017 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
PowerShares QQQ Trust, Series 1 9.9 $36M 250k 145.40
PIMCO Enhanced Short Mat Str Fund ETF (MINT) 2.5 $9.3M 91k 101.80
Vanguard Large-Cap ETF (VV) 2.5 $9.2M 80k 115.40
Rbc Cad (RY) 2.1 $7.7M 100k 77.35
Hc2 Holdings 1.9 $6.8M 1.3M 5.28
Bbx Capital 1.9 $6.8M 920k 7.37
SPDR Dow Jones Industrial Average ETF (DIA) 1.6 $6.0M 27k 223.81
Time Warner 1.6 $5.8M 57k 102.46
HEALTH INSURANCE Common equity Innovations shares 1.6 $5.9M 405k 14.50
Vanguard Growth ETF (VUG) 1.6 $5.8M 44k 132.75
TeleNav 1.5 $5.5M 870k 6.35
Tempur-Pedic International (TPX) 1.5 $5.5M 85k 64.52
Mcbc Holdings 1.5 $5.4M 264k 20.38
USANA Health Sciences (USNA) 1.3 $4.9M 85k 57.70
Finjan Holdings 1.3 $4.8M 2.1M 2.35
Solar Senior Capital 1.3 $4.7M 274k 17.23
Ferroglobe (GSM) 1.3 $4.7M 360k 13.16
Vanguard Short Term Corporate Bond ETF (VCSH) 1.3 $4.6M 57k 80.13
Microsoft Corporation (MSFT) 1.0 $3.7M 49k 74.49
iShares Russell Midcap Index Fund (IWR) 1.0 $3.6M 18k 197.18
Vanguard Mid-Cap ETF (VO) 1.0 $3.5M 24k 147.00
Micron Technology (MU) 0.9 $3.2M 81k 39.33
Ishares Tr fltg rate nt (FLOT) 0.9 $3.1M 62k 50.95
Lonestar Res Us Inc cl a vtg 0.9 $3.1M 893k 3.51
Spdr S&p 500 Etf (SPY) 0.8 $2.9M 11k 251.25
Boulevard Acquisition cl a 0.8 $2.8M 277k 10.00
Vanguard Intermediate Tm Cpte Bd ETF (VCIT) 0.8 $2.8M 31k 88.01
Vanguard Value ETF (VTV) 0.7 $2.7M 27k 99.80
Invuity 0.7 $2.7M 299k 8.90
Hp (HPQ) 0.7 $2.7M 134k 19.96
PennantPark Investment (PNNT) 0.7 $2.6M 350k 7.51
Pennantpark Floating Rate Capi (PFLT) 0.7 $2.6M 182k 14.48
Marvell Technology Group 0.7 $2.6M 145k 17.93
Rydex S&P Equal Weight ETF 0.7 $2.6M 27k 95.53
Vanguard Emerging Markets ETF (VWO) 0.7 $2.6M 59k 43.57
iShares MSCI EAFE Index Fund (EFA) 0.7 $2.5M 37k 68.47
Gty Technology Holdings Inc cl a 0.7 $2.5M 250k 9.98
Apple (AAPL) 0.7 $2.5M 16k 154.11
Clipper Realty Inc Reit equities - reit (CLPR) 0.7 $2.5M 230k 10.71
Hanesbrands (HBI) 0.7 $2.4M 99k 24.64
Vanguard Malvern Fds strm infproidx (VTIP) 0.6 $2.3M 47k 49.45
Vanguard Total Stock Market ETF (VTI) 0.6 $2.2M 17k 129.49
Pimco Exch Traded Fund (LDUR) 0.6 $2.2M 22k 101.09
Digital Turbine (APPS) 0.6 $2.2M 1.4M 1.51
iShares Barclays 1-3 Year Cred Bd Fd ETF (IGSB) 0.6 $2.1M 20k 105.36
Select Energy Svcs Inc cl a (WTTR) 0.6 $2.0M 128k 15.92
Kayne Anderson Acquisition 0.6 $2.0M 210k 9.75
Ooma (OOMA) 0.6 $2.0M 189k 10.69
Doubleline Income Solutions (DSL) 0.5 $1.8M 87k 21.25
iShares Dow Jones EPAC Sel Div Ind (IDV) 0.5 $1.8M 53k 33.76
Harley-Davidson (HOG) 0.5 $1.7M 35k 48.20
PowerShares High Yld. Dividend Achv 0.5 $1.6M 96k 17.15
First Trust Morningstar Divid Ledr (FDL) 0.5 $1.6M 56k 29.03
iShares S&P AMT-Fr Mncpl Bnd (NYF) 0.4 $1.6M 15k 111.98
Vanguard Dividend Appreciation ETF (VIG) 0.4 $1.6M 17k 94.79
Ishares Tr rus200 grw idx (IWY) 0.4 $1.6M 23k 67.82
ON Semiconductor (ON) 0.4 $1.5M 84k 18.37
Red Lion Hotels Corporation 0.4 $1.5M 176k 8.61
Gores Hldgs Ii 0.4 $1.5M 150k 9.97
Amazon (AMZN) 0.4 $1.5M 1.5k 961.43
CalAmp 0.4 $1.5M 68k 21.35
iShares JPMorgan USD Emer Mkt Bnd Fd ETF (EMB) 0.4 $1.5M 13k 116.45
Facebook Inc cl a (META) 0.4 $1.5M 8.7k 170.79
Acacia Research Corporation (ACTG) 0.4 $1.4M 314k 4.55
Bazaarvoice 0.4 $1.4M 278k 5.08
Rice Energy 0.4 $1.4M 50k 28.95
Carbonite 0.4 $1.4M 63k 22.09
ViaSat (VSAT) 0.4 $1.4M 21k 64.06
Iteris (ITI) 0.4 $1.4M 204k 6.74
TransAct Technologies Incorporated (TACT) 0.4 $1.3M 132k 9.88
iShares IBoxx $ Invest Grade Corp Bd (LQD) 0.4 $1.3M 11k 121.23
Atlantic Alliance Partner 0.4 $1.3M 122k 10.63
Ares Capital Corporation (ARCC) 0.3 $1.3M 78k 16.39
S&W Seed Company (SANW) 0.3 $1.3M 398k 3.19
Lumentum Hldgs (LITE) 0.3 $1.3M 23k 55.12
Nuveen High Income November 0.3 $1.3M 128k 10.07
Tonix Pharmaceuticals Hldg C 0.3 $1.3M 282k 4.56
NetScout Systems (NTCT) 0.3 $1.2M 38k 32.57
Skyworks Solutions (SWKS) 0.3 $1.2M 12k 101.29
Stamps 0.3 $1.3M 6.3k 200.48
Kratos Defense & Security Solutions (KTOS) 0.3 $1.2M 95k 13.08
Primo Water Corporation 0.3 $1.2M 106k 11.65
Immersion Corporation (IMMR) 0.3 $1.2M 148k 8.17
iShares S&P Natl AMTFr Mncpl Bd (MUB) 0.3 $1.2M 11k 110.90
Ishares Inc ctr wld minvl (ACWV) 0.3 $1.2M 15k 81.39
Truecar (TRUE) 0.3 $1.2M 77k 15.11
Tivo Corp 0.3 $1.2M 60k 19.50
Vanguard Intermediate-Term Bond ETF (BIV) 0.3 $1.1M 13k 84.69
SPDR S&P MidCap 400 ETF (MDY) 0.3 $1.1M 3.3k 326.45
iShares Russell Midcap Growth Idx. (IWP) 0.3 $1.0M 9.3k 113.17
Ishares Tr usa min vo (USMV) 0.3 $1.1M 21k 50.35
NVIDIA Corporation (NVDA) 0.3 $1.0M 5.8k 178.81
iShares Dow Jones Select Dividend (DVY) 0.3 $1.0M 11k 93.68
Natural Resource Partners miscellaneous-ltd partnerships (NRP) 0.3 $990k 40k 24.75
Avista Healthcare Pub Acq Co cl a 0.3 $1.0M 100k 10.00
Fintech Acquisition Corp Ii 0.3 $980k 100k 9.80
Matlin & Partners Acquisitio cl a 0.3 $971k 100k 9.71
iShares S&P 500 Growth Index (IVW) 0.3 $935k 6.5k 143.40
BRT Realty Trust (BRT) 0.3 $939k 88k 10.72
First Trust Tech AlphaDEX Fnd (FXL) 0.2 $915k 19k 47.95
Spdr Index Shs Fds s^p global nat res (GNR) 0.2 $918k 20k 45.97
National Gen Hldgs 0.2 $910k 48k 19.12
Gcp Applied Technologies 0.2 $908k 30k 30.69
Tortoise MLP Fund 0.2 $873k 48k 18.12
Monsanto Company 0.2 $846k 7.1k 119.80
iShares S&P SmallCap 600 Index (IJR) 0.2 $836k 11k 74.24
Berry Plastics (BERY) 0.2 $850k 15k 56.67
iShares MSCI Emerging Markets Indx (EEM) 0.2 $813k 18k 44.86
Herbalife Ltd Com Stk (HLF) 0.2 $814k 12k 67.83
Vanguard Long Term Corporate Bond ETF (VCLT) 0.2 $790k 8.4k 94.15
Hewlett Packard Enterprise (HPE) 0.2 $818k 56k 14.72
PowerShares Preferred Portfolio 0.2 $758k 50k 15.03
Global Ship Lease inc usd0.01 class a 0.2 $766k 488k 1.57
Apollo Sr Floating Rate Fd I (AFT) 0.2 $753k 45k 16.74
Sequans Communications Adr adr usd.02 0.2 $752k 239k 3.14
First Tr Exch Trd Alpha Fd I emerg mkt alph (FEM) 0.2 $762k 28k 27.35
Nuveen Cr Opportunities 2022 0.2 $763k 77k 9.85
Berkshire Hathaway (BRK.B) 0.2 $726k 4.0k 183.21
Johnson & Johnson (JNJ) 0.2 $716k 5.5k 130.00
Lockheed Martin Corporation (LMT) 0.2 $717k 2.3k 310.12
Financial Select Sector SPDR (XLF) 0.2 $730k 28k 25.86
Alerian Mlp Etf 0.2 $733k 65k 11.21
SPDR S&P Emerging Markets Small Cap (EWX) 0.2 $723k 15k 49.53
Cohen & Steers Ltd Dur Pfd I (LDP) 0.2 $750k 28k 26.78
Goldman Sachs Mlp Inc Opp 0.2 $740k 79k 9.33
Pfizer (PFE) 0.2 $684k 19k 35.70
Marathon Oil Corporation (MRO) 0.2 $701k 52k 13.57
iShares NASDAQ Biotechnology Index (IBB) 0.2 $707k 2.1k 333.65
Wisdomtree Trust wrld ex-us grwth (DNL) 0.2 $690k 12k 56.46
Ishares Tr eafe min volat (EFAV) 0.2 $705k 9.9k 71.08
Nuveen High Income 2020 Targ 0.2 $690k 68k 10.11
Everspin Technologies (MRAM) 0.2 $696k 41k 17.09
SPDR MSCI ACWI ex-US (CWI) 0.2 $669k 18k 37.85
Ishares Core Msci Eafe Etf core msci eafe (IEFA) 0.2 $659k 10k 64.14
Platform Specialty Prods Cor 0.2 $669k 60k 11.15
Nuveen High Income Target Term 0.2 $651k 64k 10.11
Inseego Corp bond 0.2 $656k 820k 0.80
iShares S&P MidCap 400 Index (IJH) 0.2 $625k 3.5k 178.90
Vonage Holdings 0.2 $624k 77k 8.14
Vanguard Pacific ETF (VPL) 0.2 $632k 9.3k 68.22
iShares MSCI ACWI ex US Index Fund (ACWX) 0.2 $607k 13k 48.37
Procter & Gamble Company (PG) 0.2 $578k 6.4k 91.01
Credit Acceptance (CACC) 0.2 $580k 2.1k 280.19
Vanguard European ETF (VGK) 0.2 $597k 10k 58.34
MiMedx (MDXG) 0.2 $594k 50k 11.88
Vanguard Small-Cap Growth ETF (VBK) 0.1 $560k 3.7k 152.58
One Liberty Properties (OLP) 0.1 $557k 23k 24.38
First Trust Value Line Dividend Indx Fnd (FVD) 0.1 $557k 19k 29.74
Nuveen Build Amer Bd (NBB) 0.1 $533k 25k 21.47
Vanguard Star Fd Intl Stk Idxf (VXUS) 0.1 $534k 9.8k 54.74
Chevron Corporation (CVX) 0.1 $525k 4.5k 117.57
At&t (T) 0.1 $502k 13k 39.18
Sherwin-Williams Company (SHW) 0.1 $521k 1.5k 358.32
Illinois Tool Works (ITW) 0.1 $528k 3.6k 148.02
Rigel Pharmaceuticals (RIGL) 0.1 $526k 207k 2.54
iShares MSCI EAFE Growth Index (EFG) 0.1 $517k 6.7k 77.38
stock 0.1 $503k 7.6k 66.37
Garrison Capital 0.1 $503k 60k 8.42
General Electric Company 0.1 $462k 19k 24.15
Enterprise Products Partners (EPD) 0.1 $491k 19k 26.10
FormFactor (FORM) 0.1 $492k 29k 16.86
Realty Income (O) 0.1 $468k 8.2k 57.13
iShares Russell Midcap Value Index (IWS) 0.1 $467k 5.5k 84.87
Dht Holdings (DHT) 0.1 $490k 123k 3.98
Abbvie (ABBV) 0.1 $473k 5.3k 88.82
Shopify Inc cl a (SHOP) 0.1 $483k 4.2k 116.39
Exxon Mobil Corporation (XOM) 0.1 $429k 5.2k 81.90
Cisco Systems (CSCO) 0.1 $446k 13k 33.60
Boeing Company (BA) 0.1 $426k 1.7k 254.02
Altria (MO) 0.1 $432k 6.8k 63.43
Manpower (MAN) 0.1 $441k 3.7k 117.91
Netflix (NFLX) 0.1 $437k 2.4k 181.33
Brookline Ban (BRKL) 0.1 $439k 28k 15.51
iShares Russell 2000 Growth Index (IWO) 0.1 $432k 2.4k 178.81
Vanguard Small-Cap Value ETF (VBR) 0.1 $455k 3.6k 127.67
Spirit AeroSystems Holdings (SPR) 0.1 $426k 5.5k 77.69
iShares S&P Latin America 40 Index (ILF) 0.1 $454k 13k 35.05
New Mountain Finance Corp (NMFC) 0.1 $428k 30k 14.27
Babcock & Wilcox Enterprises 0.1 $450k 135k 3.33
Wildhorse Resource Dev Corp 0.1 $437k 33k 13.32
Dxc Technology (DXC) 0.1 $436k 5.1k 85.88
Home Depot (HD) 0.1 $407k 2.5k 163.24
Health Care SPDR (XLV) 0.1 $408k 5.0k 81.77
Jack Henry & Associates (JKHY) 0.1 $415k 4.0k 102.70
Teradyne (TER) 0.1 $388k 10k 37.26
Consumer Discretionary SPDR (XLY) 0.1 $418k 4.6k 90.12
Vanguard FTSE All-World ex-US ETF (VEU) 0.1 $420k 8.0k 52.77
Netlist (NLST) 0.1 $418k 572k 0.73
Moneygram International 0.1 $403k 25k 16.12
Apollo Tactical Income Fd In (AIF) 0.1 $394k 24k 16.19
Alphabet Inc Class C cs (GOOG) 0.1 $393k 410.00 957.45
Kbl Merger Corp Iv unit 01/15/2024 0.1 $408k 40k 10.20
Costco Wholesale Corporation (COST) 0.1 $363k 2.2k 164.58
Walt Disney Company (DIS) 0.1 $375k 3.8k 98.39
Verizon Communications (VZ) 0.1 $352k 7.1k 49.54
Raytheon Company 0.1 $358k 1.9k 186.75
Starbucks Corporation (SBUX) 0.1 $371k 6.9k 53.68
Hormel Foods Corporation (HRL) 0.1 $367k 11k 32.16
Brocade Communications Systems 0.1 $365k 31k 11.94
iShares MSCI Brazil Index (EWZ) 0.1 $352k 8.4k 41.70
First Trust DJ Internet Index Fund (FDN) 0.1 $382k 3.7k 102.33
SPDR DJ Wilshire REIT (RWR) 0.1 $361k 3.9k 92.42
iShares S&P Global Mat. Sector Inde (MXI) 0.1 $356k 5.4k 65.35
SPDR Barclays Capital Convertible SecETF (CWB) 0.1 $362k 7.1k 51.05
ProShares Credit Suisse 130/30 (CSM) 0.1 $382k 6.1k 62.61
Caterpillar (CAT) 0.1 $339k 2.7k 124.82
Union Pacific Corporation (UNP) 0.1 $343k 3.0k 116.04
Nokia Corporation (NOK) 0.1 $337k 56k 5.99
Technology SPDR (XLK) 0.1 $345k 5.8k 59.06
Vanguard Europe Pacific ETF (VEA) 0.1 $322k 7.4k 43.47
Physicians Realty Trust 0.1 $313k 18k 17.75
Urban Edge Pptys (UE) 0.1 $348k 14k 24.13
Cummins (CMI) 0.1 $288k 1.7k 167.93
Lincoln Electric Holdings (LECO) 0.1 $286k 3.1k 91.61
Berkshire Hathaway (BRK.A) 0.1 $275k 1.00 275000.00
Merck & Co (MRK) 0.1 $308k 4.8k 63.91
Apollo Investment 0.1 $295k 48k 6.12
Vanguard Small-Cap ETF (VB) 0.1 $299k 2.1k 141.07
Vanguard Long-Term Bond ETF (BLV) 0.1 $311k 3.3k 93.87
Vanguard REIT ETF (VNQ) 0.1 $294k 3.5k 83.07
SPDR Barclays Capital High Yield B 0.1 $311k 8.3k 37.33
PowerShares Dynamic Biotech &Genome 0.1 $305k 6.1k 49.98
Aehr Test Systems (AEHR) 0.1 $303k 74k 4.09
First Trust Health Care AlphaDEX (FXH) 0.1 $290k 4.3k 67.38
Mondelez Int (MDLZ) 0.1 $290k 7.1k 40.71
Rubicon Proj 0.1 $288k 74k 3.89
Coca-Cola Company (KO) 0.1 $242k 5.4k 45.08
Abbott Laboratories (ABT) 0.1 $250k 4.7k 53.27
Intel Corporation (INTC) 0.1 $250k 6.6k 38.02
Colgate-Palmolive Company (CL) 0.1 $250k 3.4k 72.89
General Mills (GIS) 0.1 $267k 5.2k 51.76
International Business Machines (IBM) 0.1 $255k 1.8k 144.80
First Solar (FSLR) 0.1 $265k 5.8k 45.90
Greenhill & Co 0.1 $260k 16k 16.60
iShares Russell 1000 Growth Index (IWF) 0.1 $251k 2.0k 125.25
iShares S&P MidCap 400 Growth (IJK) 0.1 $248k 1.2k 202.58
PowerShares Gld Drg Haltr USX China 0.1 $269k 6.2k 43.21
Vanguard Mid-Cap Value ETF (VOE) 0.1 $268k 2.5k 105.80
Eaton (ETN) 0.1 $250k 3.3k 76.66
Ishares Inc core msci emkt (IEMG) 0.1 $265k 4.9k 53.98
Alibaba Group Holding (BABA) 0.1 $251k 1.5k 172.51
Alphabet Inc Class A cs (GOOGL) 0.1 $257k 264.00 973.68
Brookfield Real Assets Incom shs ben int (RA) 0.1 $260k 11k 23.77
Micro Focus Intl 0.1 $242k 7.6k 31.86
JPMorgan Chase & Co. (JPM) 0.1 $225k 2.3k 95.73
CSX Corporation (CSX) 0.1 $219k 4.0k 54.22
RPM International (RPM) 0.1 $215k 4.2k 51.23
Royal Dutch Shell 0.1 $209k 3.5k 60.53
Ventas (VTR) 0.1 $217k 3.3k 64.99
Energy Transfer Equity (ET) 0.1 $219k 13k 17.39
Ladenburg Thalmann Financial Services 0.1 $233k 81k 2.87
Reading International (RDI) 0.1 $204k 13k 15.69
iShares Dow Jones US Real Estate (IYR) 0.1 $202k 2.5k 80.03
O'reilly Automotive (ORLY) 0.1 $238k 1.1k 215.00
MSCI Europe Financials Sector Index Fund (EUFN) 0.1 $235k 10k 23.48
PowerShrs CEF Income Cmpst Prtfl 0.1 $212k 8.8k 24.01
Nuveen Mtg opportunity term (JLS) 0.1 $238k 9.4k 25.37
Ares Dynamic Cr Allocation (ARDC) 0.1 $229k 14k 16.37
Proshares Tr S&p 500 Aristo (NOBL) 0.1 $217k 3.6k 59.58
Paypal Holdings (PYPL) 0.1 $228k 3.6k 64.14
Spdr Nuveen Barclays Muni Bond Etf nuvn brcly muni (TFI) 0.1 $208k 4.3k 48.94
Mkt Vectors Biotech Etf etf (BBH) 0.1 $217k 1.6k 134.03
Global Medical Reit (GMRE) 0.1 $229k 26k 8.96
Verso Corp cl a 0.1 $218k 43k 5.09
Arch Coal Inc cl a 0.1 $215k 3.0k 71.67
First Tr Sr Floating Rate 20 0.1 $207k 21k 9.70
M I Acquisitions 0.1 $217k 22k 10.09
Arena Pharmaceuticals 0.1 $204k 8.0k 25.50
Emerson Electric (EMR) 0.1 $201k 3.2k 62.75
Ford Motor Company (F) 0.1 $193k 16k 11.95
Solar Cap (SLRC) 0.1 $201k 9.3k 21.64
PowerShares DB Com Indx Trckng Fund 0.1 $187k 12k 15.42
Oclaro 0.1 $172k 20k 8.63
THL Credit 0.1 $187k 20k 9.35
Blackstone Gso Flting Rte Fu (BSL) 0.1 $176k 10k 17.60
PIMCO Short Term Mncpl (SMMU) 0.1 $200k 4.0k 50.35
Emerge Energy Svcs 0.1 $190k 23k 8.26
Hos Us conv 0.1 $195k 250k 0.78
Energy Transfer Partners 0.1 $185k 10k 18.38
BGC Partners 0.0 $153k 11k 14.43
Numerex 0.0 $152k 40k 3.80
Mattersight Corp 0.0 $138k 49k 2.80
Eco-stim Energy Solution 0.0 $143k 93k 1.54
Sensus Healthcare Inc Wrt Exp 0.0 $134k 231k 0.58
iShares Gold Trust 0.0 $127k 10k 12.35
Barclays Bk Plc Ipsp croil etn 0.0 $96k 18k 5.38
Southcross Energy Partners L 0.0 $114k 48k 2.36
Sensus Healthcare (SRTS) 0.0 $111k 22k 4.98
J Jill Inc call 0.0 $109k 10k 10.90
RadiSys Corporation 0.0 $69k 50k 1.38
Opko Health (OPK) 0.0 $73k 11k 6.82
Gsv Cap Corp 0.0 $62k 11k 5.47
Gty Technology Holdings Inc w exp 99/99/999 0.0 $68k 58k 1.17
Fintech Acquisition Corp Ii *w exp 01/19/202 0.0 $62k 50k 1.24
Gores Hldgs Ii Inc *w exp 03/06/202 0.0 $71k 50k 1.42
Sanofi Aventis Wi Conval Rt 0.0 $42k 116k 0.36
Gastar Exploration 0.0 $26k 30k 0.87
Comstock Res Inc note 7.750% 4/0 0.0 $31k 39k 0.79
Kayne Anderson Acquisition *w exp 06/30/202 0.0 $50k 67k 0.75
Matlin & Partners Acquisitio *w exp 03/15/202 0.0 $35k 100k 0.35
Novavax 0.0 $12k 11k 1.14
Comstock Res Inc note 9.500% 6/1 0.0 $10k 13k 0.76