DFX Intelligence

Data Factory

B. Riley Wealth Advisors, Inc.

Private Equity

Memphis, TN

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Search this name across graphsid dfx:pe:d1be1af2-5e8f-4197-9692-458e356f8eab

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings, firm and issuer disclosures. Page built Sep 21, 2026, 9:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 102
Dated events: 40
On other graphs: 1
Observed: Sep 13, 2026 to Sep 17, 2026
23 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

RIA / Wealth Managementidentity

B. RILEY WEALTH ADVISORS, INC.

Registered adviser · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Funds: 30
PE funds: 30
Vintages: 2015 to 2020
Regulatory AUM: $7.6B
Investments: 0
Active investments: 0
Size band: UNSIZEDderivedno Private Equity Fund GAV on a filing from 2021 or later
Latest ADV filing: Sep 5, 2024
Employees (ADV): 457
Website: brileywealth.com

Funds

Fund	Vintage	Lifecycle	ADV type	Form D sold	GAV
Innovation X Holdings Series 2020-1 Qp, LLC	2020	Unknown	Private Equity Fund	n/a	$230M
Innovation X Holdings V, LLC	2020	Unknown	Private Equity Fund	n/a	$18.5M
Innovation X Holdings Qp, LLC Series 2019-5	2019	Unknown	Private Equity Fund	n/a	$21.4M
Innovation X Qp, LLC. Series 2018-2 (pinterest)	2018	Wound down	Private Equity Fund	n/a	$73.4M
Innovation X Qp LLC Series 2018-4 (lyft)	2018	Wound down	Private Equity Fund	n/a	$21.7M
NSC Biotech Opportunities Fund, LLC (series I)	2018	Unknown	Private Equity Fund	n/a	$0
Innovation X Holdings Qp, LLC Series 2018-6b	2018	Unknown	Private Equity Fund	n/a	$40.3M
NAM Special Situations Fund I Qp, LLC Series 2018-6	2018	Unknown	Private Equity Fund	n/a	$36.7M
Innovation X Holdings Qp, LLC Series 2018-5	2018	Wound down	Private Equity Fund	n/a	$93.7M
Innovation X Holdings II LLC Series 2018-5	2018	Wound down	Private Equity Fund	n/a	$8.6M
Innovation X Holdings Qp, LLC Series 2018-6	2018	Unknown	Private Equity Fund	n/a	$63.2M
NSC Biotech Opportunities Qp Fund, LLC (series I)	2018	Unknown	Private Equity Fund	n/a	$0
NAM Special Situations Fund VI, LLC (series VI)	2018	Wound down	Private Equity Fund	n/a	$129,496
NAM Special Situations Fund I Qp LLC Fbio Series II	2017	Wound down	Private Equity Fund	n/a	$0
Innovation X Holdings II, LLC Snap Series 1	2017	Wound down	Private Equity Fund	n/a	$0
NAM Biotech Fund II, LLC Series III	2017	Wound down	Private Equity Fund	n/a	$0
NAM Biotech Fund II, LLC Series II	2017	Wound down	Private Equity Fund	n/a	$0
NAM Biotech Fund II, LLC Series V	2017	Wound down	Private Equity Fund	n/a	$0
NAM Biotech Fund II, LLC Series IV	2017	Wound down	Private Equity Fund	n/a	$0
NAM Special Situations Fund I Qp LLC Fbio Series IV	2017	Wound down	Private Equity Fund	n/a	$0
NAM Special Situations Fund I Qp LLC Fbio Series V	2017	Wound down	Private Equity Fund	n/a	$0
NAM Biotech Fund II, LLC Series VI	2017	Wound down	Private Equity Fund	n/a	$0
Innovation X Qp, LLC Snap Series I	2017	Wound down	Private Equity Fund	n/a	$0
NAM Special Situations Fund I Qp LLC Fbio Series VI	2017	Wound down	Private Equity Fund	n/a	$0
NAM Special Situations Fund I Qp LLC Fbio Series III	2017	Wound down	Private Equity Fund	n/a	$0

Relationships

showing 80 of 102

Firm member (1)

→ B Riley WealthFirmAnchor adviser
factDFX's own graph

Employs (9)

→ Thomas David KowalczykPersonPresident
Aug 1, 2022 to presentfactForm ADV
→ Philip Richard ZanonePersonChief Operating Officer
Aug 1, 2022 to presentfactForm ADV
→ Mary Ann SwainPersonChief Financial Officer
Aug 1, 2022 to presentfactForm ADV
→ Marcus Anthony ArneaudPersonChief Compliance Officer
Aug 1, 2022 to presentfactForm ADV
→ Michael Anthony MullenPersonChief Executive Officer
Aug 1, 2022 to presentfactForm ADV
→ Mark Harry GoldwasserPersonPresident And Chief Executive Officer
Mar 1, 2013 to Jul 8, 2016inferenceForm ADV
→ Alan Bruce LevinPersonSecretary And Treasurer
Aug 1, 2011 to Oct 25, 2016inferenceForm ADV
→ William LernerPersonDirector
Dec 1, 2013 to Jan 10, 2017inferenceForm ADV
→ Robert Bruce FagensonPersonPresident And Chief Executive Officer
Jul 1, 2016 to Mar 30, 2017inferenceForm ADV

Manages (67)

→ Innovation X Holdings Series 2019-4 Qp, LLCFundPrivate Equity Fund
Dec 26, 2020 to presentfactForm ADV
→ Innovation X Holdings Qp, LLC - Slack Series IFundPrivate Equity Fund
Jan 24, 2018 to presentfactForm ADV
→ NAM Special Situations Fund V LLC Slack Series IFundPrivate Equity Fund
Jan 24, 2018 to presentfactForm ADV
→ Innovation X Qp, LLC. Series 2018-2 (pinterest)FundPrivate Equity Fund
Dec 27, 2018 to presentfactForm ADV
→ Innovation X Qp LLC Series 2018-3(space X)FundPrivate Equity Fund
Dec 27, 2018 to presentfactForm ADV
→ Innovation X Qp LLC Series 2018-4 (lyft)FundPrivate Equity Fund
Dec 27, 2018 to presentfactForm ADV
→ NSC Biotech Opportunities Fund, LLC (series I)FundPrivate Equity Fund
Dec 27, 2018 to presentfactForm ADV
→ NAM Special Situations Fund VI, LLC (series VI)FundPrivate Equity Fund
Dec 27, 2018 to presentfactForm ADV
→ NSC Biotech Opportunities Qp Fund, LLC (series I)FundPrivate Equity Fund
Dec 27, 2018 to presentfactForm ADV
→ Innovation X Holdings II, LLC Series 2018-2(pinterest)FundPrivate Equity Fund
Dec 27, 2018 to presentfactForm ADV
→ Innovation X Holdings Qp, LLC Series 2018-6FundPrivate Equity Fund
Dec 24, 2019 to presentfactForm ADV
→ Innovation X Holdings Qp, LLC Series 2018-5FundPrivate Equity Fund
Dec 24, 2019 to presentfactForm ADV
→ Innovation X Holdings Qp, LLC Series 2019-5FundPrivate Equity Fund
Dec 24, 2019 to presentfactForm ADV
→ Innovation X Holdings Qp, LLC Series 2019-2FundPrivate Equity Fund
Dec 24, 2019 to presentfactForm ADV
→ Innovation X Holdings Qp, LLC Series 2018-6bFundPrivate Equity Fund
Dec 24, 2019 to presentfactForm ADV
→ Innovation X Holdings III LLCFundPrivate Equity Fund
Dec 24, 2019 to presentfactForm ADV
→ Innovation X Holdings Qp, LLC Series 2019-1FundPrivate Equity Fund
Dec 24, 2019 to presentfactForm ADV
→ NAM Special Situations Fund I Qp, LLC Series F1FundPrivate Equity Fund
Dec 24, 2019 to presentfactForm ADV
→ NAM Special Situations Fund I Qp, LLC Series 2018-6FundPrivate Equity Fund
Dec 24, 2019 to presentfactForm ADV
→ Innovation X Holdings II LLC Series 2018-5FundPrivate Equity Fund
Dec 24, 2019 to presentfactForm ADV
→ Innovation X Holdings V, LLCFundPrivate Equity Fund
Dec 26, 2020 to presentfactForm ADV
→ Innovation X Holdings IV, LLCFundPrivate Equity Fund
Dec 26, 2020 to presentfactForm ADV
→ Innovation X Holdings Series 2020-2 Qp, LLCFundPrivate Equity Fund
Dec 26, 2020 to presentfactForm ADV
→ NAM Special Situations Fund VII, LLCFundPrivate Equity Fund
Dec 26, 2020 to presentfactForm ADV
→ Innovation X Holdings Series 2020-3 Qp, LLCFundPrivate Equity Fund
Dec 26, 2020 to presentfactForm ADV
→ Innovation X Holdings Series 2020-1 Qp, LLCFundPrivate Equity Fund
Dec 26, 2020 to presentfactForm ADV
→ Innovation X Holdings Series 2019-6 Qp, LLCFundPrivate Equity Fund
Dec 26, 2020 to presentfactForm ADV
→ NAM Special Situations Fund I Qp LLC Fbio Series IFundPrivate Equity Fund
Dec 19, 2017 to presentfactForm ADV
→ NAM Special Situations Fund I Qp LLC Fbio Series VIFundPrivate Equity Fund
Dec 19, 2017 to presentfactForm ADV
→ NAM Special Situations Fund III, LLC Magic Leap Series 1FundPrivate Equity Fund
Dec 19, 2017 to presentfactForm ADV
and 37 more

Owns (3)

← B.RILEY Financial, IncFirmParent
Apr 1, 2021 to presentfactForm ADV
← BR Financial Holdings, LLCFirmParent
Apr 1, 2021 to presentfactForm ADV
← B. Riley Wealth Management Holdings, Inc.FirmDirect Owner
Aug 1, 2022 to presentfactForm ADV

Dated events

25 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 15, 2023
Person left
Michael Markunas (General Counsel) no longer on Schedule A of B. Riley Wealth Advisors, Inc.
Form ADVobserved 7 days ago
Occurred
Sep 15, 2023
Person left
Charles Peter Hastings (Co-Chief Executive Officer) no longer on Schedule A of B. Riley Wealth Advisors, Inc.
Form ADVobserved 7 days ago
Occurred
Aug 29, 2022
Person left
Henry Edward Kaplan (President & Chief Operating Officer) no longer on Schedule A of B. Riley Wealth Advisors, Inc.
Form ADVobserved 7 days ago
Occurred
Aug 29, 2022
Person left
John a Koenigsberg (Director Of Operations) no longer on Schedule A of B. Riley Wealth Advisors, Inc.
Form ADVobserved 7 days ago
Occurred
Aug 29, 2022
Person left
John Charles Desena (Secretary) no longer on Schedule A of B. Riley Wealth Advisors, Inc.
Form ADVobserved 7 days ago
Occurred
Aug 29, 2022
Person left
Daniel Ortega (Chief Supervisory Officer) no longer on Schedule A of B. Riley Wealth Advisors, Inc.
Form ADVobserved 7 days ago
Occurred
Aug 29, 2022
Person left
Natalia Tovar Watson (Treasurer) no longer on Schedule A of B. Riley Wealth Advisors, Inc.
Form ADVobserved 7 days ago
Occurred
Aug 29, 2022
Person left
William Lawrence Groeneveld (Executive Vice President. Chief Compliance Officer) no longer on Schedule A of B. Riley Wealth Advisors, Inc.
Form ADVobserved 7 days ago
Occurred
Aug 1, 2022
Person joined
Marcus Anthony Arneaud joined Schedule A of B. Riley Wealth Advisors, Inc. as Chief Compliance Officer
Form ADVobserved 7 days ago
Occurred
Aug 1, 2022
Person joined
Philip Richard Zanone joined Schedule A of B. Riley Wealth Advisors, Inc. as Chief Operating Officer
Form ADVobserved 7 days ago
Occurred
Aug 1, 2022
Person joined
Charles Peter Hastings joined Schedule A of B. Riley Wealth Advisors, Inc. as Co-Chief Executive Officer
Form ADVobserved 7 days ago
Occurred
Aug 1, 2022
Person joined
Michael Markunas joined Schedule A of B. Riley Wealth Advisors, Inc. as General Counsel
Form ADVobserved 7 days ago
Occurred
Aug 1, 2022
Person joined
Mary Ann Swain joined Schedule A of B. Riley Wealth Advisors, Inc. as Chief Financial Officer
Form ADVobserved 7 days ago
Occurred
Dec 23, 2021
Person left
Glenn Charles Worman (Director) no longer on Schedule A of B. Riley Wealth Advisors, Inc.
Form ADVobserved 7 days ago
Occurred
Oct 20, 2021
Person left
Harold Gerard Chaffee (Chief Compliance Officer) no longer on Schedule A of B. Riley Wealth Advisors, Inc.
Form ADVobserved 7 days ago

Show 25 bookkeeping events

Occurred
Dec 23, 2021
Fund 805-7408196133 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 23, 2021
Fund 805-1035142942 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 23, 2021
Fund 805-7709200735 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 23, 2021
Fund 805-8674460828 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 23, 2021
Fund 805-4843155407 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 23, 2021
Fund 805-6575482730 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 23, 2021
Fund 805-2266755907 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 23, 2021
Fund 805-1963910028 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 23, 2021
Fund 805-8299585200 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 23, 2021
Fund 805-2593013248 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 23, 2021
Fund 805-2695392989 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 23, 2021
Fund 805-2987699435 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 23, 2021
Fund 805-9507894959 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 26, 2020
Innovation X Holdings V, LLC first reported on Form ADV by B. Riley Wealth Advisors, Inc. (Private Equity Fund), GAV $11,080,155
Occurred
Dec 26, 2020
Innovation X Holdings IV, LLC first reported on Form ADV by B. Riley Wealth Advisors, Inc. (Private Equity Fund), GAV $2,701,571
Occurred
Dec 26, 2020
Innovation X Holdings Series 2020-2 Qp, LLC first reported on Form ADV by B. Riley Wealth Advisors, Inc. (Private Equity Fund), GAV $27,587,228
Occurred
Dec 26, 2020
Innovation X Holdings Series 2020-1 Qp, LLC first reported on Form ADV by B. Riley Wealth Advisors, Inc. (Private Equity Fund), GAV $138,027,673
Occurred
Dec 26, 2020
NAM Special Situations Fund VII, LLC first reported on Form ADV by B. Riley Wealth Advisors, Inc. (Private Equity Fund), GAV $621,210
Occurred
Dec 26, 2020
Fund 805-3635568056 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 26, 2020
Fund 805-2522256194 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 26, 2020
Fund 805-3455823648 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 26, 2020
Fund 805-3659201726 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 26, 2020
Fund 805-2477144111 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 26, 2020
Fund 805-3755794165 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.
Occurred
Dec 26, 2020
Fund 805-2818582257 no longer reported on Form ADV by B. Riley Wealth Advisors, Inc.

Who to call

the organisation, the role and the published line, with the filing or website that published it; revealed to signed-in accounts

The firm's published line

Revealable: 1 business phone (Form ADV), 1 office address (Form ADV), 1 website (Form ADV) · as of 2026-09-13

Also named here, with no published line of their own (reach them through the firm): Thomas David Kowalczyk (President), Philip Richard Zanone (Chief Operating Officer), Mary Ann Swain (Chief Financial Officer), Marcus Anthony Arneaud (Chief Compliance Officer), Michael Anthony Mullen (Chief Executive Officer).

Who to call is the organisation, the person's role and the line they published themselves: a business phone, office address, website or profile link from Form ADV, Form 13F or their own website, with that source named on every value. The counts above are what a reveal returns; a personal email is rarely published, so most reveals are the firm's line. Never data bought from a provider, never anything personal. Reveals by plan