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B RILEY WEALTH MANAGEMENT, INC., CRD 2543
MEMPHIS, TN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B. RILEY FINANCIAL, INC. | Parent | E | yes | 04/2021 | Aug 2, 2017 | Mar 31, 2022 |
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | E | yes | 12/1997 | Jul 11, 2019 | Mar 31, 2022 |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | Na | yes | 07/2002 | Mar 26, 2012 | Mar 31, 2022 |
| BR FINANCIAL HOLDINGS, LLC | Parent | E | yes | 04/2021 | Mar 31, 2022 | Mar 31, 2022 |
| HASTINGS, CHARLES PETER | CHIEF EXECUTIVE OFFICER | Na | yes | 08/2020 | Feb 3, 2020 | Mar 31, 2022 |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | Na | yes | 12/2019 | Feb 3, 2020 | Mar 31, 2022 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | Na | yes | 02/2019 | Mar 25, 2019 | Mar 31, 2022 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | Na | yes | 12/1997 | Mar 26, 2012 | Mar 31, 2022 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| NATIONAL ASSET MANAGEMENT, INC. | n/a | Bd affiliated wealth | $4.2B | N | yes | n/a |
| WUNDERLICH CAPITAL MANAGEMENT, LLC | n/a | Former SEC adviser | $231M | N | yes | n/a |
| B. RILEY CAPITAL MANAGEMENT, LLC | n/a | Former SEC adviser | $200M | N | yes | n/a |
| B. RILEY WEALTH SUB-ADVISERS, LLC | n/a | Mixed wealth | $148M | N | yes | n/a |
| B. RILEY ASSET MANAGEMENT LLC | n/a | Former SEC adviser | $142M | N | yes | n/a |
| B. RILEY WEALTH PRIVATE SHARES, LLC | n/a | Asset manager | $47.6M | N | yes | n/a |
| B. RILEY SECURITIES, INC. | n/a | n/a | n/a | N | yes | n/a |
| B. RILEY WEALTH TAX SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| FOCALPOINT SECURITIES, LLC | n/a | n/a | n/a | N | yes | n/a |
| NATIONAL INSURANCE CORPORATION | n/a | n/a | n/a | N | yes | n/a |
| NATIONAL SECURITIES CORPORATION | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Chicago | IL | United States | 21 | yes |
| NEW YORK | NY | United States | 16 | yes |
| Dallas | TX | United States | 11 | yes |
| Houston | TX | United States | 10 | yes |
| Beachwood | Oh | United States | 9 | yes |
| Devon | Pa | United States | 9 | yes |
| Nashville | Tn | United States | 8 | yes |
| MAYFIELD HEIGHTS | Oh | United States | 5 | yes |
| Franklin | Tn | United States | 5 | yes |
| Memphis | Tn | United States | 5 | yes |
| LOS ANGELES | CA | United States | 4 | yes |
| Warrenton | Va | United States | 4 | yes |
| Miami | FL | United States | 3 | yes |
| Lafayette | La | United States | 3 | yes |
| Brighton | Mi | United States | 3 | yes |
| Arlington | Va | United States | 3 | yes |
| Irvine | CA | United States | 2 | yes |
| Palatine | IL | United States | 2 | yes |
| Marshall | Mi | United States | 2 | yes |
| Plymouth | Mi | United States | 2 | yes |
| Parsippany | Nj | United States | 2 | yes |
| Tulsa | Ok | United States | 2 | yes |
| Ocala | FL | United States | 1 | yes |
| Toledo | Oh | United States | 1 | yes |
| Chapin | Sc | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2021 | Mar 31, 2022 | $4.1B | $3.2B | 250 | 207 | 42 | n/a | n/a |
| 2020 | Apr 1, 2021 | $4.2B | $3.4B | 260 | 230 | 53 | n/a | n/a |
| 2019 | May 5, 2020 | $2.7B | $2.0B | 250 | 180 | 42 | n/a | n/a |
| 2018 | Apr 1, 2019 | $2.2B | $1.6B | 289 | 208 | 44 | n/a | n/a |
| 2017 | Aug 2, 2017 | $1.6B | $687M | 394 | 225 | n/a | n/a | n/a |
| 2016 | Aug 8, 2016 | $1.6B | $569M | 467 | 246 | n/a | n/a | n/a |
| 2015 | Aug 14, 2015 | $1.5B | $595M | 527 | 243 | n/a | n/a | n/a |
| 2014 | Aug 1, 2014 | $1.1B | $404M | 499 | 204 | n/a | n/a | n/a |
| 2013 | Sep 30, 2013 | $807M | $271M | 496 | 201 | n/a | n/a | n/a |
| 2012 | Sep 25, 2012 | $611M | $107M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2021 | $4.1B | $4.2B | -1.2% | $2.2B | 23.6% | 250 | 260 | 42 | 53 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| HERITAGE WEALTH MANAGEMENT, LLC | 2 | Dec 31, 2022 | Jul 16, 2014 | PALATINE, IL | Team lift out | Other | 1.9% |
| B. RILEY WEALTH ADVISORS, INC. | 3 | Oct 25, 2022 | Aug 25, 2022 | NASHVILLE, TN | Team lift out | Ibd to ibd | 2.7% |
| B. RILEY WEALTH ADVISORS, INC. | 2 | Sep 15, 2022 | Aug 26, 2022 | MEMPHIS, TN | Team lift out | Ibd to ibd | 1.8% |
| WEDBUSH SECURITIES INC. | 3 | Apr 20, 2021 | May 31, 2022 | HOUSTON, TX | Team lift out | Ibd to ibd | 2.5% |
| COMMONWEALTH FINANCIAL NETWORK | 2 | Dec 13, 2019 | Dec 2, 2019 | ST LOUIS, MO | Team lift out | Ibd to ibd | 1.7% |
| NATIONS FINANCIAL GROUP, INC. | 2 | Jul 2, 2019 | Jul 1, 2019 | CHICAGO, IL | Team lift out | Ibd to RIA | 1.7% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Apr 2, 2018 | Apr 10, 2018 | BIRMINGHAM, MI | Team lift out | Other | 1.6% |
| SANDERS MORRIS LLC | 2 | May 8, 2017 | May 9, 2017 | HOUSTON, TX | Team lift out | Other | 1.6% |
| IPG INVESTMENT ADVISORS, LLC | 2 | Sep 13, 2016 | Sep 14, 2016 | NEW YORK, NY | Team lift out | Other | 1.5% |
| MAXIM FINANCIAL ADVISORS LLC | 2 | Aug 12, 2016 | Oct 16, 2017 | NEW YORK, NY | Team lift out | Other | 1.5% |
| WADDELL & REED | 2 | May 17, 2016 | May 18, 2016 | MEMPHIS, TN | Team lift out | Other | 1.5% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| TRUIST ADVISORY SERVICES, INC. | 4 | Jul 27, 2021 | Jul 27, 2021 | ATLANTA, GA | Team lift out | Ibd to ibd | 0.2% |
| FIDUCIARY FINANCIAL SERVICES WEALTH MANAGEMENT | 2 | Nov 18, 2020 | Jan 22, 2020 | DALLAS, TX | Team lift out | RIA to ibd | 100.0% |
| WELLS FARGO ADVISORS | 2 | Oct 13, 2020 | Oct 9, 2020 | SAN FRANCISCO, CA | Team lift out | Wirehouse to ibd | 0.1% |
| WELLS FARGO ADVISORS | 2 | Aug 10, 2020 | Aug 10, 2020 | IRVINE, CA | Team lift out | Wirehouse to ibd | 0.1% |
| STIFEL, NICOLAUS & COMPANY, INCORPORATED | 3 | Feb 28, 2020 | Feb 24, 2020 | CONSHOHOCKEN, PA | Team lift out | Ibd to ibd | 0.1% |
| OPPENHEIMER & CO. INC. | 2 | Jan 26, 2018 | Feb 20, 2018 | LOS ANGELES, CA | Team lift out | Other | 0.2% |
| HILLTOP SECURITIES INC. | 3 | Oct 7, 2015 | Sep 18, 2015 | HOUSTON, TX | Team lift out | Other | 2.7% |
| MORGAN STANLEY | 2 | Feb 27, 2015 | Feb 13, 2015 | FRANKLIN, TN | Team lift out | Other | 0.0% |
| DOMINICK & DOMINICK LLC | 5 | Jan 26, 2015 | Feb 12, 2015 | MIAMI, FL | Team lift out | Other | 20.0% |
| DOMINICK & DOMINICK LLC | 10 | Jan 26, 2015 | Feb 10, 2015 | NEW YORK, NY | Team lift out | Other | 40.0% |