DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

THOMAS JOHN KELLEHER

Advisor at B. RILEY WEALTH PRIVATE SHARES

Los Angeles, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5d26a1e8-91c9-1cd9-4a05-853da460fc64

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 1
Observed: Oct 11, 2002 to Sep 14, 2026

Across DFX

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

Private Equityidentity

Thomas John Kelleher

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

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

Current firm: B. RILEY WEALTH PRIVATE SHARES
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Jul 8, 1997
First registration: Oct 11, 2002
Dual registered: yes, broker-dealer
Other names: TOM KELLEHER
IAPD individual key: 2881063

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
B. RILEY WEALTH PRIVATE SHARES	Asset manager	Nov 21, 2025	n/a	yes	Los Angeles, CA	Current employment
B. RILEY CAPITAL MANAGEMENT	Former SEC adviser	Sep 30, 2015	Mar 27, 2025	no	LOS ANGELES, CA	Previous registration
B. RILEY ASSET MANAGEMENT, LLC	Former SEC adviser	Jan 2, 2014	Jun 23, 2015	no	LOS ANGELES, CA	Previous registration
B. RILEY & CO., LLC	n/a	Mar 14, 2008	Apr 16, 2014	no	NEWPORT BEACH, CA\|NEW YORK, NY\|LOS ANGELES, CA\|LOS ANGELES, CA\|Woodland Hills, CA	Previous registration
RILEY INVESTMENT MANAGEMENT	n/a	Oct 11, 2002	Jul 4, 2015	no	LOS ANGELES, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
B. RILEY CAPITAL MANAGEMENT	B. RILEY WEALTH PRIVATE SHARES	Mar 27, 2025	Nov 21, 2025	239	Firm change	Other
RILEY INVESTMENT MANAGEMENT	B. RILEY & CO., LLC	Jul 4, 2015	Mar 14, 2008	-2,668	Firm change after gap	Other
B. RILEY ASSET MANAGEMENT, LLC	B. RILEY CAPITAL MANAGEMENT	Jun 23, 2015	Sep 30, 2015	99	Channel change	Other
B. RILEY & CO., LLC	B. RILEY ASSET MANAGEMENT, LLC	Apr 16, 2014	Jan 2, 2014	-104	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
157160:160510:CA:2015-06-23	Jun 23, 2015	Sep 30, 2015	LOS ANGELES, CA	Firm change

Relationships

Registered with (5)

→ B. RILEY WEALTH PRIVATE SHARESRegistered adviserregistration: current employment
Nov 21, 2025 to presentfactForm ADV
→ B. RILEY CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Sep 30, 2015 to Mar 27, 2025factForm ADV
→ RILEY INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Oct 11, 2002 to Jul 4, 2015factForm ADV
→ B. RILEY ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 2, 2014 to Jun 23, 2015factForm ADV
→ B. RILEY & CO., LLCRegistered adviserregistration: previous registration
Mar 14, 2008 to Apr 16, 2014factForm ADV

Dated events

Occurred
Mar 27, 2025
Advisor changed firm
Thomas John Kelleher left B. Riley Capital Management for B. Riley Wealth Private Shares (registered 2025-11-21)
Form ADVobserved 4 days ago