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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

B. RILEY ASSET MANAGEMENT, LLC

CRD 157160

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:65a3142d-7dc0-c47d-d7be-c1648c58bd47

Data as of Feb 17, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Nov 18, 2013 to Feb 17, 2015
8 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $22.5MItem 5.F on the latest filing (2015-02-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $22.5M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 3
Accounts: 7
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $11.4Mgross asset value as reported per fund; never fund size
Custody, client assets: $839,111
SEC number: 801-78852
CRD: 157160
Filings on the tape: 8
First filed: Nov 18, 2013
Latest filed: Feb 17, 2015
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B. RILEY FINANCIAL, INC.	Owner	E	yes	08/2014	Nov 5, 2014	Feb 17, 2015
KELLEHER, THOMAS, JOHN	Member	Na	yes	04/2013	Nov 18, 2013	Feb 17, 2015
PETCHENICK, ALLISON, VIRGINIA	CHIEF COMPLIANCE OFFICER	Na	yes	04/2013	Nov 18, 2013	Feb 17, 2015
RILEY, BRYANT, RICHARD	MANAGING MEMBER	Na	yes	04/2013	Nov 18, 2013	Feb 17, 2015
MCCOY, MICHAEL, RICHARD	CHIEF FINANCIAL OFFICER	Na	no	04/2013	Nov 18, 2013	Feb 17, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MK CAPITAL ADVISORS, LLC	n/a	Former SEC adviser	$200M	N	yes	n/a
B. RILEY & CO., LLC	n/a	n/a	n/a	N	yes	n/a
BRAM-NC, LLC	n/a	n/a	n/a	Y	yes	n/a
RILEY INVESTMENT MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Feb 17, 2015	$22.5M	$22.5M	7	3	n/a	2	$11.4M
2013	Mar 28, 2014	$21.5M	$21.5M	7	3	n/a	2	$11.2M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$22.5M	$21.5M	4.3%	n/a	n/a	7	7	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B. RILEY CAPITAL MANAGEMENT	2	Jun 23, 2015	Sep 30, 2015	LOS ANGELES, CA	Channel change	Other	100.0%

Relationships

Affiliated with (1)

→ B. RILEY CAPITAL MANAGEMENTRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (4)

← RILEY, BRYANT, RICHARDOwnerMANAGING MEMBER, ownership code NA, individual
Nov 18, 2013 to presentfactForm ADV
← KELLEHER, THOMAS, JOHNOwnerMEMBER, ownership code NA, individual
Nov 18, 2013 to presentfactForm ADV
← PETCHENICK, ALLISON, VIRGINIAOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 18, 2013 to presentfactForm ADV
← B. RILEY FINANCIAL, INC.OwnerOWNER, ownership code E, domestic entity
Nov 5, 2014 to presentfactForm ADV

Owns (1)

← MCCOY, MICHAEL, RICHARDOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Nov 18, 2013 to presentfactForm ADV

Moved with (1)

→ B. RILEY CAPITAL MANAGEMENTRegistered adviser2 advisors, team lift out, same day
Jun 23, 2015 to Sep 30, 2015factForm ADV

Registered with (2)

← THOMAS JOHN KELLEHERAdvisorregistration: previous registration
Jan 2, 2014 to Jun 23, 2015factForm ADV
← CHARLES PETER HASTINGSAdvisorregistration: previous registration
Jan 2, 2014 to Jun 23, 2015factForm ADV

Dated events

Occurred
Nov 18, 2013
First Form ADV filing
B. Riley Asset Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:65a3142d-7dc0-c47d-d7be-c1648c58bd47
First observed: Nov 18, 2013
Last observed: Feb 17, 2015 141 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

B. RILEY ASSET MANAGEMENT, LLC

CRD 157160

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:65a3142d-7dc0-c47d-d7be-c1648c58bd47

Data as of Feb 17, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:54 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

B. RILEY FINANCIAL, INC.

Owner

yes

08/2014

Nov 5, 2014

Feb 17, 2015

KELLEHER, THOMAS, JOHN

Member

yes

04/2013

Nov 18, 2013

Feb 17, 2015

PETCHENICK, ALLISON, VIRGINIA

CHIEF COMPLIANCE OFFICER

yes

04/2013

Nov 18, 2013

Feb 17, 2015

RILEY, BRYANT, RICHARD

MANAGING MEMBER

yes

04/2013

Nov 18, 2013

Feb 17, 2015

MCCOY, MICHAEL, RICHARD

CHIEF FINANCIAL OFFICER

04/2013

Nov 18, 2013

Feb 17, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MK CAPITAL ADVISORS, LLC

n/a

Former SEC adviser

$200M

yes

n/a

B. RILEY & CO., LLC

n/a

yes

n/a

BRAM-NC, LLC

n/a

yes

n/a

RILEY INVESTMENT MANAGEMENT LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Feb 17, 2015

$22.5M

n/a

$11.4M

2013

Mar 28, 2014

$21.5M

n/a

$11.2M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$22.5M

$21.5M

4.3%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

B. RILEY CAPITAL MANAGEMENT

Jun 23, 2015

Sep 30, 2015

LOS ANGELES, CA

Channel change

Other

100.0%