B. RILEY WEALTH MANAGEMENT

Broker-DealerFINRA MemberEst. 1984

Total AUM

—

Advisory reps

270

Avg account

$0

Firm details

Headquarters: MEMPHIS, Tennessee
CRD number: 2543
Registered since: February 15, 1984
Website: www.brileywealth.com

Firm profile

FINTRX

Overview

B. Riley Wealth Management is a corporate wealth-management organization that has been SEC-registered since 1984 and is classified in the snapshot as tied to an investment bank. The firm is not listed as a capital allocator and is not identified as an active ESG investor. Reporting indicates the firm relies on external managers rather than running proprietary alternative funds.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Public Funds/Mutual Funds54%
Exchange Traded Equities37%
Cash & Cash Equivalents4%
US Government Bonds1%
State & Local Bonds1%

Owners & executives

3 of 16

MICHAEL MULLEN
Chief Executive OfficerCRD 1428116
JOSEPH KOCH
CEO and Managing DirectorCRD 1465209
PHILIP ZANONE
Chief Operating OfficerCRD 2135221

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Contacts

3 of 254

JAMES BAROUTAS
Managing Director, InvestmentsCRD 1252613
John Cordera
Trading AnalystCRD 7879801
Charlotte Wallace
Compliance OfficerCRD 7304052

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 296

Active vs passive

$1B in ETFs

Passive

77%

$792M

Active

23%

$238M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
INVESCO OPTIMUM YIELD DIVERSIFIED COMMODITY STRATEGY NO K-1 ETF (PDBC)	Invesco	Active	Commodities Broad Basket	$130M	1,066,171	12.59%

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Primary office

MEMPHIS, TN

SHELBY

Location

MEMPHIS, TN

Headquartered in MEMPHIS, TN, anchoring the Memphis-Forrest City, TN-MS-AR metro in the South.

Metro area: Memphis-Forrest City, TN-MS-AR
Region: South
County: SHELBY
Address: 40 S Main St
Time zone: CT (UTC-6)
Office locations

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