B RILEY WEALTH MANAGEMENT
B RILEY WEALTH MANAGEMENT (CRD# 2543) is an SEC-Registered Investment Advisor (RIA), headquartered in Memphis, TN. The SEC approved the firm to operate as an RIA in Feb 2007. In Sep 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $1.9 Billion, and has discretion over 65% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 1% .
B RILEY WEALTH MANAGEMENT also reported in Sep 2018: 314 employees, with 225 performing advisory functions. A total of 24 office locations. Registration with one or more foreign financial regulatory authorities. NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
B RILEY WEALTH MANAGEMENT has one or more disclosure events currently on file with the SEC.
View B RILEY WEALTH MANAGEMENT's most recent Form ADV filing
B RILEY WEALTH MANAGEMENT has Notice Filings with the following State Securities Authorities: AK-Oct 2009, AL-Nov 2007, AR-Feb 2007, AZ-Feb 2007, CA-Feb 2007 , CO-Feb 2007, CT-Apr 2009, DC-Apr 2009, DE-Apr 2009, FL-Feb 2007 , GA-Feb 2007, HI-Oct 2009, IA-Apr 2009, ID-Apr 2009, IL-Feb 2007 , IN-Feb 2007, KS-Apr 2009, KY-Feb 2007, LA-Feb 2007, MA-Apr 2009 , MD-Apr 2009, ME-Apr 2009, MI-Oct 2009, MN-Dec 2007, MO-Feb 2007 , MS-Feb 2007, MT-Aug 2015, NC-Feb 2007, ND-Aug 2015, NE-Aug 2014 , NH-Apr 2009, NJ-Feb 2007, NM-Aug 2015, NV-Feb 2007, NY-Feb 2007 , OH-Feb 2007, OK-Apr 2009, OR-Feb 2007, PA-Feb 2007, PR-Sep 2018 , RI-Feb 2007, SC-Apr 2009, SD-Oct 2009, TN-Feb 2007, TX-Feb 2007 , UT-Aug 2015, VA-May 2007, VI-Mar 2010, VT-Aug 2015, WA-Apr 2009 , WI-Feb 2007, WV-Feb 2007, WY-Sep 2018
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