B. Riley Wealth Management

Broker-DealerFINRA MemberEst. 1984
Total AUM
—
Advisory reps
261
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 unit that has been SEC-registered since 1984 and is classified in the source data as an investment bank. The profile indicates the firm operates as a traditional advisory/brokerage-type entity rather than as a capital allocator or pension consultant. The data also flags the firm as not an active ESG investor; specific advisory models, fee schedules and client segmentation were not provided in the source material.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 54%, Exchange Traded Equities 37%, Cash & Cash Equivalents 4%, US Government Bonds 1%, State & Local Bonds 1%, Non-Investment Grade Corp Bonds 1%, Private Funds 1%, Other 1%54%
  • Public Funds/Mutual Funds54%
  • Exchange Traded Equities37%
  • Cash & Cash Equivalents4%
  • US Government Bonds1%
  • State & Local Bonds1%

Owners & executives

3 of 15
  • Michael Mullen

    Michael Mullen

    Chief Executive OfficerCRD 1428116

  • Joseph Koch

    Joseph Koch

    CEO and Managing DirectorCRD 1465209

  • Philip Zanone

    Philip Zanone

    Chief Operating OfficerCRD 2135221

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Contacts

3 of 246
  • James Baroutas

    James Baroutas

    Managing Director, InvestmentsCRD 1252613

  • John Cordera

    John Cordera

    Trading AnalystCRD 7879801

  • Charlotte Wallace

    Charlotte Wallace

    Compliance OfficerCRD 7304052

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 296

Active vs passive

$1B in ETFs

Passive

77%

$792M

Active

23%

$238M

ETFProviderStyleCategoryValueShares% of portfolio
INVESCO OPTIMUM YIELD DIVERSIFIED COMMODITY STRATEGY NO K-1 ETF (PDBC)InvescoActiveCommodities Broad Basket$130M1,066,17112.59%
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Location

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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