0001615774-17-006565.txt : 20171113 0001615774-17-006565.hdr.sgml : 20171113 20171113170235 ACCESSION NUMBER: 0001615774-17-006565 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171113 DATE AS OF CHANGE: 20171113 EFFECTIVENESS DATE: 20171113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: B. Riley Financial, Inc. CENTRAL INDEX KEY: 0001464790 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 270223495 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17148 FILM NUMBER: 171196885 BUSINESS ADDRESS: STREET 1: 21255 BURBANK BLVD. STREET 2: SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 BUSINESS PHONE: 818-884-3737 MAIL ADDRESS: STREET 1: 21255 BURBANK BLVD. STREET 2: SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 FORMER COMPANY: FORMER CONFORMED NAME: Great American Group, Inc. DATE OF NAME CHANGE: 20090522 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001464790 XXXXXXXX 09-30-2017 09-30-2017 false B. Riley Financial, Inc.

21255 Burbank Blvd. Suite 400 Woodland Hills CA 91367

13F COMBINATION REPORT 028-17148 0001079373 028-03991 FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC /TX N Michael Markunas 310-689-2220 /s/ Michael Markunas Los Angeles CA 11-13-2017 1 391 366415 1 0001658704 028-17147 B. RILEY CAPITAL MANAGEMENT, LLC INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 205 3848 SH DFND 0 0 3848 ABBOTT LABS COM 002824100 46 853 SH DFND 1 0 853 0 ACACIA RESH CORP ACACIA TCH COM 003881307 1428 313800 SH DFND 1 0 313800 0 AMAZON COM INC COM 023135106 1371 1426 SH DFND 0 0 1426 AMAZON COM INC COM 023135106 96 100 SH DFND 1 0 100 0 APOLLO SR FLOATING RATE FD I COM 037636107 753 44973 SH DFND 1 0 44973 0 APOLLO TACTICAL INCOME FD IN COM 037638103 394 24333 SH DFND 1 0 24333 0 APPLE INC COM 037833100 1589 10311 SH DFND 1 0 10311 0 APPLE INC COM 037833100 869 5640 SH DFND 0 0 5640 ARCH COAL INC CL A 039380407 215 3000 SH DFND 0 3000 0 ARENA PHARMACEUTICALS INC COM NEW 040047607 204 8000 SH DFND 1 0 8000 0 ARENA PHARMACEUTICALS INC COM NEW 040047607 0 10 SH DFND 0 0 10 BRT RLTY TR SH BEN INT NEW 055645303 939 87631 SH DFND 1 0 87631 0 BAZAARVOICE INC COM 073271108 1414 278095 SH DFND 1 0 278095 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 275 1 SH DFND 1 0 1 0 BERKSHIRE 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SH DFND 1 0 134048 0 HEALTH INS INNOVATIONS INC COM CL A 42225K106 5873 405000 SH DFND 1 0 405000 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 814 55312 SH DFND 1 0 55312 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 4 253 SH DFND 0 0 253 HORNBECK OFFSHORE SVCS INC N NOTE 1.500% 9/0 440543AN6 195 250000 PRN DFND 0 250000 0 INSEEGO CORP NOTE 5.500% 6/1 45782BAA2 657 820000 PRN DFND 0 820000 0 INVUITY INC COM NEW 46187J205 2662 299096 SH DFND 1 0 299096 0 ISHARES TR FLTG RATE BD ETF 46429B655 3147 61772 SH DFND 1 0 61772 0 ISHARES TR MIN VOL EAFE ETF 46429B689 705 9918 SH DFND 1 0 9918 0 ISHARES TR MIN VOL USA ETF 46429B697 1071 21269 SH DFND 1 0 21269 0 ISHARES TR CORE MSCI EAFE 46432F842 659 10275 SH DFND 1 0 10275 0 ISHARES INC CORE MSCI EMKT 46434G103 265 4909 SH DFND 0 0 4909 ITERIS INC COM 46564T107 1371 203486 SH DFND 1 0 203486 0 J JILL INC COM 46620W102 109 10000 SH DFND 1 0 10000 0 JPMORGAN CHASE & CO COM 46625H100 195 2037 SH DFND 0 0 2037 JPMORGAN CHASE & CO COM 46625H100 30 312 SH DFND 1 0 312 0 KBL MERGER CORP IV UNIT 01/15/2024 48242A203 408 40000 SH DFND 1 0 40000 0 KAYNE ANDERSON ACQUISITION COM CL A 48661U102 2047 209998 SH DFND 1 0 209998 0 KAYNE ANDERSON ACQUISITION *W EXP 06/30/202 48661U110 50 66666 SH DFND 1 0 66666 0 KRATOS DEFENSE & SEC SOLUTIONS COM NEW 50077B207 1237 94544 SH DFND 1 0 94544 0 LADENBURG THALMAN FIN SVCS I COM 50575Q102 233 81050 SH DFND 1 0 81050 0 LONESTAR RES US INC CL A VTG 54240F103 3135 893275 SH DFND 1 0 893275 0 LUMENTUM HLDGS INC COM 55024U109 1287 23349 SH DFND 1 0 23349 0 MCBC HLDGS INC COM 55276F107 4872 239071 SH DFND 1 0 239071 0 MCBC HLDGS INC COM 55276F107 510 25000 SH DFND 0 25000 0 M I ACQUISITIONS INC COM 55304A104 217 21500 SH DFND 1 0 21500 0 MANPOWERGROUP INC COM 56418H100 441 3740 SH DFND 0 0 3740 MATLIN & PARTNERS ACQUISITIO CL A 57682V106 971 100000 SH DFND 1 0 100000 0 MATLIN & PARTNERS ACQUISITIO *W EXP 03/15/202 57682V114 35 100000 SH DFND 1 0 100000 0 MERCK & CO INC COM 58933Y105 253 3959 SH DFND 0 0 3959 MERCK & CO INC COM 58933Y105 55 852 SH DFND 1 0 852 0 MONEYGRAM INTL INC COM NEW 60935Y208 403 25000 SH Put DFND 1 0 25000 0 MONSANTO CO NEW COM 61166W101 846 7062 SH DFND 0 5000 2062 NATURAL RESOURCE PARTNERS L COM UNIT LTD PAR 63900P608 990 40000 SH Call DFND 1 0 40000 0 NETFLIX INC COM 64110L106 437 2410 SH DFND 0 0 2410 NETSCOUT SYS INC COM 64115T104 1244 38196 SH DFND 1 0 38196 0 NETLIST INC COM 64118P109 420 571907 SH DFND 1 0 571907 0 NUMEREX CORP PA CL A 67053A102 152 40000 SH DFND 0 40000 0 NVIDIA CORP COM 67066G104 1031 5766 SH DFND 0 0 5766 NUVEEN BUILD AMER BD FD COM 67074C103 533 24823 SH DFND 1 0 24823 0 NUVEEN HIGH INCOME 2020 TARG COM 67075L102 690 68268 SH DFND 0 0 68268 NUVEEN CR OPPORTUNITIES 2022 COM 67075U102 763 77425 SH DFND 0 0 77425 NUVEEN HIGH INCOME NOVEMBER COM COM 67077N106 1290 128116 SH DFND 0 0 128116 O REILLY AUTOMOTIVE INC NEW COM 67103H107 238 1107 SH DFND 0 0 1107 OCLARO INC COM NEW 67555N206 172 19940 SH DFND 1 0 19940 0 OPKO HEALTH INC COM 68375N103 73 10700 SH DFND 0 0 10700 PAYPAL HLDGS INC COM 70450Y103 228 3555 SH DFND 0 0 3555 PENNANTPARK FLOATING RATE CA COM 70806A106 2635 181985 SH DFND 1 0 181985 0 PHYSICIANS RLTY TR COM 71943U104 313 17638 SH DFND 0 0 17638 PIMCO ETF TR LOW DURTN AC ETF 72201R718 2204 21803 SH DFND 1 0 21803 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 7875 77361 SH DFND 1 0 77361 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 1423 13983 SH DFND 0 0 13983 PIMCO ETF TR SHTRM MUN BD ACT 72201R874 200 3972 SH DFND 1 0 3972 0 PLATFORM SPECIALTY PRODS COR COM 72766Q105 669 60000 SH DFND 1 0 60000 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1160 7978 SH DFND 1 0 7978 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 87 596 SH DFND 0 0 596 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 35083 241200 SH Put DFND 1 0 241200 0 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 187 12125 SH DFND 0 0 12125 POWERSHARES ETF TRUST HI YLD EQ DVDN 73935X302 1638 95486 SH DFND 0 0 95486 POWERSHARES ETF TRUST GOLDEN DRG CHINA 73935X401 269 6225 SH DFND 0 0 6225 POWERSHARES ETF TRUST DYN BIOT & GEN 73935X856 305 6102 SH DFND 1 0 6102 0 POWERSHARES ETF TRUST II CEF INC COMPST 73936Q843 212 8830 SH DFND 1 0 8830 0 POWERSHARES ETF TR II PFD PORTFOLIO 73936T565 758 50425 SH DFND 1 0 50425 0 PRIMO WTR CORP COM 74165N105 1234 105920 SH DFND 1 0 105920 0 PROSHARES TR PSHS LC COR PLUS 74347R248 382 6101 SH DFND 0 0 6101 PROSHARES TR S&P 500 DV ARIST 74348A467 217 3642 SH DFND 0 0 3642 RUBICON PROJ INC COM 78112V102 288 74000 SH DFND 1 0 74000 0 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 2570 26903 SH DFND 0 0 26903 SPDR S&P 500 ETF TR TR UNIT 78462F103 1804 7180 SH DFND 1 0 7180 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1063 4229 SH DFND 0 0 4229 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 918 19968 SH DFND 1 0 19968 0 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 723 14598 SH DFND 0 0 14598 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 669 17676 SH DFND 0 0 17676 SPDR SERIES TRUST BLMBRG BRC CNVRT 78464A359 362 7091 SH DFND 0 0 7091 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 309 8278 SH DFND 0 0 8278 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 2 64 SH DFND 1 0 64 0 SPDR SERIES TRUST DJ REIT ETF 78464A607 361 3906 SH DFND 0 0 3906 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 5461 24400 SH DFND 0 0 24400 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 580 2592 SH DFND 1 0 2592 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1075 3293 SH DFND 0 0 3293 SPDR SER TR NUVEEN BRC MUNIC 78468R721 208 4250 SH DFND 0 0 4250 SANOFI RIGHT 12/31/2020 80105N113 42 115566 SH DFND 0 115566 0 SANOFI RIGHT 12/31/2020 80105N113 0 17 SH DFND 1 0 17 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 274 3351 SH DFND 0 0 3351 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 134 1635 SH DFND 1 0 1635 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 310 3440 SH DFND 1 0 3440 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 107 1193 SH DFND 0 0 1193 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 725 28040 SH DFND 0 0 28040 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 5 184 SH DFND 1 0 184 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 345 5842 SH DFND 0 0 5842 SELECT ENERGY SVCS INC CL A COM 81617J301 1512 95000 SH DFND 1 0 95000 0 SELECT ENERGY SVCS INC CL A COM 81617J301 521 32747 SH DFND 0 32747 0 SENSUS HEATLHCARE INC COM 81728J109 111 22300 SH DFND 1 0 22300 0 SENSUS HEATLHCARE INC *W EXP 06/08/201 81728J117 134 231256 SH DFND 1 0 231256 0 SHOPIFY INC CL A 82509L107 483 4150 SH DFND 0 0 4150 SKYWORKS SOLUTIONS INC COM 83088M102 1243 12272 SH DFND 1 0 12272 0 SOLAR CAP LTD COM 83413U100 201 9290 SH DFND 1 0 9290 0 SOLAR SR CAP LTD COM 83416M105 4720 273933 SH DFND 1 0 273933 0 SOUTHCROSS ENERGY PARTNERS L COM UNIT LTDPT 84130C100 114 48370 SH DFND 0 0 48370 TEMPUR SEALY INTL INC COM 88023U101 5484 85000 SH DFND 1 0 85000 0 TIVO CORP COM 88870P106 1167 59861 SH DFND 1 0 59861 0 TORTOISE MLP FD INC COM 89148B101 873 48185 SH DFND 1 0 48185 0 TRUECAR INC COM 89785L107 1169 77351 SH DFND 1 0 77351 0 USANA HEALTH SCIENCES INC COM 90328M107 2005 34747 SH DFND 1 0 34747 0 USANA HEALTH SCIENCES INC COM 90328M107 2885 50000 SH Put DFND 1 0 50000 0 URBAN EDGE PPTYS COM 91704F104 348 14422 SH DFND 1 0 14422 0 VANECK VECTORS ETF TR BIOTECH ETF 92189F726 217 1619 SH DFND 1 0 1619 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3557 44393 SH DFND 1 0 44393 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1045 13037 SH DFND 0 0 13037 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 790 8391 SH DFND 1 0 8391 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 2764 31404 SH DFND 1 0 31404 0 VENTAS INC COM 92276F100 217 3339 SH DFND 0 3300 39 VERIZON COMMUNICATIONS INC COM 92343V104 260 5248 SH DFND 0 0 5248 VERIZON COMMUNICATIONS INC COM 92343V104 92 1855 SH DFND 1 0 1855 0 VERSO CORP CL A 92531L207 218 42791 SH DFND 1 0 42791 0 VIASAT INC COM 92552V100 1352 21104 SH DFND 1 0 21104 0 VONAGE HLDGS CORP COM 92886T201 624 76700 SH DFND 1 0 76700 0 WILDHORSE RESOURCE DEV CORP COM 96812T102 437 32801 SH DFND 1 0 32801 0 WISDOMTREE TR GLB US QTLY DIV 97717W844 690 12222 SH DFND 1 0 12222 0 ATLANTIC ALLIANCE PARTNER CO SHS G04897107 1301 122381 SH DFND 1 0 122381 0 AVISTA HEALTHCARE PUB ACQ CO CL A G0726L125 1000 100000 SH DFND 1 0 100000 0 EATON CORP PLC SHS G29183103 250 3261 SH DFND 0 0 3261 FERROGLOBE PLC SHS G33856108 4732 359600 SH DFND 1 0 359600 0 GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 2496 250099 SH DFND 1 0 250099 0 GTY TECHNOLOGY HOLDINGS INC *W EXP 99/99/999 G4182A128 68 58333 SH DFND 1 0 58333 0 HERBALIFE LTD COM USD SHS G4412G101 814 12000 SH Put DFND 1 0 12000 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 2587 144275 SH DFND 1 0 144275 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 13 700 SH DFND 0 0 700 DHT HOLDINGS INC SHS NEW Y2065G121 490 123121 SH DFND 1 0 123121 0 GLOBAL SHIP LEASE INC NEW SHS A Y27183105 757 481914 SH DFND 1 0 481914 0 GLOBAL SHIP LEASE INC NEW SHS A Y27183105 10 6200 SH DFND 0 6200 0