B. Riley Wealth Advisors, Inc.

• A percentage of assets under your management
• Hourly charges
• Fixed fees (other than subscription fees)

Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ

See the firm's brochure (dated March 31, 2026) for its fees and any account minimum, on the SEC's IAPD site.

$4,211,631,082 as of October 2026, filing dated March 31, 2026.

A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means

A firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.

• Financial planning services
• Portfolio management for individuals and/or small businesses
• Portfolio management for businesses (other than small businesses) or institutional clients
• Pension consulting services
• Selection of other advisers (including private fund managers)
• Educational seminars/workshops

Also doing business as

B. RILEY WEALTH, BASTION FINANCIAL GROUP, BERGERON & PLAUCHE LLC, BIAS INVESTMENT SERVICES LLC, BLUE MOUNTAIN WEALTH MANAGEMENT, BOLLING WEALTH MANAGEMENT, BRIMMER FINANCIAL, CAM PRIVATE WEALTH SERVICES LLC, CONSILIENCE ASSET MANAGEMENT, EINSENHAUER WEALTH MANAGEMENT, EISNER WEALTH MANAGEMENT, ESSENTIAL ADVISORY SERVICES LLC, FINANCIAL CONSULTANT GROUP, GADBERRY FINANCIAL GROUP, HERITAGE FINANCIAL SOLUTIONS, HILTON HEAD ASSET MANAGEMENT GROUP, HUNTERS GATE CAPITAL, HYPERION WEALTH ADVISORS, INTEGRITY WEALTH ADVISORS, JADERLUND INVESTMENTS LLC, JBT WEALTH MANAGEMENT, KENNEY CAPITAL MANAGEMENT LLC, LANDING POINT ADVISORS, LEISCH FINANCIAL SERVICES, INC., LIFETIME ADVISORY, LODGE WEALTH MANAGEMENT, MARC-DEANGELO.COM, MERIDIAN FINANCIAL PARTNERS, MORRIS FINANCIAL SERVICES, NORTH SHORE WEALTH MANAGMENT LLC, OPES PRIVATE WEALTH MANAGEMENT, PINO WEALTH MANAGEMENT, PRICE WEALTH ADVISORY LLC, PRIME WEALTH MANAGMENT, SARNER WEALTH MANAGEMENT LLC, SISU WEALTH MANAGEMENT, STRATEGIC FAMILY CAPITAL, T.H.E. WEALTH MANAGEMENT, TRADE WINDS WEALTH MANAGEMENT

Registration

SEC-registered investment adviser. Status as filed: Approved.

Registered since

2005 (20 years)

Employees

Total: 268. Performing investment advisory functions: 172.

Wrap fee program participation

Yes.

Custodians (Schedule D, Section 5.K(3))

Fidelity Brokerage Services LLCNational Financial Services LLCWells Fargo Clearing Services, LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

Other offices (Schedule D, Section 1.F)

22 other offices, as of the April 2026 filing

Bluffton, SCBoston, MABuffalo, NYChicago, ILFairfield, CTLafayette, LALake Ronkonkoma, NYLittle Rock, ARLivingston, NJLos Angeles, CAMarshall, MIMemphis, TNNew York, NYOakbrook Terrace, ILPlainview, NYPoughkeepsie, NYQuakertown, PARed Bank, NJRidgewood, NJTampa, FLThe Woodlands, TXWestbury, NY

States registered or notice-filed

53 states or jurisdictions

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SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration

9 Reports 9 disclosure items on Form ADV Item 11. View on IAPD.

Questions answered yes on this filing

Regulatory matters Items 11.C to 11.G

• 11.C(1) Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
• 11.C(2) Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
• 11.C(4) Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
• 11.C(5) Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
• 11.D(2) Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
• 11.D(4) In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
• 11.D(5) Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?
• 11.E(2) Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?
• 11.E(4) Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. What happened, and who was involved, is on the Disclosure Reporting Pages of the IAPD record. Reading a firm's disclosures

Regulatory assets under management: $4,889,886,592 in the October 2021 data and $4,211,631,082 in the October 2026 data, down 14%.

Total employees: 324 in October 2021 and 268 in October 2026.

As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.

1. April 2026
   • No longer lists the business name Oasis Asset Management Group.
   • No longer lists the business name Pirro Financial Group LLC.
   • No longer lists the business name Gibson Financial Group.
   • No longer lists the business name JPS Wealth Management.
   • No longer lists the business name Wealth(k)are.
   • Added the business name Leisch Financial Services, Inc..
   • Added the business name Jaderlund Investments LLC.
   • Added the business name Lodge Wealth Management.
   • Added the business name Marc-Deangelo.com.
   • Item 11 disclosure answers changed: 9 yes answers, previously 10 (now no: 11.E(1)).
   • Employees performing advisory functions went from 274 to 172.
   • Regulatory assets under management went from $7,027,862,844 to $4,211,631,082 (-40%).
   • Changed its office addresses in Boston, MA.
   • Changed its office addresses in Chicago, IL.
   • Changed its office addresses in Red Bank, NJ.
   • Added an office in Buffalo, NY.
   • Added an office in Fairfield, CT.
   • Added an office in Lake Ronkonkoma, NY.
   • Added an office in Little Rock, AR.
   • Added an office in Livingston, NJ.
   • Added an office in Tampa, FL.
   • No longer lists an office in Beachwood, OH.
   • No longer lists an office in Boca Raton, FL.
   • No longer lists an office in Lubbock, TX.
   • No longer lists an office in Mayfield Heights, OH.
   • No longer lists an office in Mineola, NY.
   • No longer lists an office in New Windsor, NY.
   • No longer lists an office in New York, NY.
   • Updated its list of owners and control persons (Schedule A).
2. November 2025
   • No longer lists the business name RDL Wealth Management.
   • No longer lists the business name R.J. Campbell Investments LLC.
   • No longer lists the business name Horizon Monetary Management.
   • No longer lists the business name Hemlock Wealth Management.
   • No longer lists the business name Concord Financial Group LLC.
   • No longer lists the business name Advisium Wealth Management LLC.
   • Added the business name Eisner Wealth Management.

Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.