# B. RILEY WEALTH ADVISORS, INC.

B. RILEY WEALTH ADVISORS, INC. of MEMPHIS, TN is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 115927
- Type: SEC-registered investment adviser
- SEC file number: 801-64837
- Location: 40 S. MAIN ST., SUITE 1600, MEMPHIS, TN, 38103
- Phone: 901-251-1330
- Latest filing: 2026-03-31
- Regulatory AUM: $4.2B
- Discretionary AUM: $2.8B
- Non-discretionary AUM: $1.4B
- Clients: 268
- Accounts: 10,573

## Business model

- Compensation: % of AUM, Hourly, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities

## Officers, owners & control persons (43)

_Showing 25 of 43 people._

| Name | Role | Location |
| --- | --- | --- |
| Klein H David | DIRECTOR | Herndon, VA |
| Michael Anthony Mullen | CHIEF EXECUTIVE OFFICER | New York, NY |
| Mary Ann Swain | CHIEF FINANCIAL OFFICER | — |
| Philip Richard Zanone | CHIEF OPERATING OFFICER | — |
| Daniel Ortega | CHIEF COMPLIANCE OFFICER | Memphis, TN |
| Marcus Anthony Arneaud | CHIEF COMPLIANCE OFFICER | — |
| GUAGLIARDO ALICIA MARIA | CHIEF COMPLIANCE OFFICER AND CHIEF SUPERVISORY OFFICER | — |
| KAPLAN MARTIN EDWARD | PRESIDENT & CHIEF OPERATING OFFICER | — |
| RUNKLE DONALD KENNETH | CHIEF REGULATORY OFFICER; CHIEF SUPERVISORY OFFICER | — |
| GOLDWASSER MARK HARRY | CHIEF EXECUTIVE OFFICER; DIRECTOR; PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| FRIEDMAN BRIAN ARIE | DIRECTOR | — |
| TANG ANDREW | DIRECTOR OF OPERATIONS; TREASURER | — |
| CLARKIN KEVIN DAVID | PRESIDENT | — |
| SATRIAWAN LEO | DIRECTOR | — |
| GAY JULIE EILEEN | SECRETARY, CCO; SECRETARY, CHIEF COMPLIANCE OFFICER | — |
| ZANONE PHILIP RICHARD | CHIEF OPERATING OFFICER | — |
| ROTH JONATHAN DAVID | SECRETARY, DIRECTOR | — |
| WORMAN GLENN CHARLES | DIRECTOR; SECRETARY | — |
| CHAFFEE HAROLD GERARD | CHIEF COMPLIANCE OFFICER | — |
| LEVINE DAVID CHARLES | DIRECTOR; DIRECTOR OF BUSINESS DEVELOPMENT; EXECUTIVE VICE PRESIDENT (+1 more) | — |
| NAPOLITANO EDWARD JOSEPH | VICE PRESIDENT OF OPERATIONS | — |
| KOENIGSBERG JOHN A | DIRECTOR OF OPERATIONS | — |
| NASR SEYYED VALIALLAH | CHIEF EXECUTIVE OFFICER AND TREASURER; CHIEF EXECUTIVE OFFICER AND TREASURER, DIRECTOR; CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, TREASURER, AND DIRECTOR (+1 more) | — |
| LEVIN ALAN BRUCE | DIRECTOR; SECRETARY AND DIRECTOR; SECRETARY AND DIRECTOR AND TREASURER (+1 more) | — |
| SOKOLOW LEONARD JAY | DIRECTOR | — |


## Disclosures (114)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2019-03-11 | regulatory | THE SEC ALLEGED NATIONAL ASSET MANAGEMENT INC. (NAM) HELD 12B-1 SHARES FOR CLIENTS INSTEAD OF LOWER-COST, OTHERWISE IDENTICAL SHARES. THE 12B-1 SHARES PROVIDED ADDITIONAL FEES TO NAM AND ITS ADVISERS. THESE FEES WERE NOT PROPERLY DISCLOSED TO CLIENTS, THUS CREATING AN UNACCEPTABLE CONFLICT OF INTERE… | Final | — |
| 2015-10-26 | regulatory | FAILURE TO DISCLOSE AND OBTAIN CONSENT TO OVER 21,000 PRINCIPAL TRADES; FAILURE TO REPORT IN SEC FILINGS AND TIMELY DISCLOSE DISCIPLINARY HISTORIES OF SEVERAL ASSOCIATED PERSONS; FAILURE TO ENFORCE CODE OF ETHICS REGARDING PERSONAL SECURITIES TRADING REPORTS; FAILURE TO ADOPT AND IMPLEMENT CERTAIN C… | Final | $200K |
| — | regulatory | — | — | — |


## Branch offices (27)

_Showing 15 of 27 offices._

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| NEW YORK | NY | 11 | 212-409-2442 |
| CHICAGO | IL | 6 | 800-388-3851 |
| BOSTON | MA | 5 | (800) 556-8600 |
| PLAINVIEW | NY | 5 | 516-870-0809 |
| THE WOODLANDS | TX | 5 | 800-794-3125 |
| MEMPHIS | TN | 5 | 800-726-0557 |
| OAKBROOK TERRACE | IL | 4 | 630-993-9035 |
| CHICAGO | IL | 4 | 312-247-0718 |
| WESTBURY | NY | 4 | 516-408-3030 |
| POUGHKEEPSIE | NY | 4 | 845-485-3300 |
| RED BANK | NJ | 4 | 732-807-2353 |
| BLUFFTON | SC | 3 | 843-757-6639 |
| POUGHKEEPSIE | NY | 3 | 845-454-9000 |
| LITTLE ROCK | AR | 3 | 501-975-7100 |
| QUAKERTOWN | PA | 3 | 267-424-2961 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/115927/brochure
- Similar advisers: https://search.stillhousedata.com/firm/115927/similar
- Related entities: https://search.stillhousedata.com/firm/115927/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/115927

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.