# B. Riley Financial, Inc. — Form D

B. Riley Financial, Inc. of WOODLAND HILLS, CA, a company, filed a Form D exempt-offering notice with the SEC on 2014-06-30. The offering totals $35.2M, of which $35.2M was reported sold. Industry: Business Services.

## Offering

- Filed: 2014-06-30
- Form: D
- Accession: 0001607491-14-000012
- Industry: Business Services
- Exemptions: 06b
- Total offering: $35.2M
- Amount sold: $35.2M
- Investors: 2
- Date of first sale: 2014-06-18
- Security types: equity
- Revenue range: Decline to Disclose
- SEC file number: 021-220111

## Issuer

- Name: B. Riley Financial, Inc.
- CIK: 0001464790
- Entity type: Corporation
- Jurisdiction: DELAWARE
- Incorporated: 2009
- Address: 21860 BURBANK BLVD., WOODLAND HILLS, CA, 91367
- Phone: 818-884-3737

## Officers, directors & promoters (28)

_Showing 25 of 28 people._

| Name | Role | Location |
| --- | --- | --- |
| Andrew Gumaer | Director | WOODLAND HILLS, CA |
| Matthew Hart | Director | WOODLAND HILLS, CA |
| Hugh Hilton | Director | WOODLAND HILLS, CA |
| Mark Klein | Director | Salinas, CA |
| Bryant Riley | Director | Delaware, OH |
| Harvey Yellen | Director | WOODLAND HILLS, CA |
| Phillip Ahn | Executive Officer | New York, NY |
| Scott Carpenter | Executive Officer | London, X0 |
| Andrew Gumaer | Executive Officer | WOODLAND HILLS, CA |
| Thomas Kelleher | Executive Officer | WOODLAND HILLS, CA |
| Bryant Riley | Executive Officer | Delaware, OH |
| Harvey Yellen | Executive Officer | WOODLAND HILLS, CA |
| Michael J Levitt | Director | Camden, NJ |
| Bryant R Riley | Director | Los Angeles, CA |
| Bryant R Riley | Executive Officer | Los Angeles, CA |
| Mark D Klein | Director | New York, NY |
| Matthew J Hart | Director | Los Angeles, CA |
| Richard L Todaro | Director | Woodland Hills, CA |
| Howard E Weitzman | Executive Officer | Woodland Hills, CA |
| Phillip J Ahn | Executive Officer | Woodland Hills, CA |
| Andrew G Gumaer | Director | Woodland Hills, CA |
| Hugh G Hilton | Director | Woodland Hills, CA |
| THOMAS J KELLEHER | Executive Officer | LOS ANGELES, CA |
| Paul S Erickson | Executive Officer | Woodland Hills, CA |
| Scott K Carpenter | Executive Officer | Woodland Hills, CA |

## Other filings by this issuer (3)

| Filed | Form | Offering | Sold |
| --- | --- | --- | --- |
| [2015-02-17](https://search.stillhousedata.com/formd/0001615774-15-000308) | D | $6.7M | $6.7M |
| [2014-06-02](https://search.stillhousedata.com/formd/0001607491-14-000004) | D | $51.4M | $51.4M |
| [2009-10-13](https://search.stillhousedata.com/formd/0001464790-09-000003) | D | $510K | $242K |

## More

- [CIK 1464790 on SEC EDGAR (source of record)](https://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=1464790&type=&dateb=&owner=include&count=40)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/formd/0001607491-14-000012.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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