B. RILEY CAPITAL MANAGEMENT, LLC

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B. Riley Capital Management is based out of Los Angeles. B. Riley Capital Management is a hedge fund with 5 clients and discretionary assets under management (AUM) of $755,654,642 (Form ADV from 2022-04-26). Whalewisdom has at least 1 13D filings, 3 13G filings, and 1 Form 4 filings

Contact Info

b. riley capital management, llc
11100 SANTA MONICA BLVD.
LOS ANGELES CA    90025

Business Phone: 310-966-1445

Insider Information

View Last Form Adv Compilation Report on Record

B. RILEY CAPITAL MANAGEMENT
11100 SANTA MONICA BLVD. SUITE 800
LOS ANGELES CA    90025
Country: United States

Business Phone: 310-966-1444
Fax: 310-966-1448
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: NY
Number of employees: 9
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 0
Total Number of Clients: 5
Amount of client funds and securities by related persons: 489,469,000
Total Number of clients from related persons: 4
Disclosures: 11.E (2)
Data above was derived from SEC filings.

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B. RILEY CAPITAL MANAGEMENT, LLC

ownership team - last updated 2022-04-26
Name Title Start Date Direct/Indirect % Ownership
RILEY, BRYANT, RICHARD CHIEF EXECUTIVE OFFICER & MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RILEY INVESTMENT MANAGEMENT LLC CEO direct 2000-03-01
RILEY INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2000-03-01
B. RILEY ASSET MANAGEMENT, LLC SOLE OWNER indirect 1996-02-01
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2007-05-01
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2013-04-01
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER & MEMBER, BOARD OF MANAGERS direct 2015-04-01
MARKUNAS, MICHAEL DEPUTY GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, DEPUTY GENERAL COUNSEL direct 2016-03-01
B. RILEY CAPITAL MANAGEMENT, LLC DEPUTY GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER direct 2016-03-01
B. RILEY FINANCIAL, INC. OWNER 02/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. PARENT indirect 2014-07-01
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC PARENT indirect 2014-07-01
B. RILEY ASSET MANAGEMENT, LLC OWNER direct 2014-08-01
B. RILEY CAPITAL MANAGEMENT, LLC OWNER direct 2015-02-01
AHN, PHILLIP, J MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC MEMBER, BOARD OF MANAGERS direct 2015-04-01
KELLEHER, THOMAS, JOHN PRESIDENT & MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2013-04-01
B. RILEY ASSET MANAGEMENT, LLC MEMBER direct 2013-04-01
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC PRESIDENT & MEMBER, BOARD OF MANAGERS direct 2015-04-01
MCCOY, MICHAEL, RICHARD CHIEF FINANCIAL OFFICER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RILEY INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-02-01
B. RILEY ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2013-04-01
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2015-04-01
FORMAN, ALAN, NEIL GENERAL COUNSEL 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY CAPITAL MANAGEMENT, LLC GENERAL COUNSEL direct 2015-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
INNOVATION X CAPITAL PARTNERS, LLC - EC CLASS A SHARE CLASS United States 805-9142450670 Private Equity Fund 125,950,568 25,000
BRC EMERGING MANAGERS FUND OF FUNDS, LP United States 805-5721810442 Hedge Fund 16,596,377 500,000 Fund of Funds
BRC PARTNERS OPPORTUNITY FUND, LP United States 805-2156534149 Hedge Fund 141,753,854 1,000,000
GACP II, L.P. United States 805-9374222430 Private Equity Fund 290,069,745 1,000,000
GACP I, LP United States 805-5683597970 Private Equity Fund 8,233,371 1,000,000
INNOVATION X CAPITAL PARTNERS, LLC - SX 446.25 SHARE CLASS United States 805-9035783919 Private Equity Fund 140,235,037 25,000
INNOVATION X CAPITAL PARTNERS, LLC - STP CLASS A SHARE CLASS United States 805-6308588665 Private Equity Fund 0 25,000

B. RILEY CAPITAL MANAGEMENT, LLC

ownership team - last updated 2022-03-31
Name Title Start Date Direct/Indirect % Ownership
RILEY, BRYANT, RICHARD CHIEF EXECUTIVE OFFICER & MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RILEY INVESTMENT MANAGEMENT LLC CEO direct 2000-03-01
RILEY INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2000-03-01
B. RILEY ASSET MANAGEMENT, LLC SOLE OWNER indirect 1996-02-01
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2007-05-01
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2013-04-01
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER & MEMBER, BOARD OF MANAGERS direct 2015-04-01
MARKUNAS, MICHAEL DEPUTY GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, DEPUTY GENERAL COUNSEL direct 2016-03-01
B. RILEY CAPITAL MANAGEMENT, LLC DEPUTY GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER direct 2016-03-01
B. RILEY FINANCIAL, INC. OWNER 02/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. PARENT indirect 2014-07-01
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC PARENT indirect 2014-07-01
B. RILEY ASSET MANAGEMENT, LLC OWNER direct 2014-08-01
B. RILEY CAPITAL MANAGEMENT, LLC OWNER direct 2015-02-01
AHN, PHILLIP, J MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC MEMBER, BOARD OF MANAGERS direct 2015-04-01
KELLEHER, THOMAS, JOHN PRESIDENT & MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2013-04-01
B. RILEY ASSET MANAGEMENT, LLC MEMBER direct 2013-04-01
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC PRESIDENT & MEMBER, BOARD OF MANAGERS direct 2015-04-01
MCCOY, MICHAEL, RICHARD CHIEF FINANCIAL OFFICER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RILEY INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-02-01
B. RILEY ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2013-04-01
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2015-04-01
FORMAN, ALAN, NEIL GENERAL COUNSEL 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY CAPITAL MANAGEMENT, LLC GENERAL COUNSEL direct 2015-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BRC EMERGING MANAGERS FUND OF FUNDS, LP United States 805-5721810442 Hedge Fund 16,596,377 500,000 Fund of Funds
BRC PARTNERS OPPORTUNITY FUND, LP United States 805-2156534149 Hedge Fund 141,753,854 1,000,000
GACP II, L.P. United States 805-9374222430 Private Equity Fund 290,069,745 1,000,000
GACP I, LP United States 805-5683597970 Private Equity Fund 8,233,371 1,000,000
INNOVATION X CAPITAL PARTNERS, LLC United States 805-9035783919 Private Equity Fund 266,185,605 25,000

B. RILEY CAPITAL MANAGEMENT, LLC

ownership team - last updated 2021-03-24
Name Title Start Date Direct/Indirect % Ownership
RILEY, BRYANT, RICHARD CHIEF EXECUTIVE OFFICER & MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RILEY INVESTMENT MANAGEMENT LLC CEO direct 2000-03-01
RILEY INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2000-03-01
B. RILEY ASSET MANAGEMENT, LLC SOLE OWNER indirect 1996-02-01
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2007-05-01
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2013-04-01
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER & MEMBER, BOARD OF MANAGERS direct 2015-04-01
MARKUNAS, MICHAEL DEPUTY GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, DEPUTY GENERAL COUNSEL direct 2016-03-01
B. RILEY CAPITAL MANAGEMENT, LLC DEPUTY GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER direct 2016-03-01
B. RILEY FINANCIAL, INC. OWNER 02/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. PARENT indirect 2014-07-01
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC PARENT indirect 2014-07-01
B. RILEY ASSET MANAGEMENT, LLC OWNER direct 2014-08-01
B. RILEY CAPITAL MANAGEMENT, LLC OWNER direct 2015-02-01
AHN, PHILLIP, J MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC MEMBER, BOARD OF MANAGERS direct 2015-04-01
KELLEHER, THOMAS, JOHN PRESIDENT & MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2013-04-01
B. RILEY ASSET MANAGEMENT, LLC MEMBER direct 2013-04-01
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC PRESIDENT & MEMBER, BOARD OF MANAGERS direct 2015-04-01
MCCOY, MICHAEL, RICHARD CHIEF FINANCIAL OFFICER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RILEY INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-02-01
B. RILEY ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2013-04-01
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2015-04-01
FORMAN, ALAN, NEIL GENERAL COUNSEL 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY CAPITAL MANAGEMENT, LLC GENERAL COUNSEL direct 2015-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BRC EMERGING MANAGERS FUND OF FUNDS, LP United States 805-5721810442 Hedge Fund 12,789,134 500,000 Fund of Funds
BRC PARTNERS OPPORTUNITY FUND, LP United States 805-2156534149 Hedge Fund 141,753,854 1,000,000
MKCA OPPORTUNITY FUND, LLC United States 805-5074765630 Hedge Fund 66,220,248 250,000 Fund of Funds
GACP II, L.P. United States 805-9374222430 Private Equity Fund 343,564,767 1,000,000
GACP I, LP United States 805-5683597970 Private Equity Fund 15,591,195 1,000,000

B. RILEY CAPITAL MANAGEMENT, LLC

ownership team - last updated 2020-03-27
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BRC EMERGING MANAGERS FUND OF FUNDS, LP United States 805-5721810442 Hedge Fund 10,310,526 500,000 Fund of Funds
BRC PARTNERS OPPORTUNITY FUND, LP United States 805-2156534149 Hedge Fund 91,122,515 1,000,000
MKCA OPPORTUNITY FUND, LLC United States 805-5074765630 Hedge Fund 51,758,501 250,000 Fund of Funds
GACP II, L.P. United States 805-9374222430 Private Equity Fund 280,722,723 1,000,000
GACP I, LP United States 805-5683597970 Private Equity Fund 23,816,426 1,000,000

B. RILEY CAPITAL MANAGEMENT, LLC

ownership team - last updated 2019-12-19
Name Title Start Date Direct/Indirect % Ownership
RILEY, BRYANT, RICHARD CHIEF EXECUTIVE OFFICER & MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RILEY INVESTMENT MANAGEMENT LLC CEO direct 2000-03-01
RILEY INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2000-03-01
B. RILEY ASSET MANAGEMENT, LLC SOLE OWNER indirect 1996-02-01
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2007-05-01
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2013-04-01
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER & MEMBER, BOARD OF MANAGERS direct 2015-04-01
MARKUNAS, MICHAEL DEPUTY GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, DEPUTY GENERAL COUNSEL direct 2016-03-01
B. RILEY CAPITAL MANAGEMENT, LLC DEPUTY GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER direct 2016-03-01
B. RILEY FINANCIAL, INC. OWNER 02/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. PARENT indirect 2014-07-01
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC PARENT indirect 2014-07-01
B. RILEY ASSET MANAGEMENT, LLC OWNER direct 2014-08-01
B. RILEY CAPITAL MANAGEMENT, LLC OWNER direct 2015-02-01
AHN, PHILLIP, J MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC MEMBER, BOARD OF MANAGERS direct 2015-04-01
KELLEHER, THOMAS, JOHN PRESIDENT & MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2013-04-01
B. RILEY ASSET MANAGEMENT, LLC MEMBER direct 2013-04-01
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC PRESIDENT & MEMBER, BOARD OF MANAGERS direct 2015-04-01
MCCOY, MICHAEL, RICHARD CHIEF FINANCIAL OFFICER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RILEY INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-02-01
B. RILEY ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2013-04-01
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2015-04-01
FORMAN, ALAN, NEIL GENERAL COUNSEL 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY CAPITAL MANAGEMENT, LLC GENERAL COUNSEL direct 2015-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
GACP II, L.P. United States 805-9374222430 Private Equity Fund 49,720,415 1,000,000
GACP I, LP United States 805-5683597970 Private Equity Fund 20,846,711 1,000,000
BRC EMERGING MANAGERS FUND OF FUNDS, LP United States 805-5721810442 Hedge Fund 10,434,767 500,000 Fund of Funds
BRC PARTNERS OPPORTUNITY FUND, LP United States 805-2156534149 Hedge Fund 81,980,545 1,000,000
MKCA OPPORTUNITY FUND, LLC United States 805-5074765630 Hedge Fund 48,563,046 250,000 Fund of Funds

B. RILEY CAPITAL MANAGEMENT, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
RILEY, BRYANT, RICHARD CHIEF EXECUTIVE OFFICER & MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RILEY INVESTMENT MANAGEMENT LLC CEO direct 2000-03-01
RILEY INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2000-03-01
B. RILEY ASSET MANAGEMENT, LLC SOLE OWNER indirect 1996-02-01
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2007-05-01
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2013-04-01
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER & MEMBER, BOARD OF MANAGERS direct 2015-04-01
MARKUNAS, MICHAEL DEPUTY GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, DEPUTY GENERAL COUNSEL direct 2016-03-01
B. RILEY CAPITAL MANAGEMENT, LLC DEPUTY GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER direct 2016-03-01
B. RILEY FINANCIAL, INC. OWNER 02/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. PARENT indirect 2014-07-01
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC PARENT indirect 2014-07-01
B. RILEY ASSET MANAGEMENT, LLC OWNER direct 2014-08-01
B. RILEY CAPITAL MANAGEMENT, LLC OWNER direct 2015-02-01
AHN, PHILLIP, J MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC MEMBER, BOARD OF MANAGERS direct 2015-04-01
KELLEHER, THOMAS, JOHN PRESIDENT & MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2013-04-01
B. RILEY ASSET MANAGEMENT, LLC MEMBER direct 2013-04-01
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC PRESIDENT & MEMBER, BOARD OF MANAGERS direct 2015-04-01
MCCOY, MICHAEL, RICHARD CHIEF FINANCIAL OFFICER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RILEY INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-02-01
B. RILEY ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2013-04-01
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2015-04-01
FORMAN, ALAN, NEIL GENERAL COUNSEL 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY CAPITAL MANAGEMENT, LLC GENERAL COUNSEL direct 2015-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
GACP II, L.P. United States 805-9374222430 Private Equity Fund 267,466,603 1,000,000
GACP I, LP United States 805-5683597970 Private Equity Fund 54,078,620 1,000,000
BRC EMERGING MANAGERS FUND OF FUNDS, LP United States 805-5721810442 Hedge Fund 9,563,628 500,000 Fund of Funds
BRC PARTNERS OPPORTUNITY FUND, LP United States 805-2156534149 Hedge Fund 39,460,397 1,000,000
MKCA OPPORTUNITY FUND, LLC United States 805-5074765630 Hedge Fund 48,563,046 250,000 Fund of Funds

B. RILEY CAPITAL MANAGEMENT, LLC

ownership team - last updated 2018-04-30
Name Title Start Date Direct/Indirect % Ownership
RILEY, BRYANT, RICHARD CHIEF EXECUTIVE OFFICER & MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RILEY INVESTMENT MANAGEMENT LLC CEO direct 2000-03-01
RILEY INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2000-03-01
B. RILEY ASSET MANAGEMENT, LLC SOLE OWNER indirect 1996-02-01
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2007-05-01
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2013-04-01
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER & MEMBER, BOARD OF MANAGERS direct 2015-04-01
MARKUNAS, MICHAEL DEPUTY GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, DEPUTY GENERAL COUNSEL direct 2016-03-01
B. RILEY CAPITAL MANAGEMENT, LLC DEPUTY GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER direct 2016-03-01
B. RILEY FINANCIAL, INC. OWNER 02/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. PARENT indirect 2014-07-01
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC PARENT indirect 2014-07-01
B. RILEY ASSET MANAGEMENT, LLC OWNER direct 2014-08-01
B. RILEY CAPITAL MANAGEMENT, LLC OWNER direct 2015-02-01
AHN, PHILLIP, J MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC MEMBER, BOARD OF MANAGERS direct 2015-04-01
KELLEHER, THOMAS, JOHN PRESIDENT & MEMBER, BOARD OF MANAGERS 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2013-04-01
B. RILEY ASSET MANAGEMENT, LLC MEMBER direct 2013-04-01
MK CAPITAL ADVISORS, LLC DIRECTOR direct 2015-02-01
B. RILEY CAPITAL MANAGEMENT, LLC PRESIDENT & MEMBER, BOARD OF MANAGERS direct 2015-04-01
MCCOY, MICHAEL, RICHARD CHIEF FINANCIAL OFFICER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RILEY INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-02-01
B. RILEY ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2013-04-01
B. RILEY CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2015-04-01
FORMAN, ALAN, NEIL GENERAL COUNSEL 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
B. RILEY CAPITAL MANAGEMENT, LLC GENERAL COUNSEL direct 2015-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
GACP II, L.P. United States 805-9374222430 Private Equity Fund 0 1,000,000
BR SPAC OPPORTUNITY FUND, LP United States 805-1511416639 Other Private Fund SPAC FUND 12,883,876 250,000
GACP I, LP United States 805-5683597970 Private Equity Fund 114,000,000 1,000,000
BRC EMERGING MANAGERS FUND OF FUNDS, LP United States 805-5721810442 Hedge Fund 9,608,504 500,000 Fund of Funds
BRC PARTNERS OPPORTUNITY FUND, LP United States 805-2156534149 Hedge Fund 59,634,418 1,000,000
MKCA OPPORTUNITY FUND, LLC United States 805-5074765630 Hedge Fund 51,305,550 250,000 Fund of Funds

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