B. Riley Financial, Inc.

LOS ANGELES, CA Activist Investor
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B. Riley Financial is based out of Los Angeles. Their last reported 13F filing for Q1 2023 included $382,248,490 in managed 13F securities and a top 10 holdings concentration of 92.67%. B. Riley Financial's largest holding is Babcock & Wilcox Enterprises Inc with shares held of 27,288,639. B. Riley Financial has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 35 13F filings, 100 13D filings, 33 13G filings, and 230 Form 4 filings The firm last filed a Form D notice of exempt offering of securities on 2015-02-17. The notice included securities offered of Equity


13F Activity

  • Market Value $382.248 Million
  • Prior Market Value $445.628 Million
  • New Purchases13 stocks
  • Additional Purchases4 stocks
  • Sold out of29 stocks
  • Reduced holdings in15 stocks
  • Top 10 Holdings % 92.67 %
  • Turnover % [1]:84.00%
  • Turnover Alt % [2]: 2.37 %
  • Time Held Top20:5.00 quarters
  • Time Held Top10:4.70 quarters
  • Time Held All:3.54 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.


13F Sector Allocation Over Time

Fund Metrics

You are limited to the prior 8 quarters of 13F filings. Subscribe to WhaleWisdom to view all filing data for B. RILEY FINANCIAL, INC.

Portfolio Analysis


Q1 2023:

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Consistent Across Past 4 Quarters:

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Type of 13F Disclosure 13F Holdings Report
% of holdings ETF 0.0
% of top 20 holdings the same as top 20 most commonly held by all managers 0.0%
min max mean median min max mean median
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Sector Allocation 0.012% (CONSUMER DISCRETIONARY) 43.431% (INDUSTRIALS) 9.091% 1.074% 0.872% (UTILITIES AND TELECOMMUNICATIONS) 43.813% (INDUSTRIALS) 12.5% 4.013%

Risk/Reward Analysis

Portfolio Market Cap Analysis

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2023-05-15

Performance for Q1 2023: -5.56%
Performance Last 4 Quarters: -10.32%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
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Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
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*Shares are split adjusted
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13F Managers

Subsidiaries/Managers included in latest 13F
B. Riley Securities, Inc.

Global (ex. US) Holdings

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Stale Holdings (no activity in past 21-months or sold out)

Source: Refinitiv. Stale holdings data removed after 21-months of inactivity.

Active Schedule 13D and 13G events

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Insider Transactions in the past year


Form D Filings

Form D is a form used to file a notice of an exempt offering of securities with the Securities and Exchange Commission. Form D contains basic information about the offering and the company.

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2015-02-17 D BUSINESS SERVICES Equity 6,666,660 6,666,660 0
2014-06-30 D BUSINESS SERVICES Equity 35,208,701 35,208,701 0
2014-06-02 D BUSINESS SERVICES Equity 51,446,500 51,446,500 0
2009-10-13 D OTHER Equity 509,748 242,000 267,748
Other Issuers in Filings
Name Address
No Other Issuers
Related Parties included in filings
Name Address Relationship
ANDREW GUMAER subscription required
MATTHEW J. HART subscription required
HUGH G. HILTON subscription required
MARK D. KLEIN subscription required
MICHAEL J. LEVITT subscription required
HARVEY M. YELLEN subscription required
PAUL S. ERICKSON subscription required
SCOTT K. CARPENTER subscription required
MARK NAUGHTON subscription required
BRYANT R. RILEY subscription required
PHILLIP AHN subscription required
THOMAS KELLEHER subscription required
HOWARD E. WEITZMAN subscription required
RICHARD L. TODARO subscription required

WhaleScore history for B. Riley Financial, Inc.

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