B. RILEY CAPITAL MANAGEMENT
B. RILEY CAPITAL MANAGEMENT, LLC Legal Name
Adviser information for B. RILEY CAPITAL MANAGEMENT last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4 | $200.4M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $200.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 4 | $200.4M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
11100 SANTA MONICA BLVD.SUITE 800
LOS ANGELES
CA
United States
Monday - Friday, 6:00 - 3:00
Tel: 310-966-1444, Fax: 310-966-1448
Chief Compliance Officer
MICHAEL MARKUNAS
DEPUTY GENERAL COUNSEL
11100 SANTA MONICA BLVD.
SUITE 800
LOS ANGELES
CA
United States
Tel:
310-689-2220
Fax:
310-966-1448
M********@************M
(Full email address available in API data)
Regulatory Contact
JOY SUBSOMBOON
MANAGING DIRECTOR
11100 SANTA MONICA BLVD. SUITE 800
SUITE 800
LOS ANGELES
CA
United States
Tel:
310-689-5227
Fax:
310-966-1448
J**********@************M
(Full email address available in API data)
Industry Affiliates
| B. RILEY SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| B. RILEY WEALTH ADVISORS, INC. | Other investment adviser, including financial plannersPension consultant |
| B. RILEY WEALTH MANAGEMENT | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| B. RILEY WEALTH PORTFOLIO ADVISERS, LLC | Other investment adviser, including financial planners |
| B. RILEY WEALTH PRIVATE SHARES | Other investment adviser, including financial planners |
| BRC EMERGING MANAGERS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BRC PARTNERS MANAGEMENT GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| GREAT AMERICAN CAPITAL PARTNERS, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BRC EMERGING MANAGERS FUND OF FUNDS, LP | Hedge Fund | $12.8M | $0.5M | 2 |
| BRC PARTNERS OPPORTUNITY FUND, LP | Hedge Fund | $48.8M | $1.0M | 27 |
| GACP I, LP | Private Equity Fund | $1.2M | $1.0M | 17 |
| GACP II, L.P. | Private Equity Fund | $137.7M | $1.0M | 176 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RILEY, BRYANT, RICHARD | Individual | – | CHIEF EXECUTIVE OFFICER & MEMBER, BOARD OF MANAGERS | 04/2015 | < 5% |
| B. RILEY FINANCIAL, INC. | Domestic Entity | – | OWNER | 02/2015 | > 75% |
| KELLEHER, THOMAS, JOHN | Individual | – | PRESIDENT & MEMBER, BOARD OF MANAGERS | 04/2015 | < 5% |
| AHN, PHILLIP, J | Individual | – | MEMBER, BOARD OF MANAGERS | 04/2015 | < 5% |
| MCCOY, MICHAEL, RICHARD | Individual | – | CHIEF FINANCIAL OFFICER | 04/2015 | < 5% |
| FORMAN, ALAN, NEIL | Individual | – | GENERAL COUNSEL | 06/2015 | < 5% |
| MARKUNAS, MICHAEL | Individual | – | DEPUTY GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | 03/2016 | < 5% |