SEC-Registered Investment Adviser
B. Riley Wealth Private Shares
Legal name: B. Riley Wealth Private Shares, LLC
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated March 31, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- September 2, 2021
- Principal office
- 40 S. Main St., Suite 1600, Memphis, TN 38103
- Organized as
- Limited Liability Company, DE
- Fiscal year end
- December
- Other offices
- 3
Scale
- Regulatory AUM
- $47.6M
- Accounts
- 8
- Clients
- 0
- Employees
- 8, 3 in advisory roles
- Private funds advised
- 8
- Private fund gross assets
- $47.6M
- Fund types
- 8 private equity funds
- Funds with Form D records
- 8 issuers in AltStreet's ledger, $278.9M reported sold across them
Business, clients and compensation, as filed
- Advisory activities
- portfolio management for pooled investment vehicles
- Compensated by
- a percentage of assets under management and performance-based fees
- Client types
- pooled investment vehicles (8)
- Related persons include
- a broker-dealer, another investment adviser, an accountant or accounting firm, an insurance company or agency and a sponsor, general partner or managing member of pooled investment vehicles
- Affiliates
- 2 broker-dealers, 2 investment advisers
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- other regulator finding of a violation (Item 11D(2))
- other regulator restriction on activities (Item 11D(5))
- self-regulatory organization finding of a violation (Item 11E(2))
- self-regulatory organization bar, suspension or fine (Item 11E(4))
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.