Memphis, TN S. Main St. Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
B. Riley Wealth Advisors, Inc.
Multi-team
Firm-wide stats for B. Riley Wealth Advisors, Inc.
About
B. Riley Wealth Advisors provides investment advice and portfolio management to a mix of individual clients (including non‑HNW and high‑net‑worth individuals), pension and profit‑sharing plans, trusts, estates, charitable organizations, and corporate/business clients. The firm offers a range of programs—Advisor‑as‑Portfolio‑Manager (APM), third‑party managed programs using the Envestnet platform (SMA/UMA/FSP), internally managed W.I.S.D.M. models, financial planning and consulting, and retirement and reporting solutions—and manages roughly $4.21 billion in client assets through about 173 advisors.
Advisory relationships are delivered through affiliated investment advisor representatives who select research methods, investment strategies, and program placements for each client; accounts may be discretionary or non‑discretionary and clients establish custody relationships (directed brokerage) with custodians such as National Financial Services, Charles Schwab, or Fidelity. Program minimums and structures vary by offering (for example, the W.I.S.D.M. mutual fund allocation models list $15,000 minimums while SMAs commonly show $100,000+), and Envestnet is used for manager selection, trading and overlay services in multiple programs.
Notable operational features include the firm’s affiliation with a broker‑dealer (B. Riley Wealth Management) and a clearing relationship with NFS, which the brochure discloses can give rise to revenue‑sharing arrangements (e.g., Bank Deposit Sweep Program revenue sharing, No‑Transaction‑Fee mutual fund fees, transfer cost credits, and margin‑related referral compensation). The brochure also discloses a recent structured‑product referral agreement with a third‑party broker and summarizes past SEC matters (a 2019 share‑class disgorgement and interest of roughly $733,423 and a 2015 SEC order with a $200,000 civil penalty and undertakings), all of which the firm identifies as conflicts it monitors and discloses to clients.
Based on B. Riley Wealth Advisors, Inc.
Location
40 S. Main St., Suite 1800
Memphis TN 38103
Advisors at this office
4
Advisors at this office
James R
Series 66
Memphis, TN
B. Riley Wealth Advisors, Inc.
James Rorie Jr. is a financial advisor with B. Riley Wealth Advisors, Inc. in Memphis, TN, holding a Series 66 designation and 22 years of industry experience. He has worked at B. Riley Wealth Management since 2018 and previously held roles at Duncan Williams, Inc., Cetera Investment Services, and Regions Bank. B. Riley Wealth Advisors, Inc. is an SEC-registered advisory firm managing approximately $7.03 billion in client assets through 274 advisors. The firm serves individuals, high-net-worth clients, charitable organizations, corporations, and retirement plans, offering a broad range of advisory programs, financial planning, and retirement solutions.
John Z
Series 63
Memphis, TN
B. Riley Wealth Advisors, Inc.
John Zoccola is a financial advisor at B. Riley Wealth Advisors, Inc. in Memphis, TN, holding a Series 63 designation and bringing 25 years of industry experience. His career includes long-term roles at First Tennessee Brokerage Inc and FTB Advisors, Inc., before joining B. Riley Wealth Management in 2019. B. Riley Wealth Advisors, Inc. is an SEC-registered firm managing approximately $7.03 billion in client assets through about 274 advisors. The firm serves individuals, high-net-worth clients, charitable organizations, corporations, and retirement plans with a range of advisory programs, financial planning, and retirement solutions, utilizing multiple program structures and both proprietary and third-party asset allocation models.
Joseph C
Series 63, Series 65
Memphis, TN
B. Riley Wealth Advisors, Inc.
Joseph Crane is a financial advisor at B. Riley Wealth Advisors, Inc. with 17 years of industry experience. He has held roles at B. Riley Wealth Management since 2017 and previously worked at Raymond James & Associates from 2013 to 2017. Crane holds Series 63 and Series 65 licenses. B. Riley Wealth Advisors, Inc. is an SEC-registered firm managing approximately $7.03 billion in client assets across 274 advisors. The firm provides a broad range of advisory services to individuals, high-net-worth clients, charitable organizations, corporations, and retirement plans through various program structures and both discretionary and non-discretionary management approaches.
Samuel Z
Series 66
Memphis, TN
B. Riley Wealth Advisors, Inc.
Samuel Zweig is a financial advisor with B. Riley Wealth Advisors, Inc. based in Memphis, TN. He holds a Series 66 designation and has 17 years of industry experience. Since 2012, he has worked at Wunderlich Securities. B. Riley Wealth Advisors, Inc. is an SEC-registered firm managing approximately $7.03 billion in client assets through about 274 advisors. The firm serves individuals, high-net-worth clients, charitable organizations, corporations, and retirement plans, offering a broad range of advisory programs, financial planning, and retirement solutions.
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