Memphis, TN Poplar Ave 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
6000 Poplar Ave, Suite 201
Memphis TN 38119
Advisors at this office
5
Advisors at this office
John C
Series 66
Memphis, TN
B. Riley Wealth Advisors, Inc.
John Cordera Jr. is a financial advisor at B. Riley Wealth Advisors, Inc. He holds a Series 66 designation and has one year of industry experience. Prior to joining B. Riley Wealth Advisors and B. Riley Wealth Management in 2024, he worked at FedEx Express for six years and at Mississippi State University for five years. B. Riley Wealth Advisors, Inc. is an SEC-registered advisory firm managing approximately $7 billion in client assets through 274 advisors. The firm serves individual, high-net-worth, charitable, corporate, and retirement plan clients with a broad range of advisory programs, financial planning, and investment management services.
Philip Z
Series 63, Series 65
Memphis, TN
B. Riley Wealth Advisors, Inc.
Philip Zanone Jr. is a financial advisor with B. Riley Wealth Private Shares, holding Series 63 and Series 65 licenses and bringing 34 years of industry experience. He has been with B. Riley Wealth Advisors and its related entities since 2005. Outside of his advisory role, Zanone serves on the boards of several organizations, including INSBANK and the Assisi Foundation, where he is treasurer. B. Riley Wealth Private Shares advises privately offered pooled investment vehicles that invest in early- and developmental-stage private companies. The firm uses a Commitment Committee to oversee investment decisions and generally holds concentrated, long-term positions until liquidity events occur.
Sandra M
Series 66
Memphis, TN
B. Riley Wealth Advisors, Inc.
Sandra Mays is a financial advisor at B. Riley Wealth Advisors, Inc. with 16 years of industry experience. She holds the Series 66 designation and has been with B. Riley Wealth Management since 2010. B. Riley Wealth Advisors, Inc. is an SEC-registered 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 range of advisory programs, financial planning, and retirement solutions delivered through multiple program structures and both proprietary and third-party asset allocation models.
Martin G
Series 63, Series 65
Memphis, TN
B. Riley Wealth Advisors, Inc.
Martin Gaia is a financial advisor at B. Riley Wealth Advisors, Inc. with 36 years of industry experience. He holds Series 63 and Series 65 licenses and previously worked at Wunderlich Securities, Inc. for 23 years. B. Riley Wealth Advisors, Inc. is an SEC-registered 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 range of advisory programs, financial planning, and retirement solutions.
Guy B
Series 63, Series 65
Memphis, TN
B. Riley Wealth Advisors, Inc.
Guy Britton is a financial advisor with B. Riley Wealth Advisors, Inc. in Memphis, TN, holding Series 63 and Series 65 licenses and bringing 22 years of industry experience. He has been with B. Riley Wealth Management since 2009 and joined B. Riley Wealth Advisors in 2022. Outside of his advisory role, he serves as president of C & W Farms, a campground in Arkansas. 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 wide range of services, including advisory programs, financial planning, and retirement solutions, serving individuals, high-net-worth clients, charitable organizations, corporations, and retirement plans.
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