Form Ds provide information on individual, unregistered securities offerings.
Search by Recipient Name or Primary Issuer:
| Recipient | CRD | Primary Issuer | CIK | Filing Date | Form Type | Total Offering Amount | Total Amount Sold |
|---|---|---|---|---|---|---|---|
| B. RILEY WEALTH MANAGEMENT | 2543 | CAIS Millennium USA LLC | 1523894 | 10/23/2017 | D/A | Indefinite | $496,175,752 |
| B. RILEY WEALTH MANAGEMENT | 2543 | CAIS Millennium USA LLC | 1523894 | 10/25/2016 | D/A | Indefinite | $460,899,460 |
| B. RILEY WEALTH MANAGEMENT | 2543 | CAIS Millennium Intl. Ltd. | 1523884 | 06/01/2021 | D/A | Indefinite | $444,384,355 |
| B. RILEY WEALTH MANAGEMENT | 2543 | CAIS Millennium Intl. Ltd. | 1523884 | 06/07/2022 | D/A | Indefinite | $444,384,355 |
| B. RILEY WEALTH MANAGEMENT | 2543 | CAIS Millennium Intl. Ltd. | 1523884 | 06/08/2020 | D/A | Indefinite | $418,824,355 |
| B. RILEY WEALTH MANAGEMENT | 2543 | CAIS Millennium Intl. Ltd. | 1523884 | 06/10/2019 | D/A | Indefinite | $368,250,375 |
| B. RILEY WEALTH MANAGEMENT | 2543 | CAIS Millennium Intl. Ltd. | 1523884 | 06/12/2018 | D/A | Indefinite | $327,486,775 |
| B. RILEY WEALTH MANAGEMENT | 2543 | Gulfstream Opportunity Fund LP | 1340970 | 10/03/2018 | D/A | Indefinite | $298,759,373 |
| B. RILEY WEALTH MANAGEMENT | 2543 | CAIS Millennium Intl. Ltd. | 1523884 | 10/24/2017 | D/A | Indefinite | $281,951,908 |
| B. RILEY WEALTH MANAGEMENT | 2543 | Innovation X Holdings Series 2020-4 QP, LLC | 1832786 | 10/15/2021 | D/A | $300,000,000 | $276,750,000 |