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 | Lexington Keystone Fund, LLC | 1480021 | 02/08/2013 | D/A | $50,000,000 | $24,372,626 |
| B. RILEY WEALTH MANAGEMENT | 2543 | SIERRA BANCORP | 1130144 | 09/02/2009 | D | $21,285,000 | $21,285,000 |
| B. RILEY WEALTH MANAGEMENT | 2543 | Lexington Keystone Fund, LLC | 1480021 | 02/09/2011 | D/A | $50,000,000 | $19,953,862 |
| B. RILEY WEALTH MANAGEMENT | 2543 | Castellan Real Estate Income Fund LP | 1668961 | 03/16/2016 | D | Indefinite | $19,704,000 |
| B. RILEY WEALTH MANAGEMENT | 2543 | Lexington Keystone Fund, LLC | 1480021 | 02/10/2010 | D | $50,000,000 | $19,661,485 |
| B. RILEY WEALTH MANAGEMENT | 2543 | CAIS SCULPTOR MASTER FUND LTD. | 1607346 | 11/23/2021 | D/A | Indefinite | $16,912,585 |
| B. RILEY WEALTH MANAGEMENT | 2543 | CAIS SCULPTOR MASTER FUND LTD. | 1607346 | 06/07/2022 | D/A | Indefinite | $16,912,585 |
| B. RILEY WEALTH MANAGEMENT | 2543 | CAIS OZMF Ltd. | 1607346 | 06/10/2019 | D/A | Indefinite | $16,412,585 |
| B. RILEY WEALTH MANAGEMENT | 2543 | CAIS OZMF Ltd. | 1607346 | 06/08/2020 | D/A | Indefinite | $16,412,585 |
| B. RILEY WEALTH MANAGEMENT | 2543 | CAIS OZMF Ltd. | 1607346 | 06/01/2021 | D/A | Indefinite | $16,412,585 |