B. RILEY CAPITAL MANAGEMENT, LLC
(CRD# 160510 / SEC# 801-73824)
Investment advisers that have custody of (the authority to access) client funds or securities are required to undergo an annual surprise examination by an independent public accountant to verify the clients’ funds and securities (see Investment Advisers Act rule 206(4)-2 for more information). Form ADV-E also must be filed when the accountant resigns, is dismissed, or is otherwise terminated from the engagement, or if the accountant removes itself or is removed from consideration for reappointment.
These filings are available at the Form ADV-E cover page and report links below.
Form ADV-E Surprise Examination Report
No Form ADV-E Surprise Examination Report filings have been submitted.