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B. Riley Financial Inc (RILY.OQ)

RILY.OQ on NASDAQ Stock Exchange Global Market

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Summary

Name Age Since Current Position

Bryant Riley

51 2014 Chairman of the Board, Chief Executive Officer

Thomas Kelleher

49 2015 President, Director; Chief Executive Officer of B. Riley & Co., LLC

Phillip Ahn

46 2013 Chief Financial Officer, Chief Operating Officer

Alan Forman

55 2015 Executive Vice President, General Counsel, Secretary

Andrew Gumaer

55 2017 Director

Gary Wunderlich

48 2017 Director

Robert Antin

67 2017 Independent Director

Robert D'Agostino

51 2015 Independent Director

Michael Sheldon

2017 Independent Director

Todd Sims

2016 Independent Director

Richard Todaro

44 2014 Independent Director

Mikel Williams

60 2015 Independent Director

Biographies

Name Description

Bryant Riley

Mr. Bryant R. Riley is Chairman of the Board, Chief Executive Officer of B. Riley Financial, Inc. In addition, Mr. Riley serves as Co-Chief Executive Officer of B. Riley FBR, Inc. (B. Riley FBR), a leading full service investment bank, and CEO of B. Riley Capital Management, LLC, an SEC Registered Investment Advisor, both of which are wholly-owned subsidiaries of B. Riley Financial. Mr. Riley currently sits on the board of privately-held Lightbridge Communications Corp. Previously, Mr. Riley held Board positions at Alliance Semiconductor Corporation, Aldila Inc., Cadiz Inc., Carreker Corporation, DDI Corp., Integrated Silicon Solution, Inc., Celeritek, Inc., Kitty Hawk Inc., Mossimo Inc., National Holdings Corporation, SI Technologies, Inc., Silicon Storage Technologies, Strasbaugh, STR Holdings, Inc., Trans World Entertainment and Transmeta Corp. Prior to founding B. Riley & Co. in 1997, he held a variety of positions in the brokerage industry, primarily as an institutional salesman and trader. From October 1993 to January 1997 Mr. Riley was a co-head of Equity at Dabney-Resnick, Inc., a Los Angeles-based brokerage firm. From 1991 to 1993 he was a co-founder of Huberman-Riley, a Texas-based brokerage firm. Mr. Riley holds a Bachelor of Science in Finance from Lehigh University.

Thomas Kelleher

Mr. Thomas C. (Tom) Kelleher has been appointed as President, Director of B. Riley Financial, Inc., and Chief Executive Officer of the company's wholly owned subsidiary B. Riley & Co., LLC. In addition, Mr. Kelleher serves as Co-Chief Executive Officer of B. Riley FBR, Inc. and President at B. Riley Capital Management, LLC, both of which are wholly-owned subsidiaries of B. Riley Financial.. In 1997, Mr. Kelleher joined B. Riley & Co., LLC, later becoming CEO in 2006. Throughout his time at B. Riley & Co., Mr. Kelleher has been instrumental in shepherding the firm’s growth from a one-office, research-focused firm to a diversified company which includes, among other services, investment banking, research, trading, restructuring, asset disposition, appraisal and corporate valuation services with offices in the major U.S. financial markets, plus Germany and Australia. Mr. Kelleher holds a Bachelor of Science in Mechanical Engineering from Lehigh University. He also serves on the board of B. Riley Financial, Inc. and Special Diversified Opportunities Inc. (OTC: SDOI).

Phillip Ahn

Mr. Phillip J. Ahn is appointed as Chief Financial Officer, Chief Operating Officer of B. Riley Financial, Inc. Mr. Ahn has spent over 20 years in the financial services sector, beginning his tenure with Great American Group in 2010 as Senior Vice President of Strategy and Corporate Development. Prior to joining Great American Group, Mr. Ahn served as Vice President at middle market private equity firms Altpoint Capital Partners and Stone Tower Equity Partners where he helped manage several of the firms’ majority-owned portfolio companies. Prior to that, he held positions at the NY State Common Retirement Fund, Salomon Smith Barney, CIBC World Markets and Standard & Poor’s J.J. Kenny division. Mr. Ahn received his Bachelor’s degree in Economics from the University of Michigan and his Master of Business Administration in Finance from Columbia University. Mr. Ahn is a Chartered Financial Analyst (CFA) and a member of the NY Society of Security Analysts.

Alan Forman

Mr. Alan N. Forman is Executive Vice President, General Counsel, Secretary of the Company. Mr. Forman joined the Company in May 2015 and is responsible for all legal affairs of the Company. From May 2010 to May 2015, Mr. Forman was Senior Vice President, General Counsel and Secretary of STR Holdings, Inc., a global manufacturer in the solar industry listed on the NYSE. Previously, he was a partner at Brown Rudnick LLP, an international law firm. Mr. Forman brings extensive executive experience in corporate and securities law, including financing transactions, corporate governance and mergers and acquisitions. Mr. Forman graduated from Emory University with a B.A. in Economics and received a J.D. from George Washington University Law School.

Andrew Gumaer

Mr. Andrew Gumaer is Director of B. Riley Financial, Inc. Mr. Gumaer has served as the Chief Executive Officer of Great American Group, LLC, which we refer to as GAG, LLC, a wholly owned subsidiary of B. Riley, since B. Riley acquired such entity in July 2009 and as a member of the B. Riley board of directors since July 2009. Mr. Gumaer also served as B. Riley’s Chief Executive Officer from July 2009 until the initial closing of the BRC acquisition, and as B. Riley’s Chairman from March 2012 until June 2014. Prior to July 2009, Mr. Gumaer was a co-founder of GAG, LLC, had served as GAG, LLC’s Chief Executive Officer since May 2007 and previously served as GAG, LLC’s President from June 2006 to May 2007. Prior to assuming such role, Mr. Gumaer was the President of The Pride Capital Group, LLC, predecessor in interest to GAG, LLC, from 2002 to May 2006. Mr. Gumaer also served as the Senior Vice President of Garcel, Inc. from 1997 to 2002 and as a Senior Vice President with the investment banking firm Drexel Burnham Lambert prior to his service with Garcel, Inc. Mr. Gumaer’s in depth knowledge of B. Riley’s business and operations, his experience in the investment banking industry, and leadership as GAG, LLC’s Chief Executive Officer and/or President since 2006 positions him well to serve as a member of the B. Riley board of directors.

Gary Wunderlich

Mr. Gary Kent Wunderlich, Jr. serves as Director of the Company. Mr. Wunderlich founded and serves as Chief Executive Officer of Wunderlich Securities, Inc., a full-service investment, wealth management, equity research, investment banking and fixed income sales and trading firm since 1996. He also serves as a member of the Wunderlich Investment Company Board of Directors from March 2008 to present. Prior to forming Wunderlich Securities, he worked with two private equity investment banks, Brookfield-Wunderlich and Progressive Capital. He is a current member of the Securities Industry and Financial Markets Association (“SIFMA”) Board of Directors, and serves on the SIFMA Regional Firms and Equity Capital Markets committees. He is a founding board member of the American Securities Association since February 2016. Mr. Wunderlich serves on the Board of ArtsMemphis where past positions have included Chairman of the Board as well as Chairman of the Finance and Endowment Committees. Mr. Wunderlich served 8 years on the Board of Memphis University School (February 2008 until July 2016) holding the positions of Vice Chairman of the Board and Chairman of the Finance Committee. Since June 2017, Mr. Wunderlich serves on the Finance Committee at The Campbell Foundation. Mr. Wunderlich received a B.A. degree from University of Virginia in Economics, and an M.B.A. from University of Memphis in Finance. Mr. Wunderlich’s financial experience and expertise in the wealth management industry provides an important resource to the Board.

Robert Antin

Mr. Robert L. Antin is Independent Director of the Company. Mr. Antin was a co-founder of VCA Inc., an owner and operator of Veterinary care centers and hospitals nationwide, and served as its Chief Executive Officer, President and Chairman since its inception in 1986. From September 1983 to 1985, Mr. Antin was President, Chief Executive Officer, a director and co-founder of AlternaCare Corp., a publicly held company that owned, operated and developed freestanding out-patient surgical centers. From July 1978 until September 1983, Mr. Antin was an officer of American Medical International, Inc., an owner and operator of health care facilities. Mr. Antin received his MBA with a certification in hospital and health administration from Cornell University. Mr. Antin’s executive leadership experience provides an important resource to the B. Riley board of directors.

Robert D'Agostino

Mr. Robert (Bob) D'Agostino is an Independent Director of B. Riley Financial, Inc. Mr. D’Agostino has served as President of Q-mation, Inc. since 1999. Q-mation, Inc. is a ` supplier of software solutions targeted at increasing operational efficiencies and asset performance in manufacturing companies. Mr. D’Agostino joined Q-mation, Inc. in 1990 and held various sales, marketing and operations management positions prior to his appointment as President. He previously served on the board of Alliance Semiconductor Corp. from July 2005 to February 2012. Mr. D’Agostino graduated from Lehigh University with a B.S. in Chemical Engineering. Mr. D’Agostino’s executive leadership experience provides an important resource to the B. Riley board of directors.

Michael Sheldon

Mr. Michael J. Sheldon serves as Independent Director of the Company. Mr. Antin was a co-founder of VCA Inc., an owner and operator of Veterinary care centers and hospitals nationwide, and served as its Chief Executive Officer, President and Chairman since its inception in 1986. From September 1983 to 1985, Mr. Antin was President, Chief Executive Officer, a director and co-founder of AlternaCare Corp., a publicly held company that owned, operated and developed freestanding out-patient surgical centers. From July 1978 until September 1983, Mr. Antin was an officer of American Medical International, Inc., an owner and operator of health care facilities. Mr. Antin received his MBA with a certification in hospital and health administration from Cornell University. Mr. Antin’s executive leadership experience provides an important resource to the B. Riley board of directors.

Todd Sims

Mr. Todd D. Sims Serves as Independent Director of the Company. Since March 2010, Mr. Sims has served as Senior Vice President of Digital Strategy of Anschutz Entertainment Group, Inc., one of the leading sports and entertainment presenters in the world, overseeing business and corporate development for its ticketing business, AXS. Prior to that, Mr. Sims spent more than 15 years building Internet businesses. In the mid 1990’s, he served as ESPN’s executive producer of NFL.com, NBA.com and NASCAR Online. He also served on the management team of eCompanies, LLC, an incubator which has incubated a number of companies including Jamdat Mobile Inc. (acquired by Electronic Arts Inc.), Business.com Inc. (acquired by R.H. Donnelley Corp.) and Boingo Wireless, Inc. (initial public offering). Mr. Sims serves as an advisor to the L.A. Dodgers Tech Accelerator and is a guest lecturer at the University of Southern California’s Marshall School of Business. Mr. Sims’ digital experience provides an important resource to the B. Riley board of directors.

Richard Todaro

Mr. Richard L. Todaro, serves as Independent Director of B. Riley Financial, Inc. He has served as a member of the B. Riley board of directors since July 2014. Mr. Todaro previously spent 20 years at Kennedy Capital Management, managing the small cap growth portfolio there for the past 10 years. He held several positions at Kennedy Capital Management, including Analyst, Assistant Director of Research, Assistant Portfolio Manager, Portfolio Manager, and Vice President and served as a member of its board of directors. Mr. Todaro spent three years as a board member of the University of Missouri – St. Louis Finance Department. Mr. Todaro served on the board of Telenav from September 2015 to August 2016. He currently serves as an advisory board member for Gateway Greening. Mr. Todaro also served in the Air National Guard as a staff sergeant from 1991 to 1997. Mr. Todaro received a BSBA in Finance from the University of Missouri – St. Louis and a Master of Finance degree from Saint Louis University. Mr. Todaro has also passed the Uniform Investment Advisor Law examination. Mr. Todaro’s financial experience and expertise in the asset management industry provides the B. Riley board of directors valuable insight into the capital markets industry.

Mikel Williams

Mr. Mikel H. Williams is an Independent Director of B. Riley Financial, Inc. Mr. Williams has served as the Chief Executive Officer and a director of Targus International LLC, a privately held, leading global supplier of carrying cases and accessories for the mobile lifestyle, since February 2016. Mr. Williams formerly served as the Chief Executive Officer and a director of JPS Industries, Inc., a composite materials manufacturer, from 2013 until its sale in 2015. Prior to that, Mr. Williams was the President, Chief Executive Officer and a director of DDi Corporation, a leading provider of time-critical, technologically advanced electronics manufacturing services, from November 2005 until its sale in May 2012. Mr. Williams has also served in various management positions with several technology related companies in the manufacturing, telecommunications and professional services industries. Mr. Williams also serves on the board of directors of Centrus Energy Corp. (formerly USEC, until its bankruptcy restructuring in 2014) and Iteris, Inc. Mr. Williams formerly served on the board of Tellabs, Inc. until it was sold in 2013 and Lightbridge Communications Corp. until it was sold in February 2015. Mr. Williams received his B.S. degree from the University of Maryland in accounting and an M.B.A. from Georgetown University. Mr. Williams’s executive leadership experience provides an important resource to the B. Riley board of directors.

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