Ladenburg Thalmann Financial Services’s RiverNorth Opportunities Fund RIV Stock Holding History

Ladenburg Thalmann Financial Services’s Portfolio RIV Stock Details RIV Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2019 Q3	–	Sell	-509	Closed	-$9K	–	5415
2019 Q2	$9K	Hold	509	–	–	﹤0.01%	4489
2019 Q1	$8K	Hold	509	–	–	﹤0.01%	4472
2018 Q4	$8K	Hold	509	–	–	﹤0.01%	4404
2018 Q3	$9K	Buy	+509	New	+$9.79K	﹤0.01%	4343
2018 Q1	–	Sell	-3,939	Closed	-$78K	–	5180
2017 Q4	$78K	Buy	3,939 +116	+3%	+$2.28K	﹤0.01%	2900
2017 Q3	$76K	Buy	3,823 +3,513	+1,133%	+$71.2K	﹤0.01%	2786
2017 Q2	$6K	Buy	+310	New	+$5.98K	﹤0.01%	4263

Other funds holding RIV

Credit Suisse Zurich, Switzerland $104B AUM 34.76% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

CSS LLC Chicago, Illinois $2.09B AUM 59.56% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

RJA

Raymond James & Associates St Petersburg, Florida $164B AUM 33.91% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

Baird Financial Group Milwaukee, Wisconsin $64B AUM 22.64% 1-Year Est. Return

BMCM

Bryn Mawr Capital Management Philadelphia, Pennsylvania $2.06B AUM 19.82% 1-Year Est. Return

NFG

Nations Financial Group Cedar Rapids, Iowa $1.94B AUM 25.76% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

Ladenburg Thalmann Financial Services's RIV Position: Q3 2019 in Review

Ladenburg Thalmann Financial Services sold out of RiverNorth Opportunities Fund (RIV) in Q3 2019, closing a stake of 509 shares — an estimated $9K sold.

Ladenburg Thalmann Financial Services first reported a position in RIV in Q2 2017 and held it in 7 quarters. The position peaked at $78K in Q4 2017. 22 funds tracked by Wall St. Rank hold RIV as of Q3 2019.

Ladenburg Thalmann Financial Services reported no remaining RiverNorth Opportunities Fund position as of Q3 2019 after selling out during the quarter.
Ladenburg Thalmann Financial Services sold 509 RiverNorth Opportunities Fund shares in Q3 2019, an estimated $9K.
Ladenburg Thalmann Financial Services first reported a position in RiverNorth Opportunities Fund in Q2 2017 and held it in 7 quarters.
Ladenburg Thalmann Financial Services's RiverNorth Opportunities Fund position peaked at $78K in Q4 2017.
22 funds tracked by Wall St. Rank held RiverNorth Opportunities Fund as of Q3 2019.

Based on Ladenburg Thalmann Financial Services's 13F filing for Q3 2019, filed 14 Nov 2019.