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OPP

RiverNorth/DoubleLine Strategic Opportunity Fund
OPP

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$17.2M +$247K +32,003 +1%
Wells Fargo
2
Wells Fargo
California
$12.7M +$1.19M +154,431 +10%
Royal Bank of Canada
3
Royal Bank of Canada
Ontario, Canada
$6.91M -$978K -126,972 -12%
AAM
4
Advisors Asset Management
Colorado
$5.19M +$1.18M +152,738 +29%
SIA
5
Sit Investment Associates
Minnesota
$4.14M +$52.5K +6,816 +1%
Pathstone Holdings
6
Pathstone Holdings
New Jersey
$4.04M +$1.36M +176,847 +51%
RP
7
Riverbridge Partners
Minnesota
$1.86M +$28.6K +3,708 +2%
JWCA
8
J.W. Cole Advisors
Florida
$1.79M +$1.79M +232,070 New
1CP
9
1607 Capital Partners
Virginia
$1.53M -$1.07M -138,712 -41%
NA
10
NewEdge Advisors
Louisiana
$1.44M +$82.3K +10,687 +6%
UBS Group
11
UBS Group
Switzerland
$1.34M -$305K -39,635 -19%
PI
12
PFG Investments
New York
$1.07M +$1.29K +168 +0.1%
LPL Financial
13
LPL Financial
California
$991K +$13.7K +1,777 +1%
Baird Financial Group
14
Baird Financial Group
Wisconsin
$981K +$27K +3,507 +3%
VAM
15
Verity Asset Management
North Carolina
$722K +$35.5K +4,606 +5%
Osaic Holdings
16
Osaic Holdings
Arizona
$595K -$70.8K -9,193 -11%
SWM
17
SeaCrest Wealth Management
New York
$572K +$65.3K +8,482 +13%
YCM
18
Yakira Capital Management
Connecticut
$513K -$54.1K -7,028 -10%
WS
19
Wedbush Securities
California
$482K – – –
FFA
20
First Foundation Advisors
California
$474K – – –
KAS
21
Kestra Advisory Services
Texas
$440K – – –
NCM
22
Next Capital Management
New York
$425K – – –
SFS
23
Shaker Financial Services
Virginia
$374K -$549K -71,323 -60%
TWPM
24
Total Wealth Planning & Management
Florida
$356K +$10K +1,298 +3%
RAM
25
Readystate Asset Management
Illinois
$332K +$331K +42,963 New
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