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OPP

RiverNorth/DoubleLine Strategic Opportunity Fund

Name Holding Trade Value Shares
Change
Change in
Stake
SIA
1
Sit Investment Associates
Minnesota
$10.3M -$11.7M -1,354,360 -53%
Morgan Stanley
2
Morgan Stanley
New York
$7.36M +$5.09M +589,437 +210%
CIBC Private Wealth Group
3
CIBC Private Wealth Group
Georgia
$5.87M
UBS Group
4
UBS Group
Switzerland
$2.82M +$382K +44,253 +15%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$2.62M +$1.21M +140,123 +83%
SFS
6
Shaker Financial Services
Virginia
$2.62M +$2.67M +309,176 New
SCM
7
Saba Capital Management
New York
$1.81M +$1.85M +214,484 New
MP
8
Mangrove Partners
Connecticut
$1.66M +$1.7M +196,714 New
LPL Financial
9
LPL Financial
California
$1.62M +$244K +28,332 +17%
CF
10
Centaurus Financial
California
$1.5M -$269K -31,173 -15%
MC
11
Matisse Capital
Oregon
$1.37M +$1.4M +161,920 New
1CP
12
1607 Capital Partners
Virginia
$1.19M +$444K +51,409 +58%
Wells Fargo
13
Wells Fargo
California
$1.17M +$609K +70,523 +103%
Envestnet Asset Management
14
Envestnet Asset Management
Illinois
$1.06M +$1.08M +125,276 New
PAS
15
Park Avenue Securities
New York
$1.04M +$1.06M +122,886 New
Osaic Holdings
16
Osaic Holdings
Arizona
$866K +$75.5K +8,752 +9%
Baird Financial Group
17
Baird Financial Group
Wisconsin
$760K +$149K +17,275 +24%
NA
18
NewEdge Advisors
Louisiana
$696K -$734K -85,008 Closed
LCM
19
Landscape Capital Management
New Jersey
$680K +$486K +56,324 +235%
FFA
20
First Foundation Advisors
California
$635K -$272K -31,575 -30%
PIA
21
Perennial Investment Advisors
California
$481K +$491K +56,909 New
Commonwealth Equity Services
22
Commonwealth Equity Services
Massachusetts
$481K -$17.8K -2,064 -3%
CA
23
Cetera Advisors
Colorado
$459K -$26.3K -3,045 -5%
SWM
24
SeaCrest Wealth Management
New York
$387K +$24.8K +2,879 +7%
Walleye Capital
25
Walleye Capital
New York
$363K +$240K +27,766 +183%