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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
$16.5M -$2.01M -248,430 -11%
Wells Fargo
2
Wells Fargo
California
$10.5M +$2.05M +252,749 +24%
Royal Bank of Canada
3
Royal Bank of Canada
Ontario, Canada
$8.17M +$595K +73,587 +8%
AAM
4
Advisors Asset Management
Colorado
$3.12M +$230K +28,363 +8%
JWCA
5
J.W. Cole Advisors
Florida
$1.95M -$111K -13,704 -5%
SIA
6
Sit Investment Associates
Minnesota
$1.89M +$1.93M +238,253 New
RP
7
Riverbridge Partners
Minnesota
$1.78M +$1.31M +162,298 +263%
UBS Group
8
UBS Group
Switzerland
$1.76M -$149K -18,433 -8%
NA
9
NewEdge Advisors
Louisiana
$1.7M +$253K +31,224 +17%
1CP
10
1607 Capital Partners
Virginia
$1.42M +$1.18M +145,973 +454%
Baird Financial Group
11
Baird Financial Group
Wisconsin
$1.25M +$81.9K +10,119 +7%
LPL Financial
12
LPL Financial
California
$1.22M -$22.5K -2,783 -2%
PI
13
PFG Investments
New York
$1.08M +$757K +93,573 +218%
Pathstone Holdings
14
Pathstone Holdings
New Jersey
$1.06M +$1.08M +133,142 New
LSC
15
Logan Stone Capital
Illinois
$935K +$952K +117,642 New
SFS
16
Shaker Financial Services
Virginia
$877K +$403K +49,792 +82%
YCM
17
Yakira Capital Management
Connecticut
$752K +$765K +94,588 New
Osaic Holdings
18
Osaic Holdings
Arizona
$716K +$394K +48,681 +118%
VAM
19
Verity Asset Management
North Carolina
$690K +$62.4K +7,705 +10%
SWM
20
SeaCrest Wealth Management
New York
$542K +$10.5K +1,300 +2%
WS
21
Wedbush Securities
California
$496K +$17.3K +2,132 +4%
FFA
22
First Foundation Advisors
California
$488K – – –
KAS
23
Kestra Advisory Services
Texas
$453K +$56.6K +7,000 +14%
NCM
24
Next Capital Management
New York
$438K – – –
IAIM
25
International Assets Investment Management
Florida
$424K -$1.13M -140,122 -72%
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