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RIV

RiverNorth Opportunities Fund
RIV

12 hedge funds and large institutions have $6.1M invested in RiverNorth Opportunities Fund in 2017 Q3 according to their latest regulatory filings, with 4 funds opening new positions, 6 increasing their positions, 2 reducing their positions, and 2 closing their positions.

New
Increased
Maintained
Reduced
Closed

200% more repeat investments, than reductions

Existing positions increased: 6 | Existing positions reduced: 2

100% more first-time investments, than exits

New positions opened: 4 | Existing positions closed: 2

20% more funds holding

Funds holding: 10 → 12 (+2)

3.91% less ownership

Funds ownership: 12.04% → 8.12% (-3.9%)

30% less capital invested

Capital invested by funds: $8.72M → $6.1M (-$2.62M)

Holders
12
Holders Change
+2
Holders Change %
+20%
% of All Funds
0.3%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
4
Increased
6
Reduced
2
Closed
2
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
CAMG
CWA Asset Management Group
Florida
+$209K
2
Nomura Holdings
Nomura Holdings
Japan
+$209K
3
UBS Group
UBS Group
Switzerland
+$145K
4
SIA
Sit Investment Associates
Minnesota
+$131K
5
LTFS
Ladenburg Thalmann Financial Services
Florida
+$71.2K

Top Sellers

Rank Fund Capital Flow
1
Wells Fargo
Wells Fargo
California
-$2.38M
2
SFS
Shaker Financial Services
Virginia
-$929K
3
WAM
Wolverine Asset Management
Illinois
-$379K
4
RJA
Raymond James & Associates
Florida
-$61.3K
Name Holding Trade Value Shares
Change 		Change in
Stake
Wells Fargo
1
Wells Fargo
California
$2.33M -$2.38M -117,273 -50%
BMCM
2
Bryn Mawr Capital Management
Pennsylvania
$1.24M +$6.22K +307 +0.5%
RJA
3
Raymond James & Associates
Florida
$1.13M -$61.3K -3,026 -5%
UBS Group
4
UBS Group
Switzerland
$523K +$145K +7,162 +38%
CAMG
5
CWA Asset Management Group
Florida
$206K +$209K +10,333 New
Nomura Holdings
6
Nomura Holdings
Japan
$206K +$209K +10,333 New
Royal Bank of Canada
7
Royal Bank of Canada
Ontario, Canada
$149K +$35.1K +1,731 +30%
SIA
8
Sit Investment Associates
Minnesota
$129K +$131K +6,469 New
LTFS
9
Ladenburg Thalmann Financial Services
Florida
$76K +$71.2K +3,513 +1,133%
Morgan Stanley
10
Morgan Stanley
New York
$58K +$38.1K +1,881 +182%
AG
11
Advisor Group
Arizona
$51K +$4.32K +213 +9%
IA
12
IFP Advisors
Florida
$4K +$4.2K +207 New
SFS
13
Shaker Financial Services
Virginia
– -$929K -48,083 Closed
WAM
14
Wolverine Asset Management
Illinois
– -$379K -19,647 Closed

RIV Hedge Fund Activity: Q3 2017 in Review

12 of the 4,011 institutional investors tracked by Wall St. Rank reported a position in RiverNorth Opportunities Fund (RIV) for Q3 2017, worth a combined $6.1M — down 30% from $8.72M a quarter earlier.

Buyers outnumbered sellers: 4 funds opened new RIV positions and 2 closed out — a net gain of 2 holders — while 6 added to existing stakes and 2 trimmed.

The largest buyer was CWA Asset Management Group, opening a new position worth an estimated $209K. The largest seller was Wells Fargo, cutting an estimated $2.38M.

  • 12 institutional investors held RiverNorth Opportunities Fund (RIV) as of Q3 2017, up from 10 in Q2 2017.
  • Funds reported $6.1M of RiverNorth Opportunities Fund stock for Q3 2017, down 30% quarter-over-quarter.
  • 4 funds opened new RiverNorth Opportunities Fund positions in Q3 2017 and 2 closed out, a net change of +2 holders.
  • The largest RiverNorth Opportunities Fund buyer in Q3 2017 was CWA Asset Management Group, an estimated $209K added.
  • The largest RiverNorth Opportunities Fund seller in Q3 2017 was Wells Fargo, an estimated $2.38M sold.

Based on aggregated 13F filings for Q3 2017.