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RIV

RiverNorth Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$14.9M +$958K +55,913 +7%
Janney Montgomery Scott
2
Janney Montgomery Scott
Pennsylvania
$3.43M +$323K +18,842 +11%
Royal Bank of Canada
3
Royal Bank of Canada
Ontario, Canada
$2.1M -$299K -17,416 -13%
Osaic Holdings
4
Osaic Holdings
Arizona
$1.37M +$76.3K +4,450 +6%
Baird Financial Group
5
Baird Financial Group
Wisconsin
$1.26M +$298K +17,361 +32%
NFG
6
Nations Financial Group
Iowa
$722K -$15K -876 -2%
Bank of America
7
Bank of America
North Carolina
$659K -$2.24M -130,758 -78%
RJA
8
Raymond James & Associates
Florida
$644K -$33K -1,923 -5%
BWA
9
BDO Wealth Advisors
Florida
$618K +$607K +35,427 New
SWM
10
SeaCrest Wealth Management
New York
$469K -$9.84K -574 -2%
UR
11
USCA RIA
Texas
$432K +$103K +6,000 +32%
Stifel Financial
12
Stifel Financial
Missouri
$359K -$6K -350 -2%
MAFM
13
Mid Atlantic Financial Management
Pennsylvania
$317K -$571K -33,300 -65%
Wells Fargo
14
Wells Fargo
California
$317K -$62.9K -3,667 -17%
Cambridge Investment Research Advisors
15
Cambridge Investment Research Advisors
Iowa
$281K +$276K +16,125 New
BMCM
16
Bryn Mawr Capital Management
Pennsylvania
$235K -$34.7K -2,024 -13%
OC
17
Oppenheimer & Co
New York
$230K +$226K +13,189 New
CIBC Private Wealth Group
18
CIBC Private Wealth Group
Georgia
$226K
BAIA
19
Bel Air Investment Advisors
California
$218K +$214K +12,500 New
SBIA
20
Sheaff Brock Investment Advisors
Indiana
$209K
LIG
21
Lokken Investment Group
Delaware
$188K
CL
22
CSS LLC
Illinois
$177K -$187K -10,914 -52%
UBS Group
23
UBS Group
Switzerland
$80K +$63.4K +3,700 +427%
WAP
24
Wealthcare Advisory Partners
Pennsylvania
$55K +$53.8K +3,137 New
Bank of Montreal
25
Bank of Montreal
Ontario, Canada
$53K +$51.4K +3,000 New