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RIV

RiverNorth Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$15.5M -$2.57M -151,813 -14%
SIA
2
Sit Investment Associates
Minnesota
$11.1M +$11.2M +663,960 +2,052%
Janney Montgomery Scott
3
Janney Montgomery Scott
Pennsylvania
$3.89M +$2.15M +127,244 +109%
Royal Bank of Canada
4
Royal Bank of Canada
Ontario, Canada
$3.79M +$2.22M +131,377 +124%
BI
5
Bulldog Investors
New Jersey
$3.12M +$3M +177,127 +965%
LPL Financial
6
LPL Financial
California
$1.45M +$1.15M +67,895 +294%
Osaic Holdings
7
Osaic Holdings
Arizona
$1.32M +$102K +6,051 +8%
YCM
8
Yakira Capital Management
Connecticut
$1.12M +$1.19M +70,269 New
NFG
9
Nations Financial Group
Iowa
$975K +$105K +6,175 +11%
Baird Financial Group
10
Baird Financial Group
Wisconsin
$888K -$121K -7,153 -11%
SFS
11
Shaker Financial Services
Virginia
$853K +$905K +53,473 New
NA
12
NewEdge Advisors
Louisiana
$849K +$901K +53,200 New
BRWM
13
B. Riley Wealth Management
Tennessee
$813K +$523K +30,913 +154%
AUIM
14
Aegon USA Investment Management
Iowa
$762K +$809K +47,765 New
Commonwealth Equity Services
15
Commonwealth Equity Services
Massachusetts
$708K +$2.59K +153 +0.3%
CL
16
CSS LLC
Illinois
$643K +$683K +40,321 New
Wells Fargo
17
Wells Fargo
California
$545K +$181K +10,719 +46%
SWM
18
SeaCrest Wealth Management
New York
$531K -$126K -7,421 -18%
WAM
19
Wolverine Asset Management
Illinois
$478K +$508K +30,018 New
BWA
20
BDO Wealth Advisors
Florida
$423K -$64.6K -3,817 -13%
USCWA
21
U.S. Capital Wealth Advisors
Texas
$393K -$1.69K -100 -0.4%
NCM
22
Next Capital Management
New York
$393K +$423K +25,000 New
Cambridge Investment Research Advisors
23
Cambridge Investment Research Advisors
Iowa
$386K +$38.5K +2,273 +10%
RJA
24
Raymond James & Associates
Florida
$348K -$9.89K -584 -3%
SBIA
25
Sheaff Brock Investment Advisors
Indiana
$327K +$59.3K +3,500 +21%