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RIV

RiverNorth Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$20.7M +$5.26M +327,619 +34%
Janney Montgomery Scott
2
Janney Montgomery Scott
Pennsylvania
$4.13M +$233K +14,492 +6%
SIA
3
Sit Investment Associates
Minnesota
$3.74M -$7.42M -462,294 -66%
Royal Bank of Canada
4
Royal Bank of Canada
Ontario, Canada
$1.71M -$2.09M -130,347 -55%
Osaic Holdings
5
Osaic Holdings
Arizona
$1.57M +$250K +15,561 +19%
Baird Financial Group
6
Baird Financial Group
Wisconsin
$1.44M +$550K +34,254 +62%
NFG
7
Nations Financial Group
Iowa
$1M +$25K +1,555 +3%
NA
8
NewEdge Advisors
Louisiana
$869K +$19.3K +1,200 +2%
Commonwealth Equity Services
9
Commonwealth Equity Services
Massachusetts
$596K -$114K -7,077 -16%
CL
10
CSS LLC
Illinois
$596K -$48.2K -3,000 -7%
LPL Financial
11
LPL Financial
California
$593K -$864K -53,832 -59%
Bank of Montreal
12
Bank of Montreal
Ontario, Canada
$563K +$567K +35,350 New
SWM
13
SeaCrest Wealth Management
New York
$561K +$29.7K +1,852 +6%
Wells Fargo
14
Wells Fargo
California
$528K -$17.8K -1,111 -3%
YCM
15
Yakira Capital Management
Connecticut
$426K -$700K -43,583 -62%
NCM
16
Next Capital Management
New York
$418K +$18.9K +1,179 +5%
BWA
17
BDO Wealth Advisors
Florida
$406K -$17.7K -1,100 -4%
USCWA
18
U.S. Capital Wealth Advisors
Texas
$394K
RJA
19
Raymond James & Associates
Florida
$389K +$40.5K +2,526 +12%
SBIA
20
Sheaff Brock Investment Advisors
Indiana
$327K
Bank of America
21
Bank of America
North Carolina
$267K -$8.93K -556 -3%
WS
22
Wedbush Securities
California
$252K +$9.63K +600 +4%
OC
23
Oppenheimer & Co
New York
$228K -$4.72K -294 -2%
FFG
24
Ford Financial Group
California
$220K +$17.6K +1,097 +9%
PAG
25
Private Advisor Group
New Jersey
$220K +$221K +13,767 New