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RIV

RiverNorth Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$20.9M +$1.09M +90,284 +5%
PCM
2
Penserra Capital Management
California
$6.73M -$761K -63,102 -10%
LPL Financial
3
LPL Financial
California
$5.03M +$238K +19,743 +5%
Wells Fargo
4
Wells Fargo
California
$3.13M +$404K +33,509 +14%
BRWA
5
B. Riley Wealth Advisors
Florida
$2.64M +$486K +40,350 +22%
Royal Bank of Canada
6
Royal Bank of Canada
Ontario, Canada
$2.35M +$483K +40,031 +25%
Envestnet Asset Management
7
Envestnet Asset Management
Illinois
$2.27M +$241K +19,956 +12%
PS
8
Principal Securities
Iowa
$1.9M
Baird Financial Group
9
Baird Financial Group
Wisconsin
$1.36M +$189K +15,700 +16%
MGWM
10
Marks Group Wealth Management
Minnesota
$1.36M
TVAMP
11
Tennessee Valley Asset Management Partners
Tennessee
$1.33M +$218K +18,083 +19%
EAM
12
Everstar Asset Management
North Carolina
$1.1M +$121K +10,070 +12%
NFG
13
Nations Financial Group
Iowa
$1.05M +$25.3K +2,097 +2%
Osaic Holdings
14
Osaic Holdings
Arizona
$967K +$53.8K +4,465 +6%
Raymond James Financial
15
Raymond James Financial
Florida
$733K +$27.5K +2,278 +4%
SFS
16
Shaker Financial Services
Virginia
$672K -$532K -44,097 -44%
NAS
17
NWF Advisory Services
California
$663K +$678K +56,227 New
AO
18
Advisor OS
Illinois
$627K +$16.5K +1,369 +3%
OC
19
Oppenheimer & Co
New York
$553K +$31.3K +2,594 +6%
SBIA
20
Sheaff Brock Investment Advisors
Indiana
$527K +$22.9K +1,900 +4%
Janney Montgomery Scott
21
Janney Montgomery Scott
Pennsylvania
$431K +$2.13K +177 +0.5%
AWS
22
Atria Wealth Solutions
New York
$340K -$1.02M -84,540 -75%
CA
23
CoreCap Advisors
Michigan
$332K -$34.4K -2,850 -9%
RAM
24
Readystate Asset Management
Illinois
$321K +$328K +27,201 New
WS
25
Wedbush Securities
California
$311K -$8.2K -680 -3%