Vault-13

RIVERNORTH OPPORTUNITIES FD RIV

COM · Closed-End Fund · CUSIP 76881Y109

60 institutional holders +3 vs Q1 2026
9,592,9889.6m shares reported held*
$111.9mreported value*
8 new 21 added 16 reduced 6 sold out net sold ≈ $1.9m (-161.0k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $11.66.

Trends to Q2 2026

Institutional holders

Managers reporting a position, each quarter

0204060Q3 22: 34Q4 22: 40Q1 23: 48Q2 23: 47Q3 23: 44Q4 23: 55Q1 24: 54Q2 24: 50Q3 24: 46Q4 24: 50Q1 25: 48Q2 25: 49Q3 25: 52Q4 25: 58Q1 26: 57Q2 26: 6060Q3 22Q3 23Q3 24Q3 25Q2 26
Numbers
QuarterHolders
Q3 202234
Q4 202240
Q1 202348
Q2 202347
Q3 202344
Q4 202355
Q1 202454
Q2 202450
Q3 202446
Q4 202450
Q1 202548
Q2 202549
Q3 202552
Q4 202558
Q1 202657
Q2 202660

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
40040Q3 24: 22 bought or addedQ3 24: 21 cut or sold outQ4 24: 26 bought or addedQ4 24: 17 cut or sold outQ4 24Q1 25: 25 bought or addedQ1 25: 18 cut or sold outQ2 25: 21 bought or addedQ2 25: 19 cut or sold outQ2 25Q3 25: 31 bought or addedQ3 25: 14 cut or sold outQ4 25: 30 bought or addedQ4 25: 22 cut or sold outQ4 25Q1 26: 24 bought or addedQ1 26: 22 cut or sold outQ2 26: 29 bought or addedQ2 26: 22 cut or sold outQ2 26
Numbers
QuarterBought or addedCut or sold out
Q3 20242221
Q4 20242617
Q1 20252518
Q2 20252119
Q3 20253114
Q4 20253022
Q1 20262422
Q2 20262922

Biggest buyers

RAYMOND JAMES FINANCIAL INC Added +109,817+109.8k
Creative Planning New +68,138+68.1k
LPL Financial LLC Added +60,965+61.0k
Everstar Asset Management, LLC Added +45,159+45.2k
Penserra Capital Management LLC Added +29,612+29.6k
CHOREO, LLC New +24,362+24.4k
Clear Street Group Inc. New +17,516+17.5k
CoreCap Advisors, LLC Added +15,303+15.3k
CITADEL ADVISORS LLC New +12,973+13.0k
Advisor OS, LLC Added +12,318+12.3k

Biggest sellers

ABSOLUTE INVESTMENT ADVISERS, LLC Sold out -274,406-274.4k
Quarry LP Sold out -119,886-119.9k
Shaker Financial Services, LLC Sold out -61,335-61.3k
Yakira Capital Management, Inc. Reduced -34,489-34.5k
MORGAN STANLEY Reduced -24,027-24.0k
Tennessee Valley Asset Management Partners Reduced -16,955-17.0k
Gateway Wealth Partners, LLC Reduced -12,333-12.3k
TCP Asset Management, LLC Sold out -11,875-11.9k
SIT INVESTMENT ASSOCIATES INC Reduced -10,000-10.0k
NWF Advisory Services Inc. Reduced -6,400-6.4k

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
Equitable Holdings, Inc. 13G · institution new · filed 2026-10-09 47.0% new 1.4m 2026-10-09
THRIVENT FINANCIAL FOR LUTHERANS 13G · institution new · filed 2026-09-21 24.7% new 740.0k 2026-09-21
ALLIANCEBERNSTEIN L.P. 13G · institution new · filed 2026-10-09 22.0% new 656.0k 2026-10-09
SIT INVESTMENT ASSOCIATES INC 13G · institution new · filed 2025-11-03 10.5% new 2.9m≈ $33.6m 2025-11-03
MORGAN STANLEY 13G · institution filed 2025-05-07 8.2% 1.8m≈ $20.6m 2025-05-07

Insider purchases and sales since 1 Apr 2026

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

None reported since 1 Apr 2026.

Holders, Q2 2026

#ManagerLocationShares Value% of their portfolioChangeShares change
1 SIT INVESTMENT ASSOCIATES INC 0.55% of their portfolio Minneapolis, MN 2,488,0222.5m $29.0m $29.0m 0.55% Reduced -10.0k -10,000
2 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,868,9691.9m $21.8m $21.8m 0.00% Reduced -24.0k -24,027
3 Penserra Capital Management LLC 0.07% of their portfolio ORINDA, CA 775,986776.0k $9.0m $9.0m 0.07% Added +29.6k +29,612
4 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 595,638595.6k $6.9m $6.9m 0.00% Added +61.0k +60,965
5 Arete Wealth Advisors, LLC 0.34% of their portfolio CHICAGO, IL 440,153440.2k $5.1m $5.1m 0.34% Added +2.9k +2,888
6 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 331,846331.8k $3.9m $3.9m 0.00% Added +9.6k +9,600
7 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 292,223292.2k $3.4m $3.4m 0.00% Added +971 +971
8 Yakira Capital Management, Inc. 0.80% of their portfolio Westport, CT 232,717232.7k $2.7m $2.7m 0.80% Reduced -34.5k -34,489
9 Everstar Asset Management, LLC 1.20% of their portfolio MOORESVILLE, NC 213,685213.7k $2.5m $2.5m 1.20% Added +45.2k +45,159
10 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 199,892199.9k $2.3m $2.3m 0.00% Reduced -5.2k -5,249
11 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 177,189177.2k $2.1m $2.1m 0.00% Added +4.6k +4,571
12 RAYMOND JAMES FINANCIAL INC 0.00% of their portfolio ST. PETERSBURG, FL 169,706169.7k $2.0m $2.0m 0.00% Added +109.8k +109,817
13 PRINCIPAL SECURITIES, INC. 0.02% of their portfolio DES MOINES, IA 168,674168.7k $2.0m $2.0m 0.02% Added +4.6k +4,571
14 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 118,791118.8k $1.4m $1.4m 0.00% Reduced -3.9k -3,885
15 Tennessee Valley Asset Management Partners 0.15% of their portfolio KNOXVILLE, TN 114,169114.2k $1.3m $1.3m 0.15% Reduced -17.0k -16,955
16 Marks Group Wealth Management, Inc 0.11% of their portfolio MINNETONKA, MN 107,869107.9k $1.3m $1.3m 0.11% Unchanged
17 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 99,57299.6k $1.2m $1.2m 0.00% Reduced -3.1k -3,129
18 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.05% of their portfolio CEDAR RAPIDS, IA 85,33785.3k $995.0k $995.0k 0.05% Reduced -1.3k -1,349
19 Advisory Solutions Group, LLC 0.34% of their portfolio PLYMOUTH, MN 84,47084.5k $984.9k $984.9k 0.34% First filing
20 NOMURA HOLDINGS INC 0.00% of their portfolio TOKYO, M0 83,86483.9k $977.9k $977.9k 0.00% Unchanged
21 Advisor OS, LLC 0.06% of their portfolio CHICAGO, IL 71,28971.3k $831.2k $831.2k 0.06% Added +12.3k +12,318
22 Opal Wealth Advisors, LLC 0.17% of their portfolio JERICHO, NY 68,88268.9k $803.2k $803.2k 0.17% Added +305 +305
23 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 68,13868.1k $794.5k $794.5k 0.00% New
24 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 66,04766.0k $770.1k $770.1k 0.00% Added +1.4k +1,419
25 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 56,86756.9k $663.1k $663.1k 0.00% Reduced -4.8k -4,779
26 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 53,77953.8k $627.1k $627.1k 0.01% Added +830 +830
27 NWF Advisory Services Inc. 0.05% of their portfolio Los Angeles, CA 44,52744.5k $519.2k $519.2k 0.05% Reduced -6.4k -6,400
28 CSS LLC/IL 0.02% of their portfolio CHICAGO, IL 43,91543.9k $512.0k $512.0k 0.02% Unchanged
29 Kovack Advisors, Inc. 0.02% of their portfolio FT. LAUDERDALE, FL 40,46840.5k $471.0k $471.0k 0.02% Added +3.1k +3,083
30 CoreCap Advisors, LLC 0.01% of their portfolio SOUTHFIELD, MI 35,43635.4k $413.2k $413.2k 0.01% Added +15.3k +15,303
31 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 32,28832.3k $376.0k $376.0k 0.00% Added +294 +294
32 Total Wealth Planning & Management, Inc. 0.27% of their portfolio Ponte Vedra Beach, FL 31,43731.4k $366.6k $366.6k 0.27% Added +928 +928
33 WEDBUSH SECURITIES INC 0.01% of their portfolio PASADENA, CA 26,45626.5k $308.0k $308.0k 0.01% Reduced -33 -33
34 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 25,97826.0k $302.9k $302.9k 0.00% Reduced -290 -290
35 CHOREO, LLC 0.00% of their portfolio ROCKFORD, IL 24,36224.4k $284.1k $284.1k 0.00% New
36 UBS Group AG 0.00% of their portfolio ZURICH, V8 21,70721.7k $253.1k $253.1k 0.00% Unchanged
37 SeaCrest Wealth Management, LLC 0.03% of their portfolio PURCHASE, NY 21,59321.6k $251.8k $251.8k 0.03% Added +840 +840
38 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 19,28019.3k $224.8k $224.8k 0.00% Unchanged
39 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 18,84918.8k $219.8k $219.8k 0.00% Added +64 +64
40 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 18,70018.7k $218.0k $218.0k 0.00% Unchanged
41 Clear Street Group Inc. 0.00% of their portfolio NEW YORK, NY 17,51617.5k $204.2k $204.2k 0.00% New
42 BlackRock, Inc. 0.00% of their portfolio New York, NY 15,37315.4k $179.2k $179.2k 0.00% Unchanged
43 Westside Investment Management, Inc. 0.02% of their portfolio SANTA MONICA, CA 15,00015.0k $174.9k $174.9k 0.02% Reduced -5.0k -5,000
44 WealthTrust Asset Management, LLC 0.09% of their portfolio Destin, FL 14,45414.5k $168.5k $168.5k 0.09% Reduced -669 -669
45 Sequoia Financial Advisors, LLC 0.00% of their portfolio Akron, OH 14,00014.0k $163.2k $163.2k 0.00% Unchanged
46 Gateway Wealth Partners, LLC 0.01% of their portfolio APPLETON, WI 13,83313.8k $161.3k $161.3k 0.01% Reduced -12.3k -12,333
47 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 12,97313.0k $151.3k $151.3k 0.00% New
48 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 12,44512.4k $145.1k $145.1k 0.00% Added +163 +163
49 CHANNEL WEALTH LLC 0.03% of their portfolio SANTA BARBARA, CA 11,12111.1k $129.7k $129.7k 0.03% Reduced -500 -500
50 ALTERNA WEALTH MANAGEMENT, INC 0.07% of their portfolio HOUSTON, TX 11,00711.0k $128.3k $128.3k 0.07% New
51 CIBC Bancorp USA Inc. 0.00% of their portfolio CHICAGO, IL 11,00011.0k $128.3k $128.3k 0.00% Unchanged
52 Pinnacle Wealth Planning Services, Inc. 0.00% of their portfolio MANSFIELD, OH 2,0002.0k $23.3k $23.3k 0.00% Unchanged
53 Larson Financial Group LLC 0.00% of their portfolio ST LOUIS, MO 930930 $10.8k $10.8k 0.00% New
54 HARBOUR INVESTMENTS, INC. 0.00% of their portfolio MADISON, WI 856856 $10.0k $10.0k 0.00% Added +318 +318
55 Luminist Capital LLC 0.01% of their portfolio GRAND RAPIDS, MI 537537 $6.3k $6.3k 0.01% New
56 COMPASS FINANCIAL MANAGEMENT LLC 0.00% of their portfolio TAMPA, FL 500500 $5.8k $5.8k 0.00% First filing
57 Geneos Wealth Management Inc. 0.00% of their portfolio ENGLEWOOD, CO 310310 $3.6k $3.6k 0.00% Unchanged
58 HIGHLINE WEALTH PARTNERS LLC 0.00% of their portfolio SHERMAN OAKS, CA 180180 $2.1k $2.1k 0.00% Unchanged
59 Ameritas Advisory Services, LLC 0.00% of their portfolio Lincoln, NE 100100 $1.2k $1.2k 0.00% New
60 Farther Finance Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 8383 $968 $968 0.00% Unchanged