Vault-13

RIVERNORTH OPPORTUNITIES FD RIV

COM · Closed-End Fund · CUSIP 76881Y109

50 institutional holders -4 vs Q1 2024
5,291,0055.3m shares reported held*
$62.6mreported value*
2 new 24 added 12 reduced 6 sold out net sold ≈ $36.8m (-2.8m 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 ≈ $11.84.

Trends to Q2 2024

Institutional holders

Managers reporting a position, each quarter

0204060Q3 22: 34Q4 22: 40Q1 23: 48Q2 23: 47Q3 23: 44Q4 23: 55Q1 24: 54Q2 24: 5050Q3 22Q1 23Q3 23Q1 24Q2 24
Numbers
QuarterHolders
Q3 202234
Q4 202240
Q1 202348
Q2 202347
Q3 202344
Q4 202355
Q1 202454
Q2 202450

Buyers vs sellers

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

Bought or addedCut or sold out
40040Q4 22: 24 bought or addedQ4 22: 11 cut or sold outQ4 22Q1 23: 33 bought or addedQ1 23: 11 cut or sold outQ2 23: 26 bought or addedQ2 23: 15 cut or sold outQ2 23Q3 23: 22 bought or addedQ3 23: 16 cut or sold outQ4 23: 36 bought or addedQ4 23: 12 cut or sold outQ4 23Q1 24: 21 bought or addedQ1 24: 24 cut or sold outQ2 24: 26 bought or addedQ2 24: 18 cut or sold outQ2 24
Numbers
QuarterBought or addedCut or sold out
Q4 20222411
Q1 20233311
Q2 20232615
Q3 20232216
Q4 20233612
Q1 20242124
Q2 20242618

Biggest buyers

LPL Financial LLC Added +172,521+172.5k
Strategic Financial Concepts, LLC Added +166,122+166.1k
Tennessee Valley Asset Management Partners Added +98,604+98.6k
B. Riley Wealth Advisors, Inc. Added +54,790+54.8k
Quarry LP Added +52,123+52.1k
Marks Group Wealth Management, Inc Added +47,608+47.6k
WELLS FARGO & COMPANY/MN Added +34,244+34.2k
PRINCIPAL SECURITIES, INC. Added +12,875+12.9k
ENVESTNET ASSET MANAGEMENT INC Added +9,760+9.8k
Calamos Advisors LLC Added +6,549+6.5k

Biggest sellers

MORGAN STANLEY Reduced -3,138,183-3.1m
Janney Montgomery Scott LLC Reduced -162,286-162.3k
BANK OF AMERICA CORP /DE/ Reduced -52,303-52.3k
LANDSCAPE CAPITAL MANAGEMENT, L.L.C. Sold out -28,892-28.9k
OSAIC HOLDINGS, INC. Reduced -28,301-28.3k
Shaker Financial Services, LLC Sold out -23,504-23.5k
Sigma Planning Corp Sold out -20,725-20.7k
CSS LLC/IL Reduced -17,587-17.6k
Moloney Securities Asset Management, LLC Sold out -12,549-12.5k
U.S. Capital Wealth Advisors, LLC Reduced -7,060-7.1k

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 in Q2 2024

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.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
202Q3 22: 0 buyingQ3 22: 0 sellingQ4 22: 2 buyingQ4 22: 0 sellingQ4 22Q1 23: 0 buyingQ1 23: 0 sellingQ2 23: 1 buyingQ2 23: 0 sellingQ2 23Q3 23: 0 buyingQ3 23: 0 sellingQ4 23: 1 buyingQ4 23: 0 sellingQ4 23Q1 24: 0 buyingQ1 24: 0 sellingQ2 24: 0 buyingQ2 24: 0 sellingQ2 24
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q3 20220—0——
Q4 20222$33.1k0——
Q1 20230—0——
Q2 20231$17.3k0——
Q3 20230—0——
Q4 20231$24.4k0——
Q1 20240—0——
Q2 20240—0——

None reported in Q2 2024.

Holders, Q2 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,649,8201.6m $20.2m $20.2m 0.00% Reduced -3.1m -3,138,183
2 MANGROVE PARTNERS IM, LLC 0.51% of their portfolio Greenwich, CT 515,627515.6k $6.3m $6.3m 0.51% Unchanged
3 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 298,802298.8k $3.7m $3.7m 0.00% Added +172.5k +172,521
4 B. Riley Wealth Advisors, Inc. 0.08% of their portfolio MEMPHIS, TN 248,240248.2k $3.0m $3.0m 0.08% Added +54.8k +54,790
5 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 235,322235.3k $2.9m $2.9m 0.00% Added +34.2k +34,244
6 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 211,021211.0k $2.6m $2.6m 0.00% Reduced -52.3k -52,303
7 Tennessee Valley Asset Management Partners 0.24% of their portfolio KNOXVILLE, TN 194,404194.4k $2.4m $2.4m 0.24% Added +98.6k +98,604
8 Strategic Financial Concepts, LLC 0.01% of their portfolio SAN ANTONIO, TX 180,222180.2k $14.7k $14.7k 0.01% Added +166.1k +166,122
9 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 157,349157.3k $1.9m $1.9m 0.00% Reduced -2.4k -2,360
10 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 134,681134.7k $1.6m $1.6m 0.00% Added +9.8k +9,760
11 PRINCIPAL SECURITIES, INC. 0.05% of their portfolio DES MOINES, IA 134,189134.2k $1.6m $1.6m 0.05% Added +12.9k +12,875
12 ABSOLUTE INVESTMENT ADVISERS, LLC 0.23% of their portfolio ROSEMARY BEACH, FL 124,506124.5k $1.5m $1.5m 0.23% Reduced -2.5k -2,450
13 Marks Group Wealth Management, Inc 0.15% of their portfolio MINNETONKA, MN 114,796114.8k $1.4m $1.4m 0.15% Added +47.6k +47,608
14 Quarry LP 0.27% of their portfolio NEW YORK, NY 106,340106.3k $1.3m $1.3m 0.27% Added +52.1k +52,123
15 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 95,39595.4k $1.2m $1.2m 0.00% Reduced -6.6k -6,572
16 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.09% of their portfolio CEDAR RAPIDS, IA 89,67689.7k $1.1m $1.1m 0.09% Added +1.2k +1,226
17 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 85,85985.9k $1.1m $1.1m 0.00% Reduced -28.3k -28,301
18 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 69,53869.5k $852.0k $852.0k 0.00% Reduced -162.3k -162,286
19 NWF Advisory Services Inc. 0.11% of their portfolio Los Angeles, CA 57,12757.1k $699.8k $699.8k 0.11% Unchanged
20 AEGON USA Investment Management, LLC 0.49% of their portfolio CEDAR RAPIDS, IA 50,16550.2k $614.5k $614.5k 0.49% Unchanged
21 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 46,80046.8k $573.3k $573.3k 0.00% Added +1.7k +1,725
22 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 45,37345.4k $555.8k $555.8k 0.00% Added +668 +668
23 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 42,88142.9k $525.3k $525.3k 0.01% Added +906 +906
24 Sheaff Brock Investment Advisors, LLC 0.04% of their portfolio INDIANAPOLIS, IN 34,00034.0k $416.5k $416.5k 0.04% Added +1.0k +1,000
25 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 33,27333.3k $407.6k $407.6k 0.00% Added +1.8k +1,823
26 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 30,28830.3k $371.0k $371.0k 0.00% Added +623 +623
27 Calamos Advisors LLC 0.00% of their portfolio NAPERVILLE, IL 30,27130.3k $370.8k $370.8k 0.00% Added +6.5k +6,549
28 BlackDiamond Wealth Management, LLC 0.23% of their portfolio NEW YORK, NY 28,27328.3k $348.3k $348.3k 0.23% Added +266 +266
29 WEDBUSH SECURITIES INC 0.01% of their portfolio PASADENA, CA 26,80126.8k $328.0k $328.0k 0.01% Reduced -2.2k -2,183
30 CoreCap Advisors, LLC 0.03% of their portfolio SOUTHFIELD, MI 24,47524.5k $299.8k $299.8k 0.03% Added +3.9k +3,900
31 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 23,49923.5k $287.9k $287.9k 0.00% Added +62 +62
32 Westside Investment Management, Inc. 0.06% of their portfolio SANTA MONICA, CA 21,20021.2k $259.7k $259.7k 0.06% Unchanged
33 UBS Group AG 0.00% of their portfolio ZURICH, V8 20,93420.9k $256.4k $256.4k 0.00% Added +1.3k +1,256
34 SeaCrest Wealth Management, LLC 0.03% of their portfolio PURCHASE, NY 20,75320.8k $254.2k $254.2k 0.03% Reduced -1.2k -1,222
35 CSS LLC/IL 0.02% of their portfolio CHICAGO, IL 17,00817.0k $208.3k $208.3k 0.02% Reduced -17.6k -17,587
36 Atria Wealth Solutions, Inc. 0.00% of their portfolio NEW YORK, NY 15,90615.9k $194.8k $194.8k 0.00% Added +1.3k +1,339
37 TRANSCEND CAPITAL ADVISORS, LLC 0.01% of their portfolio MADISON, NJ 12,55412.6k $153.8k $153.8k 0.01% Unchanged
38 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 12,50012.5k $153.0k $153.0k 0.00% Unchanged
39 CHANNEL WEALTH LLC 0.05% of their portfolio SANTA BARBARA, CA 12,37112.4k $151.5k $151.5k 0.05% Reduced -2.2k -2,250
40 U.S. Capital Wealth Advisors, LLC 0.01% of their portfolio AUSTIN, TX 12,00012.0k $147.0k $147.0k 0.01% Reduced -7.1k -7,060
41 CIBC Private Wealth Group LLC 0.00% of their portfolio ATLANTA, GA 11,79011.8k $144.9k $144.9k 0.00% Unchanged
42 Farther Finance Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 7,1207.1k $86.9k $86.9k 0.00% Added +265 +265
43 NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio MONTREAL, A8 2,6392.6k $32.2k $32.2k 0.00% Unchanged
44 OLIVER LAGORE VANVALIN INVESTMENT GROUP 0.01% of their portfolio FLINT, MI 2,4002.4k $29.4k $29.4k 0.01% Unchanged
45 Ashton Thomas Private Wealth, LLC 0.00% of their portfolio SCOTTSDALE, AZ 2,0002.0k $24.5k $24.5k 0.00% New
46 CWM, LLC 0.00% of their portfolio OMAHA, NE 358358 $4.0k $4.0k 0.00% Unchanged
47 Geneos Wealth Management Inc. 0.00% of their portfolio ENGLEWOOD, CO 310310 $3.8k $3.8k 0.00% Unchanged
48 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 106106 $1.3k $1.3k 0.00% New
49 AlphaMark Advisors, LLC 0.00% of their portfolio FT. WRIGHT, KY 4343 $1.0k $1.0k 0.00% Added +1 +1
50 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged