RIVERNORTH CAP AND INCM FD I XRSFX
COM · Closed-End Fund · CUSIP 76882B108
* 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 ≈ $15.43.
Trends to Q1 2023
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 13 |
| Q4 2022 | 19 |
| Q1 2023 | 17 |
Buyers vs sellers
Managers adding to or starting a position, vs cutting or selling out
Numbers
| Quarter | Bought or added | Cut or sold out |
|---|---|---|
| Q4 2022 | 8 | 8 |
| Q1 2023 | 11 | 10 |
Biggest buyers
| SIT INVESTMENT ASSOCIATES INC | Added | +687.6k |
| ICON ADVISERS INC/CO | Added | +136.6k |
| Yakira Capital Management, Inc. | New | +35.7k |
| OTA Financial Group L.P. | New | +20.0k |
| UBS Group AG | Added | +11.7k |
| Capital Investment Advisors, LLC | Added | +2.0k |
| ROYAL BANK OF CANADA | New | +1.4k |
| NewEdge Advisors, LLC | Added | +1.4k |
| OSAIC HOLDINGS, INC. | Added | +275 |
| Tower Research Capital LLC (TRC) | New | +200 |
Biggest sellers
| BOOTHBAY FUND MANAGEMENT, LLC | Sold out | -50.0k |
| Alpine Global Management, LLC | Sold out | -50.0k |
| Cresset Asset Management, LLC | Sold out | -14.7k |
| BANK OF AMERICA CORP /DE/ | Sold out | -14.0k |
| MORGAN STANLEY | Reduced | -12.3k |
| RAYMOND JAMES & ASSOCIATES | Reduced | -7.6k |
| Twelve Points Wealth Management LLC | Reduced | -5.0k |
| StrategIQ Financial Group, LLC | Reduced | -2.3k |
| Mendota Financial Group, LLC | Sold out | -1.7k |
| CLOUGH CAPITAL PARTNERS L P | Sold out | -600 |
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.
| Holder | Stake |
|---|---|
| CSS LLC/IL 13G · passive investor +1.2 pts · filed 2025-12-19 | 6.3% |
Fell to 5% or below in the last year: OSAIC HOLDINGS, INC. (0.2%, 2026-08-14), NOMURA HOLDINGS INC (0.0%, 2026-02-17)
Holders, Q1 2023
| Manager | Shares | Change |
|---|---|---|
| SIT INVESTMENT ASSOCIATES INC 0.31% of their portfolio | 733.6k $11.3m | Added +687.6k |
| StrategIQ Financial Group, LLC 0.32% of their portfolio | 181.7k $2.8m | Reduced -2.3k |
| ICON ADVISERS INC/CO 0.70% of their portfolio | 177.9k $2.7m | Added +136.6k |
| Capital Investment Advisors, LLC 0.03% of their portfolio | 59.6k $919.9k | Added +2.0k |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 41.5k $641.0k | Added +275 |
| Yakira Capital Management, Inc. 0.14% of their portfolio | 35.7k $550.9k | New |
| RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio | 32.4k $499.8k | Reduced -7.6k |
| MORGAN STANLEY 0.00% of their portfolio | 26.6k $410.7k | Reduced -12.3k |
| NewEdge Advisors, LLC 0.00% of their portfolio | 26.1k $399.6k | Added +1.4k |
| Twelve Points Wealth Management LLC 0.22% of their portfolio | 24.5k $377.6k | Reduced -5.0k |
| OTA Financial Group L.P. 0.29% of their portfolio | 20.0k $308.0k | New |
| UBS Group AG 0.00% of their portfolio | 12.0k $185.5k | Added +11.7k |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 1.4k $22.0k | New |
| WFA Asset Management Corp 0.01% of their portfolio | 1.1k $16.9k | Added +30 |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 444 $6.9k | Unchanged |
| Tower Research Capital LLC (TRC) 0.00% of their portfolio | 200 $3.0k | New |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |