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 ≈ $15.75.
Trends to Q4 2023
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 13 |
| Q4 2022 | 19 |
| Q1 2023 | 17 |
| Q2 2023 | 16 |
| Q3 2023 | 16 |
| Q4 2023 | 16 |
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 |
| Q2 2023 | 7 | 12 |
| Q3 2023 | 6 | 10 |
| Q4 2023 | 5 | 10 |
Biggest buyers
| MORGAN STANLEY | Added | +26.1k |
| CSS LLC/IL | Added | +12.6k |
| Farther Finance Advisors, LLC | New | +6.6k |
| NewEdge Advisors, LLC | Added | +1.2k |
| WELLS FARGO & COMPANY/MN | New | +144 |
Biggest sellers
| SIT INVESTMENT ASSOCIATES INC | Reduced | -82.4k |
| Capital Investment Advisors, LLC | Sold out | -56.9k |
| ICON ADVISERS INC/CO | Reduced | -34.6k |
| StrategIQ Financial Group, LLC | Reduced | -8.9k |
| UBS Group AG | Reduced | -3.2k |
| Yakira Capital Management, Inc. | Reduced | -3.2k |
| Twelve Points Wealth Management LLC | Reduced | -3.1k |
| OSAIC HOLDINGS, INC. | Reduced | -729 |
| RAYMOND JAMES & ASSOCIATES | Reduced | -448 |
| Tower Research Capital LLC (TRC) | Sold out | -100 |
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, Q4 2023
| Manager | Shares | Change |
|---|---|---|
| SIT INVESTMENT ASSOCIATES INC 0.33% of their portfolio | 846.3k $13.3m | Reduced -82.4k |
| StrategIQ Financial Group, LLC 0.29% of their portfolio | 164.3k $2.6m | Reduced -8.9k |
| ICON ADVISERS INC/CO 0.49% of their portfolio | 136.1k $2.1m | Reduced -34.6k |
| CSS LLC/IL 0.08% of their portfolio | 65.7k $1.0m | Added +12.6k |
| MORGAN STANLEY 0.00% of their portfolio | 51.5k $811.1k | Added +26.1k |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 40.6k $639.9k | Reduced -729 |
| Yakira Capital Management, Inc. 0.13% of their portfolio | 25.4k $399.5k | Reduced -3.2k |
| RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio | 17.6k $276.6k | Reduced -448 |
| NewEdge Advisors, LLC 0.00% of their portfolio | 16.3k $256.9k | Added +1.2k |
| Twelve Points Wealth Management LLC 0.12% of their portfolio | 15.4k $242.9k | Reduced -3.1k |
| Farther Finance Advisors, LLC 0.01% of their portfolio | 6.6k $104.3k | New |
| UBS Group AG 0.00% of their portfolio | 5.5k $86.2k | Reduced -3.2k |
| Mendota Financial Group, LLC 0.02% of their portfolio | 1.7k $27.3k | Unchanged |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 1.4k $22.0k | Unchanged |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 144 $2.3k | New |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |