Vault-13

RIVERNORTH CAP AND INCM FD I XRSFX

COM · Closed-End Fund · CUSIP 76882B108

22 institutional holders -3 vs Q1 2024
1,699,0851.7m shares reported held*
$26.1mreported value*
2 new 9 added 9 reduced 5 sold out net bought ≈ $311.5k (+20.3k 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 ≈ $15.35.

Trends to Q2 2024

Institutional holders

Managers reporting a position, each quarter

0102030Q3 22: 13Q4 22: 19Q1 23: 17Q2 23: 16Q3 23: 16Q4 23: 16Q1 24: 25Q2 24: 2222Q3 22Q1 23Q3 23Q1 24Q2 24
Numbers
QuarterHolders
Q3 202213
Q4 202219
Q1 202317
Q2 202316
Q3 202316
Q4 202316
Q1 202425
Q2 202422

Buyers vs sellers

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

Bought or addedCut or sold out
20020Q4 22: 8 bought or addedQ4 22: 8 cut or sold outQ4 22Q1 23: 11 bought or addedQ1 23: 10 cut or sold outQ2 23: 7 bought or addedQ2 23: 12 cut or sold outQ2 23Q3 23: 6 bought or addedQ3 23: 10 cut or sold outQ4 23: 5 bought or addedQ4 23: 10 cut or sold outQ4 23Q1 24: 14 bought or addedQ1 24: 7 cut or sold outQ2 24: 11 bought or addedQ2 24: 14 cut or sold outQ2 24
Numbers
QuarterBought or addedCut or sold out
Q4 202288
Q1 20231110
Q2 2023712
Q3 2023610
Q4 2023510
Q1 2024147
Q2 20241114

Biggest buyers

SIT INVESTMENT ASSOCIATES INC Added +113,987+114.0k
CSS LLC/IL Added +75,741+75.7k
Sea Otter Advisors LLC Added +70,000+70.0k
ICON ADVISERS INC/CO Added +44,430+44.4k
ABSOLUTE INVESTMENT ADVISERS, LLC New +44,040+44.0k
Yakira Capital Management, Inc. Added +39,798+39.8k
SUSQUEHANNA INTERNATIONAL GROUP, LLP New +10,056+10.1k
UBS Group AG Added +6,302+6.3k
NewEdge Advisors, LLC Added +1,700+1.7k
WFA Asset Management Corp Added +464+464

Biggest sellers

Alpine Global Management, LLC Sold out -147,556-147.6k
BOOTHBAY FUND MANAGEMENT, LLC Sold out -73,778-73.8k
Quarry LP Reduced -53,788-53.8k
MORGAN STANLEY Reduced -52,530-52.5k
OSAIC HOLDINGS, INC. Reduced -39,418-39.4k
Waverly Advisors, LLC Reduced -9,694-9.7k
Cresset Asset Management, LLC Reduced -2,176-2.2k
RAYMOND JAMES & ASSOCIATES Reduced -1,839-1.8k
Twelve Points Wealth Management LLC Reduced -1,762-1.8k
Mendota Financial Group, LLC Sold out -1,732-1.7k

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
CSS LLC/IL 13G · passive investor +1.2 pts · filed 2025-12-19 6.3% +1.2 pts 266.7k≈ $3.9m 2025-12-19

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, Q2 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 SIT INVESTMENT ASSOCIATES INC 0.26% of their portfolio Minneapolis, MN 740,397740.4k $11.4m $11.4m 0.26% Added +114.0k +113,987
2 ICON ADVISERS INC/CO 0.59% of their portfolio GREENWOOD VILLAGE, CO 171,638171.6k $2.6m $2.6m 0.59% Added +44.4k +44,430
3 Waverly Advisors, LLC 0.04% of their portfolio BIRMINGHAM, AL 148,013148.0k $2.3m $2.3m 0.04% Reduced -9.7k -9,694
4 CSS LLC/IL 0.16% of their portfolio CHICAGO, IL 144,751144.8k $2.2m $2.2m 0.16% Added +75.7k +75,741
5 Sea Otter Advisors LLC 15.44% of their portfolio Miami, FL 120,000120.0k $1.8m $1.8m 15.44% Added +70.0k +70,000
6 Shaker Financial Services, LLC 0.54% of their portfolio Arlington, VA 86,77886.8k $1.3m $1.3m 0.54% Reduced -1.0k -1,007
7 Yakira Capital Management, Inc. 0.31% of their portfolio Westport, CT 50,31450.3k $772.8k $772.8k 0.31% Added +39.8k +39,798
8 Capital Investment Advisors, LLC 0.02% of their portfolio ATLANTA, GA 48,14448.1k $739.5k $739.5k 0.02% Reduced -886 -886
9 ABSOLUTE INVESTMENT ADVISERS, LLC 0.10% of their portfolio ROSEMARY BEACH, FL 44,04044.0k $676.5k $676.5k 0.10% New
10 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 26,52026.5k $407.4k $407.4k 0.00% Reduced -52.5k -52,530
11 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 21,00021.0k $322.6k $322.6k 0.00% Added +1.7k +1,700
12 Quarry LP 0.06% of their portfolio NEW YORK, NY 20,02020.0k $307.5k $307.5k 0.06% Reduced -53.8k -53,788
13 Cresset Asset Management, LLC 0.00% of their portfolio Chicago, IL 18,17818.2k $279.2k $279.2k 0.00% Reduced -2.2k -2,176
14 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 14,22914.2k $218.6k $218.6k 0.00% Reduced -1.8k -1,839
15 Twelve Points Wealth Management LLC 0.07% of their portfolio CONCORD, MA 13,56213.6k $208.3k $208.3k 0.07% Reduced -1.8k -1,762
16 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 10,05610.1k $154.5k $154.5k 0.00% New
17 UBS Group AG 0.00% of their portfolio ZURICH, V8 8,7028.7k $133.7k $133.7k 0.00% Added +6.3k +6,302
18 Farther Finance Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 6,3696.4k $97.5k $97.5k 0.00% Added +74 +74
19 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 2,9743.0k $45.7k $45.7k 0.00% Reduced -39.4k -39,418
20 WFA Asset Management Corp 0.02% of their portfolio WHITEFISH BAY, WI 2,0002.0k $30.7k $30.7k 0.02% Added +464 +464
21 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 1,4001.4k $22.0k $22.0k 0.00% Unchanged
22 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged