Vault-13

RIVERNORTH CAP AND INCM FD I XRSFX

COM · Closed-End Fund · CUSIP 76882B108

18 institutional holders -4 vs Q2 2024
1,403,6101.4m shares reported held*
$21.6mreported value*
1 new 6 added 10 reduced 5 sold out net sold ≈ $4.5m (-295.5k 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 ≈ $15.39.

Trends to Q3 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: 22Q3 24: 1818Q3 22Q1 23Q3 23Q1 24Q3 24
Numbers
QuarterHolders
Q3 202213
Q4 202219
Q1 202317
Q2 202316
Q3 202316
Q4 202316
Q1 202425
Q2 202422
Q3 202418

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 outQ1 23: 11 bought or addedQ1 23: 10 cut or sold outQ1 23Q2 23: 7 bought or addedQ2 23: 12 cut or sold outQ3 23: 6 bought or addedQ3 23: 10 cut or sold outQ3 23Q4 23: 5 bought or addedQ4 23: 10 cut or sold outQ1 24: 14 bought or addedQ1 24: 7 cut or sold outQ1 24Q2 24: 11 bought or addedQ2 24: 14 cut or sold outQ3 24: 7 bought or addedQ3 24: 15 cut or sold outQ3 24
Numbers
QuarterBought or addedCut or sold out
Q4 202288
Q1 20231110
Q2 2023712
Q3 2023610
Q4 2023510
Q1 2024147
Q2 20241114
Q3 2024715

Biggest buyers

CSS LLC/IL Added +25,235+25.2k
LANDSCAPE CAPITAL MANAGEMENT, L.L.C. New +23,974+24.0k
WFA Asset Management Corp Added +1,090+1.1k
MORGAN STANLEY Added +437+437
OSAIC HOLDINGS, INC. Added +349+349
RAYMOND JAMES & ASSOCIATES Added +212+212
Farther Finance Advisors, LLC Added +109+109

Biggest sellers

Sea Otter Advisors LLC Sold out -120,000-120.0k
Shaker Financial Services, LLC Sold out -86,778-86.8k
SIT INVESTMENT ASSOCIATES INC Reduced -64,444-64.4k
Cresset Asset Management, LLC Sold out -18,178-18.2k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Sold out -10,056-10.1k
ABSOLUTE INVESTMENT ADVISERS, LLC Reduced -8,907-8.9k
Waverly Advisors, LLC Reduced -7,807-7.8k
ICON ADVISERS INC/CO Reduced -7,090-7.1k
Quarry LP Reduced -6,578-6.6k
UBS Group AG Reduced -6,302-6.3k

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, Q3 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 SIT INVESTMENT ASSOCIATES INC 0.23% of their portfolio Minneapolis, MN 675,953676.0k $10.4m $10.4m 0.23% Reduced -64.4k -64,444
2 CSS LLC/IL 0.15% of their portfolio CHICAGO, IL 169,986170.0k $2.6m $2.6m 0.15% Added +25.2k +25,235
3 ICON ADVISERS INC/CO 0.53% of their portfolio GREENWOOD VILLAGE, CO 164,548164.5k $2.5m $2.5m 0.53% Reduced -7.1k -7,090
4 Waverly Advisors, LLC 0.04% of their portfolio BIRMINGHAM, AL 140,206140.2k $2.2m $2.2m 0.04% Reduced -7.8k -7,807
5 Capital Investment Advisors, LLC 0.01% of their portfolio ATLANTA, GA 46,64446.6k $717.9k $717.9k 0.01% Reduced -1.5k -1,500
6 Yakira Capital Management, Inc. 0.27% of their portfolio Westport, CT 45,93645.9k $707.0k $707.0k 0.27% Reduced -4.4k -4,378
7 ABSOLUTE INVESTMENT ADVISERS, LLC 0.07% of their portfolio ROSEMARY BEACH, FL 35,13335.1k $540.7k $540.7k 0.07% Reduced -8.9k -8,907
8 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 26,95727.0k $414.9k $414.9k 0.00% Added +437 +437
9 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.04% of their portfolio Englewood, NJ 23,97424.0k $369.0k $369.0k 0.04% New
10 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 18,70018.7k $287.8k $287.8k 0.00% Reduced -2.3k -2,300
11 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 14,44114.4k $222.2k $222.2k 0.00% Added +212 +212
12 Quarry LP 0.06% of their portfolio NEW YORK, NY 13,44213.4k $206.9k $206.9k 0.06% Reduced -6.6k -6,578
13 Twelve Points Wealth Management LLC 0.06% of their portfolio CONCORD, MA 12,39912.4k $190.8k $190.8k 0.06% Reduced -1.2k -1,163
14 Farther Finance Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 6,4786.5k $99.7k $99.7k 0.00% Added +109 +109
15 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 3,3233.3k $51.1k $51.1k 0.00% Added +349 +349
16 WFA Asset Management Corp 0.03% of their portfolio WHITEFISH BAY, WI 3,0903.1k $47.6k $47.6k 0.03% Added +1.1k +1,090
17 UBS Group AG 0.00% of their portfolio ZURICH, V8 2,4002.4k $36.9k $36.9k 0.00% Reduced -6.3k -6,302
18 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged