RIVERNORTH OPPORTUNITIES FUND, INC. - RIV
Detailed investor-level table based on 13F positions.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| SIT INVESTMENT ASSOCIATES INC | History | Reduced | 2,498,022 | 27,728 | 0.56% | 0.65% | 1 | -273,018 | -9.85% | Q1 2026 | May 13, 2026 |
| MORGAN STANLEY | History | Added to | 1,892,996 | 21,012 | 0.0% | 0.0% | 2 | +160,435 | 9.26% | Q1 2026 | May 15, 2026 |
| Penserra Capital Management LLC | History | Added to | 746,374 | 8,284 | 0.1% | 0.09% | 3 | +81,742 | 12.3% | Q1 2026 | May 11, 2026 |
| LPL Financial LLC | History | Added to | 534,673 | 5,934 | 0.0% | 0.0% | 4 | +33,654 | 6.72% | Q1 2026 | May 06, 2026 |
| Arete Wealth Advisors, LLC | History | Added to | 437,265 | 4,866 | 0.36% | 0.27% | 5 | +60,096 | 15.93% | Q1 2026 | May 20, 2026 |
| BANK OF AMERICA CORP /DE/ | History | Added to | 322,246 | 3,576 | 0.0% | 0.0% | 6 | +10,785 | 3.46% | Q1 2026 | May 15, 2026 |
| WELLS FARGO & COMPANY/MN | History | Added to | 291,252 | 3,232 | 0.0% | 0.0% | 7 | +14,463 | 5.23% | Q1 2026 | May 11, 2026 |
| ABSOLUTE INVESTMENT ADVISERS, LLC | History | Reduced | 274,406 | 3,045 | 0.36% | 0.52% | 8 | -109,983 | -28.61% | Q1 2026 | Apr 22, 2026 |
| Yakira Capital Management, Inc. | History | Reduced | 267,206 | 2,965 | 0.87% | 1.76% | 9 | -179,462 | -40.18% | Q1 2026 | May 14, 2026 |
| ROYAL BANK OF CANADA | History | Added to | 205,141 | 2,277 | 0.0% | 0.0% | 10 | +7,216 | 3.65% | Q1 2026 | May 15, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Reduced | 172,618 | 1,916 | 0.0% | 0.0% | 11 | -12,272 | -6.64% | Q1 2026 | May 04, 2026 |
| Everstar Asset Management, LLC | History | Added to | 168,526 | 1,870 | 1.0% | 0.85% | 12 | +33,059 | 24.4% | Q1 2026 | Apr 16, 2026 |
| PRINCIPAL SECURITIES, INC. | History | Reduced | 164,103 | 1,821 | 0.03% | 0.03% | 13 | -11,780 | -6.7% | Q1 2026 | May 13, 2026 |
| Tennessee Valley Asset Management Partners | History | Reduced | 131,124 | 1,455 | 0.19% | 0.21% | 14 | -6,711 | -4.87% | Q1 2026 | Apr 27, 2026 |
| Baird Financial Group, Inc. | History | Added to | 122,676 | 1,361 | 0.0% | 0.0% | 15 | +1,899 | 1.57% | Q1 2026 | May 14, 2026 |
| Quarry LP | History | Reduced | 119,886 | 1,330 | 0.24% | 0.28% | 16 | -33,684 | -21.93% | Q1 2026 | May 15, 2026 |
| Marks Group Wealth Management, Inc | History | Reduced | 107,869 | 1,197 | 0.12% | 0.13% | 17 | -7,530 | -6.53% | Q1 2026 | May 05, 2026 |
| OSAIC HOLDINGS, INC. | History | Reduced | 102,701 | 1,139 | 0.0% | 0.0% | 18 | -17,102 | -14.28% | Q1 2026 | May 15, 2026 |
| NATIONS FINANCIAL GROUP INC, /IA/ /ADV | History | Reduced | 86,686 | 962 | 0.05% | 0.05% | 19 | -1,166 | -1.33% | Q1 2026 | Apr 15, 2026 |
| NOMURA HOLDINGS INC | History | No change | 83,864 | 930 | 0.0% | 0.0% | 20 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| Opal Wealth Advisors, LLC | History | Reduced | 68,577 | 761 | 0.17% | 0.21% | 21 | -1,266 | -1.81% | Q1 2026 | Apr 14, 2026 |
| Allworth Financial LP | History | Added to | 64,628 | 717 | 0.0% | 0.0% | 22 | +12,835 | 24.78% | Q1 2026 | May 14, 2026 |
| STIFEL FINANCIAL CORP | History | Reduced | 61,646 | 684 | 0.0% | 0.0% | 23 | -25,653 | -29.39% | Q1 2026 | May 12, 2026 |
| Shaker Financial Services, LLC | History | Added to | 61,335 | 680 | 0.24% | 0.14% | 24 | +22,859 | 59.41% | Q1 2026 | May 12, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | Added to | 59,889 | 664 | 0.0% | 0.0% | 25 | +179 | 0.3% | Q1 2026 | May 14, 2026 |
| Advisor OS, LLC | History | Reduced | 58,971 | 654 | 0.05% | 0.06% | 26 | -525 | -0.88% | Q1 2026 | May 07, 2026 |
| OPPENHEIMER & CO INC | History | Added to | 52,949 | 587 | 0.01% | 0.01% | 27 | +1,380 | 2.68% | Q1 2026 | Apr 23, 2026 |
| NWF Advisory Services Inc. | History | Reduced | 50,927 | 565 | 0.06% | 0.07% | 28 | -300 | -0.59% | Q1 2026 | May 04, 2026 |
| CSS LLC/IL | History | Reduced | 43,915 | 487 | 0.02% | 0.03% | 29 | -15,360 | -25.91% | Q1 2026 | May 15, 2026 |
| Kovack Advisors, Inc. | History | No change | 37,385 | 421 | 0.02% | 0.02% | 30 | 0 | 0.0% | Q1 2026 | May 12, 2026 |
| Janney Montgomery Scott LLC | History | Added to | 31,994 | 355 | 0.0% | 0.0% | 31 | +715 | 2.29% | Q1 2026 | Apr 22, 2026 |
| Total Wealth Planning & Management, Inc. | History | Added to | 30,509 | 338 | 0.25% | 0.25% | 32 | +1,804 | 6.28% | Q1 2026 | May 05, 2026 |
| WEDBUSH SECURITIES INC | History | No change | 26,489 | 294 | 0.01% | 0.01% | 33 | 0 | 0.0% | Q1 2026 | Apr 21, 2026 |
| Private Advisor Group, LLC | History | Added to | 26,268 | 291 | 0.0% | 0.0% | 34 | +138 | 0.53% | Q1 2026 | Apr 24, 2026 |
| Gateway Wealth Partners, LLC | History | Added to | 26,166 | 290 | 0.01% | 0.01% | 35 | +16,043 | 158.48% | Q1 2026 | May 15, 2026 |
| UBS Group AG | History | No change | 21,707 | 240 | 0.0% | 0.0% | 36 | 0 | 0.0% | Q1 2026 | May 05, 2026 |
| SeaCrest Wealth Management, LLC | History | Reduced | 20,753 | 230 | 0.02% | 0.03% | 37 | -1,132 | -5.17% | Q1 2026 | Apr 15, 2026 |
| CoreCap Advisors, LLC | History | Added to | 20,133 | 223 | 0.01% | 0.01% | 38 | +4,481 | 28.63% | Q1 2026 | Apr 07, 2026 |
| Westside Investment Management, Inc. | History | No change | 20,000 | 222 | 0.03% | 0.04% | 39 | 0 | 0.0% | Q1 2026 | May 04, 2026 |
| HighTower Advisors, LLC | History | No change | 19,280 | 214 | 0.0% | 0.0% | 40 | 0 | 0.0% | Q1 2026 | May 05, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Added to | 18,785 | 208 | 0.0% | 0.0% | 41 | +62 | 0.33% | Q1 2026 | Apr 27, 2026 |
| BlackRock, Inc. | History | No change | 15,373 | 170 | 0.0% | 0.0% | 42 | 0 | 0.0% | Q1 2026 | May 13, 2026 |
| WealthTrust Asset Management, LLC | History | Added to | 15,123 | 167 | 0.1% | 0.11% | 43 | +1,821 | 13.69% | Q1 2026 | May 06, 2026 |
| CWM, LLC | History | Added to | 14,277 | 158 | 0.0% | 0.0% | 44 | +13,654 | 2191.65% | Q1 2026 | May 14, 2026 |
| Sequoia Financial Advisors, LLC | History | No change | 14,000 | 155 | 0.0% | 0.0% | 45 | 0 | 0.0% | Q1 2026 | Apr 30, 2026 |
| Cetera Investment Advisers | History | Reduced | 12,282 | 136 | 0.0% | 0.0% | 46 | -142 | -1.14% | Q1 2026 | May 13, 2026 |
| TCP Asset Management, LLC | History | New | 11,875 | 131 | 0.02% | — | 47 | +11,875 | New | Q1 2026 | Apr 10, 2026 |
| CIBC Private Wealth Group LLC | History | No change | 11,000 | 129 | 0.0% | 0.0% | 48 | 0 | 0.0% | Q4 2025 | Feb 12, 2026 |
| CHANNEL WEALTH LLC | History | No change | 11,621 | 128 | 0.03% | 0.03% | 49 | 0 | 0.0% | Q1 2026 | May 11, 2026 |
| CIBC Bancorp USA Inc. | History | New | 11,000 | 122 | 0.0% | — | 50 | +11,000 | New | Q1 2026 | May 12, 2026 |
| NATIONAL BANK OF CANADA /FI/ | History | No change | 2,639 | 29 | 0.0% | 0.0% | 51 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| Pinnacle Wealth Planning Services, Inc. | History | No change | 2,000 | 22 | 0.0% | 0.0% | 52 | 0 | 0.0% | Q1 2026 | May 11, 2026 |
| WOLVERINE ASSET MANAGEMENT LLC | History | New | 1,396 | 15 | 0.0% | — | 53 | +1,396 | New | Q1 2026 | May 04, 2026 |
| 10Elms LLP | History | No change | 500 | 11 | 0.01% | 0.01% | 54 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| HARBOUR INVESTMENTS, INC. | History | New | 538 | 5 | 0.0% | — | 55 | +538 | New | Q1 2026 | May 15, 2026 |
| Geneos Wealth Management Inc. | History | No change | 310 | 3 | 0.0% | 0.0% | 56 | 0 | 0.0% | Q1 2026 | May 04, 2026 |
| HIGHLINE WEALTH PARTNERS LLC | History | No change | 180 | 1 | 0.0% | 0.0% | 57 | 0 | 0.0% | Q1 2026 | Apr 06, 2026 |
| READYSTATE ASSET MANAGEMENT LP | History | Closed out | 0 | 0 | — | 0.09% | — | -194,655 | -100.0% | Q1 2026 | May 15, 2026 |
| NewEdge Advisors, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -19,100 | -100.0% | Q1 2026 | May 15, 2026 |
| Tactive Advisors, LLC | History | Closed out | 0 | 0 | — | 0.04% | — | -11,908 | -100.0% | Q1 2026 | Apr 16, 2026 |
| JANE STREET GROUP, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -11,132 | -100.0% | Q1 2026 | May 12, 2026 |
| Luminist Capital LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -537 | -100.0% | Q1 2026 | Apr 24, 2026 |
| Farther Finance Advisors, LLC | History | No change | 83 | 0 | — | — | — | 0 | 0.0% | Q1 2026 | Apr 07, 2026 |