RIVERNORTH OPPORTUNITIES FD

CUSIP: 76881Y109 Class: COM

Note: Option positions (PUT/CALL) are excluded.

InstitutionSharesValue ($000)
SIT INVESTMENT ASSOCIATES INC2,771,040$33
MORGAN STANLEY1,732,561$20,340
Penserra Capital Management LLC664,632$8
LPL Financial LLC501,019$5,882
Yakira Capital Management, Inc.446,668$5,244
ABSOLUTE INVESTMENT ADVISERS, LLC384,389$4,559
Arete Wealth Advisors, LLC377,169$4
BANK OF AMERICA CORP /DE/311,461$3,657
WELLS FARGO & COMPANY/MN276,789$3,249
ROYAL BANK OF CANADA197,925$2,324
READYSTATE ASSET MANAGEMENT LP194,655$2,285
ENVESTNET ASSET MANAGEMENT INC184,890$2,171
PRINCIPAL SECURITIES, INC.175,883$2,065
Quarry LP153,570$1,803
Tennessee Valley Asset Management Partners137,835$1,618
Everstar Asset Management, LLC135,467$1,591
Baird Financial Group, Inc.120,777$1,418
OSAIC HOLDINGS, INC.119,803$1,407
Marks Group Wealth Management, Inc115,399$1,355
NATIONS FINANCIAL GROUP INC, /IA/ /ADV87,852$1,031
STIFEL FINANCIAL CORP87,299$1,025
NOMURA HOLDINGS INC83,864$985
Opal Wealth Advisors, LLC69,843$820
RAYMOND JAMES FINANCIAL INC59,710$701
Advisor OS, LLC59,496$698
CSS LLC/IL59,275$696
Allworth Financial LP51,793$608
OPPENHEIMER & CO INC51,569$605
NWF Advisory Services Inc.51,227$601
Shaker Financial Services, LLC38,476$452
Kovack Advisors, Inc.37,385$439
Janney Montgomery Scott LLC31,279$0
Total Wealth Planning & Management, Inc.28,705$337
WEDBUSH SECURITIES INC26,489$0
Private Advisor Group, LLC26,130$307
SeaCrest Wealth Management, LLC21,885$259
UBS Group AG21,707$255
Westside Investment Management, Inc.20,000$235
HighTower Advisors, LLC19,280$226
NewEdge Advisors, LLC19,100$224
COMMONWEALTH EQUITY SERVICES, LLC18,723$220
CoreCap Advisors, LLC15,652$184
BlackRock, Inc.15,373$180
Sequoia Financial Advisors, LLC14,000$164
WealthTrust Asset Management, LLC13,302$156
Cetera Investment Advisers12,424$146
Tactive Advisors, LLC11,908$140
CHANNEL WEALTH LLC11,621$136
JANE STREET GROUP, LLC11,132$131
CIBC Private Wealth Group, LLC11,000$129
Gateway Wealth Partners, LLC10,123$119
NATIONAL BANK OF CANADA /FI/2,639$31
Pinnacle Wealth Planning Services, Inc.2,000$23
CWM, LLC623$0
Luminist Capital LLC537$6
Geneos Wealth Management Inc.310$4
HIGHLINE WEALTH PARTNERS LLC180$2
Farther Finance Advisors, LLC83$1
Total (58 institutions)10,105,926$73,289