RIVNYSEFiscal year ends June 30Also trades as RIV.PA
RIVERNORTH OPPORTUNITIES FUND, INC.
$9.92−0.04 (-0.40%)
Close on Oct 19, 2026
- Market cap
- –
- P/E (TTM)
- –
- Dividend yield
- –
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
10M
Shares held, 13F filers
Institutional holders
60
10 new, 6 sold out
Net institutional buying
-0M
In Q2 2026
Insider trades, 12 months
0 buys · 0 sales
Open-market trades only
Shares held by institutions
Holders of more than 5%
Latest Schedule 13D (active) or 13G (passive) filed by each holder
| Holder | Shares | % of class | Filing | As of |
|---|---|---|---|---|
| Thrivent Financial For Lutherans | 740,000 | 24.70% | 13G (passive) | Sep 18, 2026 |
| Alliancebernstein L.P. | 656,000 | 22.00% | 13G (passive) | Sep 30, 2026 |
| Sit Fixed Income Advisors II, LLC | 2,881,742 | 10.50% | 13G (passive) | Oct 31, 2025 |
| Morgan Stanley | 1,768,520 | 8.20% | 13G (passive) amendment | Mar 31, 2025 |
| Equitable Holdings, Inc. | 1,404,000 | 47.00% | 13G (passive) | Sep 30, 2026 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of RIV | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Sit Investment Associates Inc | 2,488,022 | – | $29.01K | −10,000 | 0.55% |
| Morgan Stanley | 1,868,969 | – | $21.79M | −24,027 | 0.00% |
| Penserra Capital Management LLC | 775,986 | – | $9.05K | +29,612 | 0.07% |
| LPL Financial LLC | 595,638 | – | $6.95M | +60,965 | 0.00% |
| Arete Wealth Advisors, LLC | 440,153 | – | $5.13M | +2,888 | 0.34% |
| Bank Of America Corp /De/ | 331,846 | – | $3.87M | +9,600 | 0.00% |
| Wells Fargo & Company/Mn | 292,223 | – | $3.41M | +971 | 0.00% |
| Yakira Capital Management, Inc. | 232,717 | – | $2.71M | −34,489 | 0.77% |
| Everstar Asset Management, LLC | 213,685 | – | $2.49M | +45,159 | 1.20% |
| Royal Bank of Canada | 199,892 | – | $2.33M | −5,249 | 0.00% |
| Envestnet Asset Management Inc | 177,189 | – | $2.07M | +4,571 | 0.00% |
| Raymond James Financial Inc | 169,706 | – | $1.98M | +109,817 | 0.00% |
| Principal Securities, Inc. | 168,674 | – | $1.97M | +4,571 | 0.02% |
| Baird Financial Group, Inc. | 118,791 | – | $1.39M | −3,885 | 0.00% |
| Tennessee Valley Asset Management Partners | 114,169 | – | $1.33M | −16,955 | 0.15% |
| Marks Group Wealth Management, Inc | 107,869 | – | $1.26M | – | 0.11% |
| Osaic Holdings, Inc. | 99,572 | – | $1.16M | −3,129 | 0.00% |
| Nations Financial Group Inc, /Ia/ /Adv | 85,337 | – | $995.04K | −1,349 | 0.05% |
| Advisory Solutions Group, LLC | 84,470 | – | $984.92K | New | 0.33% |
| Nomura Holdings Inc | 83,864 | – | $977.85K | – | 0.00% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|
| Q2 2026 | 60 | 10M | 10 / 21 | 16 / 6 | 1M | 1M |
| Q1 2026 | 57 | 10M | 4 / 21 | 18 / 4 | 1M | 1M |
| Q4 2025 | 58 | 10M | 11 / 20 | 17 / 5 | 5M | 0M |
| Q3 2025 | 52 | 6M | 10 / 21 | 10 / 4 | 1M | 0M |
| Q2 2025 | 48 | 5M | 8 / 14 | 13 / 6 | 1M | 0M |
| Q1 2025 | 47 | 5M | 6 / 19 | 12 / 6 | 0M | 0M |
| Q4 2024 | 49 | 5M | 10 / 19 | 13 / 4 | 1M | 0M |
| Q3 2024 | 45 | 5M | 5 / 18 | 12 / 9 | 1M | 1M |
| Q2 2024 | 49 | 5M | 2 / 24 | 12 / 5 | 1M | 4M |
| Q1 2024 | 52 | 8M | 4 / 17 | 18 / 6 | 2M | 1M |
| Q4 2023 | 54 | 7M | 14 / 23 | 9 / 3 | 2M | 0M |
| Q3 2023 | 43 | 5M | 4 / 19 | 10 / 6 | 0M | 0M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
| Fund | Shares | % of RIV | Value | % of fund | As of |
|---|---|---|---|---|---|
| Amplify CEF High Income ETF | 772,290 | – | $9.00M | 1.25% | Jun 30, 2026 |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | Latest filing |
|---|---|---|---|
| Patrick W. Galley | President, Director | 330,695 | Oct 14, 2025 |
| Jerry Raio | Director | 8,412 | Oct 14, 2025 |
| Financial For Lutherans Thrivent | 10% owner | 740,000 | Sep 21, 2026 |
| Stephen Andrew O'Neill | – | 94,768 | Oct 14, 2025 |
| RiverNorth Strategic Holdings, LLC | – | 102,395 | Oct 14, 2025 |
| RiverNorth Financial Holdings, LLC | – | 0 | Sep 18, 2025 |
| Rivernorth Capital Management, Llc | – | 0 | Nov 27, 2024 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| RiverNorth Strategic Holdings, LLC – | Oct 10, 2025 | Other | +25,599 | $11.95 | $305.91K | 102,395 |
| Patrick W. Galley President, Director | Oct 10, 2025 | Other | +112,213 | $11.95 | $1.34M | 330,695 |
| Jerry Raio Director | Oct 10, 2025 | Other | +3,834 | $11.95 | $45.82K | 8,412 |
| Stephen Andrew O'Neill – | Oct 10, 2025 | Other | +15,000 | $11.95 | $179.25K | 94,768 |
| Rivernorth Capital Management, Llc – | Nov 22, 2024 | Other | −76,796 | – | – | 0 |
| Rivernorth Capital Management, Llc – | Dec 27, 2023 | Award | +12,608 | $11.12 | $140.20K | 89,368 |
| Rivernorth Capital Management, Llc – | Dec 14, 2023 | Award | +8,674 | $11.06 | $95.93K | 76,760 |
| Rivernorth Capital Management, Llc – | Dec 8, 2023 | Award | +600 | $10.83 | $6.50K | 68,086 |
| Rivernorth Capital Management, Llc – | Dec 7, 2023 | Award | +292 | $10.77 | $3.14K | 67,486 |
| Rivernorth Capital Management, Llc – | Dec 4, 2023 | Award | +1,053 | $10.68 | $11.25K | 67,194 |
| Rivernorth Capital Management, Llc – | Dec 1, 2023 | Award | +47 | $10.65 | $501 | 66,141 |
| Rivernorth Capital Management, Llc – | Nov 21, 2023 | Award | +12,400 | $10.50 | $130.20K | 66,094 |
| Rivernorth Capital Management, Llc – | Nov 20, 2023 | Award | +15,245 | $10.49 | $159.92K | 53,694 |
| Rivernorth Capital Management, Llc – | Nov 17, 2023 | Award | +18,094 | $10.47 | $189.44K | 38,449 |
| Jerry Raio Director | Oct 27, 2023 | Buy | +2,500 | $9.74 | $24.35K | 4,000 |
| Rivernorth Capital Management, Llc – | Jun 2, 2023 | Award | +916 | $11.20 | $10.26K | 20,355 |
| Rivernorth Capital Management, Llc – | May 12, 2023 | Award | +4,539 | $10.98 | $49.84K | 19,439 |
| Rivernorth Capital Management, Llc – | May 11, 2023 | Award | +728 | $11.13 | $8.10K | 14,900 |
| Rivernorth Capital Management, Llc – | May 10, 2023 | Award | +1,600 | $11.13 | $17.81K | 14,172 |
| Jerry Raio Director | Apr 10, 2023 | Buy | +1,500 | $11.55 | $17.33K | 1,500 |
| Patrick W. Galley President, Director | Nov 15, 2022 | Buy | +41,899 | – | – | 282,018 |
| John Wayne Hutchens Director | Nov 8, 2022 | Buy | +2,773 | $11.93 | $33.08K | 7,763 |
| Stephen Andrew O'Neill – | Jan 24, 2022 | Buy | +200 | $14.95 | $2.99K | 68,629 |
| Stephen Andrew O'Neill – | Jan 24, 2022 | Buy | +1,702 | $14.98 | $25.50K | 67,929 |
| Stephen Andrew O'Neill – | Jan 24, 2022 | Buy | +500 | $14.94 | $7.47K | 68,429 |
| Stephen Andrew O'Neill – | Jan 24, 2022 | Buy | +1,198 | $14.92 | $17.87K | 69,827 |
| Stephen Andrew O'Neill – | Jan 24, 2022 | Buy | +200 | $14.97 | $2.99K | 70,027 |
| Stephen Andrew O'Neill – | Jan 24, 2022 | Buy | +1,200 | $14.92 | $17.90K | 71,227 |
| John Wayne Hutchens Director | Nov 16, 2021 | Buy | +1,664 | $16.81 | $27.97K | 6,654 |
| Stephen Andrew O'Neill – | Nov 15, 2021 | Buy | +16,557 | $16.81 | $278.32K | 66,227 |
| Stephen Andrew O'Neill – | Nov 15, 2021 | Buy | +16,557 | $16.81 | $278.32K | 82,784 |
| David Swanson Director | Nov 15, 2021 | Buy | +344 | $16.81 | $5.78K | 1,376 |
| Brian H. Schmucker – | Jun 4, 2021 | Sale | −4,000 | $17.88 | $71.52K | 0 |
| Rivernorth Capital Management, Llc – | May 10, 2021 | Sale | −4,917 | $18.04 | $88.70K | 12,572 |
| Rivernorth Capital Management, Llc – | May 7, 2021 | Sale | −8,800 | $18.09 | $159.19K | 17,489 |
| Rivernorth Capital Management, Llc – | Apr 30, 2021 | Sale | −5,302 | $17.68 | $93.74K | 26,289 |
| Rivernorth Capital Management, Llc – | Apr 23, 2021 | Sale | −5,000 | $17.47 | $87.35K | 31,591 |
| Rivernorth Capital Management, Llc – | Apr 13, 2021 | Sale | −7,114 | $17.77 | $126.42K | 36,591 |
| Rivernorth Capital Management, Llc – | Apr 5, 2021 | Sale | −4,000 | $17.60 | $70.40K | 43,705 |
| Brian H. Schmucker – | Apr 1, 2021 | Sale | −7,616 | $17.54 | $133.58K | 4,000 |
| Brian H. Schmucker – | Mar 31, 2021 | Sale | −15,000 | $17.38 | $260.70K | 11,616 |
| Rivernorth Capital Management, Llc – | Mar 21, 2021 | Sale | −6,279 | $17.36 | $109.00K | 47,705 |
| Rivernorth Capital Management, Llc – | Mar 17, 2021 | Sale | −5,000 | $17.68 | $88.40K | 53,984 |
| Rivernorth Capital Management, Llc – | Mar 15, 2021 | Sale | −5,510 | $17.72 | $97.64K | 58,984 |
| Rivernorth Capital Management, Llc – | Mar 12, 2021 | Sale | −5,000 | $17.60 | $88.00K | 64,494 |
| Rivernorth Capital Management, Llc – | Mar 5, 2021 | Sale | −8,500 | $17.02 | $144.67K | 69,494 |
| Rivernorth Capital Management, Llc – | Mar 3, 2021 | Sale | −7,635 | $17.37 | $132.62K | 77,994 |
| Rivernorth Capital Management, Llc – | Feb 9, 2021 | Sale | −9,450 | $17.50 | $165.38K | 85,629 |
| Rivernorth Capital Management, Llc – | Feb 5, 2021 | Sale | −8,792 | $17.34 | $152.45K | 95,079 |
| Rivernorth Capital Management, Llc – | Feb 5, 2021 | Sale | −8,792 | $17.34 | $152.45K | 103,871 |
| Rivernorth Capital Management, Llc – | Feb 4, 2021 | Sale | −2,000 | $17.17 | $34.34K | 112,663 |
| Rivernorth Capital Management, Llc – | Feb 3, 2021 | Sale | −7,459 | $17.01 | $126.88K | 114,663 |
| Rivernorth Capital Management, Llc – | Feb 2, 2021 | Sale | −2,000 | $17.01 | $34.02K | 122,122 |
| David Swanson Director | Nov 9, 2020 | Buy | +258 | $14.08 | $3.63K | 1,032 |
| Stephen Andrew O'Neill – | Mar 23, 2020 | Buy | +500 | $9.35 | $4.68K | 47,722 |
| Stephen Andrew O'Neill – | Mar 23, 2020 | Buy | +2,000 | $9.39 | $18.78K | 47,222 |
| Patrick W. Galley Director | Mar 12, 2020 | Buy | +1,000 | $12.48 | $12.48K | 140,571 |
| Patrick W. Galley Director | Mar 12, 2020 | Buy | +1,876 | $12.45 | $23.36K | 139,571 |
| Brian H. Schmucker – | Mar 12, 2020 | Sale | −29,050 | $11.17 | $324.49K | 26,616 |
| John S. Oakes Director | Nov 12, 2019 | Buy | +429 | $16.20 | $6.95K | 1,967 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.