RIV on NYSE

RIVERNORTH OPPORTUNITIES FUND, INC.

RIVERNORTH OPPORTUNITIES FUND, INC. is a fund registered in the United States, active since 2010, listed on NYSE (RIV).² It is headquartered in West Palm Beach, United States.²

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Last updated Oct 21, 2026.

Overview

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TickerRIV on NYSE²
HeadquartersWest Palm Beach, United States²
Incorporated inMD³
Business address360 S. Rosemary Ave., Suite 1420, West Palm Beach, Fl 33401³
Legal formFUND²
Kind of organizationFund²
LEI5493001RICR0OU8TM159²
StatusActive²
LEI statusIssued and current²
Registered addressC/O THE CORPORATION TRUST INCORPORATED, 21093-2264 Lutherville Timonium, United States²
Registered withSecurities and Exchange Commission, 0001501072²

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Corporate structure

RIVERNORTH OPPORTUNITIES FUND, INC. sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Major holders of RIVERNORTH OPPORTUNITIES FUND, INC.

AllianceBernstein Filed SCHEDULE 13G on RIVERNORTH OPPORTUNITIES FUND, INC., latest Oct 9, 2026
Equitable Holdings Filed SCHEDULE 13G on RIVERNORTH OPPORTUNITIES FUND, INC., latest Oct 9, 2026
THRIVENT FINANCIAL FOR LUTHERANS Filed SCHEDULE 13G on RIVERNORTH OPPORTUNITIES FUND, INC., latest Sep 21, 2026
SIT INVESTMENT ASSOCIATES INC Filed SCHEDULE 13G on RIVERNORTH OPPORTUNITIES FUND, INC., latest Nov 3, 2025 (3 filings since Feb 10, 2022)
Morgan Stanley Filed SCHEDULE 13G/A on RIVERNORTH OPPORTUNITIES FUND, INC., latest May 7, 2025 (5 filings since Nov 10, 2021)

RIVERNORTH OPPORTUNITIES FUND, INC. West Palm Beach, Florida, United States

Built from parent and subsidiary links from GLEIF, the Global Legal Entity Identifier Foundation (CC0); major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

Leadership

Who has led RIVERNORTH OPPORTUNITIES FUND, INC., and when. Pick a name to see everywhere that person has worked.

Chief executive

Brian H. Schmucker2019

President

20202025

Chief executive officerBrian H. Schmucker Oct 10, 2019 to Oct 24, 2019⁴
PresidentPatrick W. Galley Dec 6, 2022 to now⁵
PresidentThomas Anthony Carter Dec 23, 2015 to Dec 23, 2015⁶

Board members and other officers (22)

CHIEF COMPLIANCE OFFICERMatthew Sutula Oct 3, 2022 to Oct 3, 2022⁷
TreasurerRobert Douglas McClure Aug 24, 2021 to Oct 4, 2022⁸
TreasurerErich Rettinger Nov 15, 2021 to Oct 4, 2022⁹
SecretarySareena Khwaja-Dixon Jun 8, 2020 to Jun 8, 2020¹⁰
TreasurerJill Kerschen Jun 10, 2019 to Jun 10, 2019¹¹
Chief Investment OfficerPatrick W. Galley Oct 10, 2019 to Oct 24, 2019⁴
Officer of Investment AdvisorBrian H. Schmucker Jan 3, 2018 to May 31, 2018¹²
Assistant SecretaryAllen French Jun 19, 2017 to Oct 4, 2022¹³
Assistant TreasurerAndrew P. Meloni Jun 28, 2016 to Oct 4, 2022¹⁴
Assistnt SecretaryAndrea E. Kuchli Sep 7, 2016 to Oct 4, 2022¹⁵
SecretaryAbigail J. Murray Dec 23, 2015 to Dec 23, 2015¹⁶
Chief Compliance OfficerErin Elizabeth Douglas Dec 23, 2015 to Dec 23, 2015¹⁷
TreasurerPatrick D. Buchanan Dec 23, 2015 to Oct 4, 2022¹⁸
Assistant SecretaryValerie Lynn Ruppel Dec 23, 2015 to Dec 23, 2015¹⁹
Board memberLisa Bruckert Mougin Nov 10, 2022 to Nov 10, 2022²⁰
Board memberJerry Raio Jun 19, 2019 to now²¹
Board memberBrian H. Schmucker Jun 24, 2019 to Oct 24, 2019²²
Board memberJeremy O. May Apr 27, 2018 to Apr 27, 2018²³
Board memberJohn K. Carter Dec 23, 2015 to Dec 23, 2015²⁴
Board memberJohn S. Oakes Dec 23, 2015 to Sep 14, 2021²⁵
Board memberPatrick W. Galley Dec 23, 2015 to now²⁶
Board memberJohn Wayne Hutchens Dec 30, 2015 to Nov 22, 2022²⁷

Subsidiaries and ownership

Fund manager

RIVERNORTH CAPITAL MANAGEMENT, LLC²

Ownership links from GLEIF, the Global Legal Entity Identifier Foundation (CC0); each one cites its LEI record.

Former names

RIVERNORTH TACTICAL OPPORTUNITIES FUND, INC.Sep 10, 2010 to Oct 10, 2013³

Timeline

Sep 18, 20268-K Entered a material agreement; Unregistered sale of shares; Bylaws or fiscal year changed²⁸
May 23, 20248-K Bylaws or fiscal year changed²⁹
Apr 13, 20228-K Entered a material agreement; Bylaws or fiscal year changed; Other events³⁰
Mar 18, 20228-K Other events³¹
Oct 10, 2019New chief executive Brian H. Schmucker becomes CEO⁴
Sep 9, 2010Founded RIVERNORTH OPPORTUNITIES FUND, INC. is founded²

Filings

176 filings to the SEC since October 2021: 4 major events, 52 insider forms, 11 large holders, 1 private raises, 108 other. The latest 20:

Oct 9, 2026SCHEDULE 13G EDGAR
Oct 9, 2026SCHEDULE 13G EDGAR
Oct 5, 20264 EDGAR
Oct 5, 20264 EDGAR
Oct 5, 20264 EDGAR
Oct 5, 20264 EDGAR
Oct 2, 2026D EDGAR
Sep 25, 2026497AD EDGAR
Sep 24, 2026497AD EDGAR
Sep 21, 2026SCHEDULE 13G EDGAR
Sep 21, 20263 PRIMARY DOCUMENT EDGAR
Sep 18, 20268-K EDGAR
Sep 10, 2026N-CEN EDGAR
Sep 4, 2026N-CSR EDGAR
Aug 31, 2026POS EX EDGAR
Aug 28, 2026424B2 EDGAR
Aug 27, 2026NPORT-P EDGAR
Aug 21, 2026N-PX EDGAR
Aug 14, 2026POS EX EDGAR
Aug 14, 2026424B5 EDGAR

The 176 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

9 open-market trades by officers, directors and large owners since October 2021: 9 buys and 0 sales. Grants, option exercises and gifts are left out.

Date	Who	Trade	Shares	Price	Value	Filing
Oct 27, 2023	Raio JerryDirector	Buy	2,500	$9.74	$24.4K	Form 4
Apr 10, 2023	Raio JerryDirector	Buy	1,500	$11.55	$17.3K	Form 4
Nov 15, 2022	Galley Patrick W.President	Buy	41,899			Form 4
Nov 8, 2022	HUTCHENS JOHN WAYNEDirector	Buy	2,773	$11.93	$33.1K	Form 4
Jan 24, 2022	O'Neill Stephen Andrew	Buy	5,000	$14.95	$74.7K	Form 4
Nov 16, 2021	HUTCHENS JOHN WAYNEDirector	Buy	1,664	$16.81	$28.0K	Form 4
Nov 15, 2021	O'Neill Stephen Andrew	Buy	16,557	$16.81	$278.3K	Form 4
Nov 15, 2021	O'Neill Stephen Andrew	Buy	16,557	$16.81	$278.3K	Form 4
Nov 15, 2021	Swanson DavidDirector	Buy	344	$16.81	$5.8K	Form 4

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

AllianceBernsteinSCHEDULE 13G, 1 filing Oct 9, 2026³²
Equitable HoldingsSCHEDULE 13G, 1 filing Oct 9, 2026³³
THRIVENT FINANCIAL FOR LUTHERANSSCHEDULE 13G, 1 filing Sep 21, 2026³⁴
SIT INVESTMENT ASSOCIATES INCSCHEDULE 13G, 3 filings Feb 10, 2022 to Nov 3, 2025³⁵
Morgan StanleySCHEDULE 13G/A, 5 filings Nov 10, 2021 to May 7, 2025³⁶

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 60. Change is in shares since the quarter before.

Fund	Shares	Value	Share of the fund	Change
Morgan Stanley	1,868,969	$21.8M	0.0%	−24,027
LPL Financial LLC	595,638	$6.9M	0.0%	+60,965
Arete Wealth Advisors, LLC	440,153	$5.1M	0.3%	+2,888
Bank Of America Corp /de/	331,846	$3.9M	0.0%	+9,600
Wells Fargo & Company/mn	292,223	$3.4M	0.0%	+971
Yakira Capital Management, Inc.	232,717	$2.7M	0.8%	−34,489
Everstar Asset Management, LLC	213,685	$2.5M	1.2%	+45,159
Royal Bank Of Canada	199,892	$2.3M	0.0%	−5,249
Envestnet Asset Management Inc	177,189	$2.1M	0.0%	+4,571
Raymond James Financial Inc	169,706	$2.0M	0.0%	+109,817
Principal Securities, Inc.	168,674	$2.0M	0.0%	+4,571
Baird Financial Group, Inc.	118,791	$1.4M	0.0%	−3,885
Tennessee Valley Asset Management Partners	114,169	$1.3M	0.1%	−16,955
Marks Group Wealth Management, Inc	107,869	$1.3M	0.1%	No change
Osaic Holdings, Inc.	99,572	$1.2M	0.0%	−3,129
Nations Financial Group Inc, /ia/ /adv	85,337	$995.0K	0.0%	−1,349
Advisory Solutions Group, LLC	84,470	$984.9K	0.3%	New
Nomura Holdings Inc	83,864	$977.9K	0.0%	No change
Advisor OS, LLC	71,289	$831.2K	0.1%	+12,318
Opal Wealth Advisors, LLC	68,882	$803.2K	0.2%	+305
Creative Planning	68,138	$794.5K	0.0%	New
Allworth Financial LP	66,047	$770.1K	0.0%	+1,419
Stifel Financial Corp	56,867	$663.1K	0.0%	−4,779
Oppenheimer & Co Inc	53,779	$627.1K	0.0%	+830
NWF Advisory Services Inc.	44,527	$519.2K	0.0%	−6,400

13F reports cover disclosed long positions in U.S. stocks only.

SEC filer profile

How RIVERNORTH OPPORTUNITIES FUND, INC. is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

Name on EDGARRIVERNORTH OPPORTUNITIES FUND, INC.¹
CIK0001501072
Incorporated inMaryland¹
Fiscal year endsJune 30¹
Business address360 S. Rosemary Ave., Suite 1420, West Palm Beach, FL 33401¹
Phone561-484-7185¹
On EDGAR sinceSep 10, 2010¹
Filings499 in all: 4 (139), 3 (43), CORRESP (31), NPORT-P (28), 497AD (25), 5 (19), N-2/A (16), POS EX (16)¹
All 44 form types
144 (13), DEF 14A (12), 40-17G (11), EFFECT (11), N-CSR (11), N-CSRS (11), N-PX (11), N-CEN (9), 424B2 (8), 497 (8), N-2 (8), 424B5 (7), SC 13G/A (7), DEFA14A (6), N-Q (6), POS 8C (6), 3/A (5), 8-K (4), SCHEDULE 13G (4), PRE 14A (3), 424B3 (2), 8-A12B (2), NSAR-A (2), NSAR-B (2), SC 13G (2), 4/A (1), 40-APP (1), 40-APP/A (1), CERT (1), D (1), FWP (1), N-8A (1), NPORT-EX (1), SC 13D (1), SCHEDULE 13G/A (1), UPLOAD (1)
Latest filingsProxy statement (DEF 14A) Aug 21, 2026
Latest 8-K (8-K) Sep 18, 2026

Sources

The numbers on this page point here. Each one links to the record it came from.

1
SEC EDGARRIVERNORTH OPPORTUNITIES FUND, INC. filings on SEC EDGAR
2
GLEIFRIVERNORTH OPPORTUNITIES FUND, INC. LEI record (5493001RICR0OU8TM159)
3
SEC EDGARRIVERNORTH OPPORTUNITIES FUND, INC. filings on SEC EDGAR
4
SEC EDGARBrian H. Schmucker, Chief executive officer
5
SEC EDGARPatrick W. Galley, President
6
SEC EDGARThomas Anthony Carter, President
7
SEC EDGARMatthew Sutula, CHIEF COMPLIANCE OFFICER
8
SEC EDGARRobert Douglas McClure, Treasurer
9
SEC EDGARErich Rettinger, Treasurer
10
SEC EDGARSareena Khwaja-Dixon, Secretary
11
SEC EDGARJill Kerschen, Treasurer
12
SEC EDGARBrian H. Schmucker, Officer of Investment Advisor
13
SEC EDGARAllen French, Assistant Secretary
14
SEC EDGARAndrew P. Meloni, Assistant Treasurer
15
SEC EDGARAndrea E. Kuchli, Assistnt Secretary
16
SEC EDGARAbigail J. Murray, Secretary
17
SEC EDGARErin Elizabeth Douglas, Chief Compliance Officer
18
SEC EDGARPatrick D. Buchanan, Treasurer
19
SEC EDGARValerie Lynn Ruppel, Assistant Secretary
20
SEC EDGARLisa Bruckert Mougin, Board member
21
SEC EDGARJerry Raio, Board member
22
SEC EDGARBrian H. Schmucker, Board member
23
SEC EDGARJeremy O. May, Board member
24
SEC EDGARJohn K. Carter, Board member
25
SEC EDGARJohn S. Oakes, Board member
26
SEC EDGARPatrick W. Galley, Board member
27
SEC EDGARJohn Wayne Hutchens, Board member
28
SEC EDGAREntered a material agreement; Unregistered sale of shares; Bylaws or fiscal year changed
29
SEC EDGARBylaws or fiscal year changed
30
SEC EDGAREntered a material agreement; Bylaws or fiscal year changed; Other events
31
SEC EDGAROther events
32
SEC EDGARAllianceBernstein SCHEDULE 13G on RIVERNORTH OPPORTUNITIES FUND, INC.
33
SEC EDGAREquitable Holdings SCHEDULE 13G on RIVERNORTH OPPORTUNITIES FUND, INC.
34
SEC EDGARTHRIVENT FINANCIAL FOR LUTHERANS SCHEDULE 13G on RIVERNORTH OPPORTUNITIES FUND, INC.
35
SEC EDGARSIT INVESTMENT ASSOCIATES INC SCHEDULE 13G on RIVERNORTH OPPORTUNITIES FUND, INC.
36
SEC EDGARMorgan Stanley SCHEDULE 13G/A on RIVERNORTH OPPORTUNITIES FUND, INC.