RIVERNORTH CAPITAL MANAGEMENT, LLC
Adviser information for RIVERNORTH CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 18 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 30 | $6.8B |
| Non-Discretionary | 0 | $0 |
| Total | 30 | $6.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 14 | $4.7B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 5 | $2.1B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $5.5M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 9 | $82.0M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
360 S. ROSEMARY AVESUITE 1420
WEST PALM BEACH
FL
United States
Monday - Friday, 8AM-5PM
Tel: 561-484-7185, Fax: None
Chief Compliance Officer
MARCUS L. COLLINS
GENERAL COUNSEL, SECRETARY AND CHIEF COMPLIANCE OFFICER
360 S. ROSEMARY AVE
SUITE 1420
WEST PALM BEACH
FL
United States
Tel:
312-445-2251
M*******@*************M
(Full email address available in API data)
Regulatory Contact
JONATHAN M. MOHRHARDT
PRESIDENT AND CHIEF OPERATING OFFICER
360 S. ROSEMARY AVE
SUITE 1420
WEST PALM BEACH
FL
United States
Tel:
312-840-9012
J*********@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| RIVERNORTH CAPITAL PARTNERS, L.P. | Hedge Fund | $102.6M | $0.3M | 118 |
| RIVERNORTH INSTITUTIONAL PARTNERS L.P. | Hedge Fund | $734.4M | $0.3M | 315 |
| RIVERNORTH INSTITUTIONAL PARTNERS OFFSHORE LTD. | Hedge Fund | $56.2M | $0.3M | 18 |
| RIVERNORTH SELECT PARTNERS, L.P. | Hedge Fund | $0.0M | $0.3M | 0 |
| RIVERNORTH SPAC ARBITRAGE FUND, LP | Hedge Fund | $195.8M | $0.3M | 32 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHMUCKER, BRIAN, HAROLD | Individual | – | FOUNDER, MANAGER | 08/2000 | < 5% |
| GALLEY, PATRICK, WILLIAM | Individual | – | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, MANAGER | 10/2004 | < 5% |
| MOHRHARDT, JONATHAN, MICHAEL | Individual | – | PRESIDENT AND CHIEF OPERATING OFFICER, MANAGER | 01/2009 | < 5% |
| RIVERNORTH FINANCIAL HOLDINGS LLC | Domestic Entity | – | MEMBER | 12/2014 | > 75% |
| SCHMUCKER, BRIAN, HAROLD | Individual | RIVERNORTH HOLDING CO. | SHAREHOLDER | 01/2010 | 25-50% |
| GALLEY, PATRICK, WILLIAM | Individual | RIVERNORTH HOLDING CO. | SHAREHOLDER | 11/2010 | 50-75% |
| COLLINS, MARCUS, LANE | Individual | – | GENERAL COUNSEL, SECRETARY AND CHIEF COMPLIANCE OFFICER | 06/2012 | < 5% |
| RIVERNORTH HOLDING CO. | Domestic Entity | RIVERNORTH FINANCIAL HOLDINGS, LLC | MEMBER | 12/2014 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 99 ACQUISITION GROUP INC | *W EXP 08/25/202 | 715 | 22K | – |
| 99 ACQUISITION GROUP INC | RIGHT 08/25/2028 | 6K | 22K | – |
| A SPAC I ACQUISITION CORP | CLASS A ORD SHS | 270K | 90K | – |
| A SPAC II ACQUISITION CORP | ORD SHS CL A | 2M | 200K | – |
| A SPAC II ACQUISITION CORP | *W EXP 10/15/202 | 2K | 150K | – |
| A SPAC II ACQUISITION CORP | RIGHT 10/15/2026 | 14K | 200K | – |
| ABLE VIEW GLOBAL INC | *W EXP 08/18/202 | 6K | 250K | – |
| ABRDN EMRG MKTS EQTY INCM FD | COM | 1M | 278K | – |
| ABRDN NATL MUN INCOME FD | SH BEN INT | 2M | 187K | – |
| ACHARI VENTURES HLDGS CORP I | COM | 1M | 110K | – |
| ACHARI VENTURES HLDGS CORP I | *W EXP 99/99/999 | 3K | 150K | – |
| ACRI CAPITAL ACQUISITION COR | COM CL A | 2M | 134K | – |
| AERIES TECHNOLOGY INC | *W EXP 11/06/202 | 2K | 113K | – |
| AERWINS TECHNOLOGIES INC | *W EXP 02/03/202 | 238 | 40K | – |
| AI TRANSN ACQUISITION CORP | RIGHT 09/01/2028 | 5K | 27K | – |
| AI TRANSN ACQUISITION CORP | ORD SHS | 279K | 27K | – |
| AIB ACQUISITION CORPORATION | RIGHT 10/31/2028 | 20K | 200K | – |
| AIMEI HEALTH TECHNOLOGY CO L | SHS | 2M | 158K | – |
| AIMEI HEALTH TECHNOLOGY CO L | UNIT 11/17/2028 | 152K | 14K | – |
| AIMEI HEALTH TECHNOLOGY CO L | RIGHT 11/17/2028 | 33K | 158K | – |
| ALCHEMY INVTS ACQUISITN CORP | SHS CL A | 198K | 18K | – |
| ALCHEMY INVTS ACQUISITN CORP | *W EXP 11/30/202 | 9K | 62K | – |
| ALLIANCEBERNSTEIN NATL MUN I | COM | 11M | 960K | – |
| ALLSPRING INCOME OPPORTUNIT | INC OPPTY FD | 9M | 1M | – |
| ALPHA STAR ACQUISITION CORP | ORDINARY SHARES | 1M | 99K | – |
| ALPHA STAR ACQUISITION CORP | *W EXP 12/13/202 | 988 | 99K | – |
| ALPHA STAR ACQUISITION CORP | RIGHT 05/30/2023 | 10K | 99K | – |
| ALPHATIME ACQUISITION CORP | ORDINARY SHARES | 2M | 194K | – |
| ALPHATIME ACQUISITION CORP | *W EXP 03/01/202 | 3K | 200K | – |
| ALPHATIME ACQUISITION CORP | RIGHT 03/01/2028 | 29K | 200K | – |
| ALPHAVEST ACQUISITION CORP | ORDINARY SHARES | 3M | 243K | – |
| ALPHAVEST ACQUISITION CORP | RIGHT 07/04/2024 | 24K | 250K | – |
| ALTENERGY ACQUISITION CORP | *W EXP 10/29/202 | 1K | 62K | – |
| ANEW MED INC | *W EXP 06/21/202 | 8K | 68K | – |
| AQUARON ACQUISITION CORP | COMMON STOCK | 270K | 25K | – |
| AQUARON ACQUISITION CORP | RIGHT 07/15/2026 | 95K | 400K | – |
| ARES ACQUISITION CORP II | SHS CLASS A | 4M | 400K | – |
| ARES ACQUISITION CORP II | *W EXP 99/99/999 | 48K | 368K | – |
| ARMADA ACQUISITION CORP I | COM | 4M | 350K | – |
| ARMADA ACQUISITION CORP I | *W EXP 99/99/999 | 104K | 743K | – |
| ATHENA TECHNOLOGY ACQ CORP I | *W EXP 10/17/202 | 3K | 75K | – |
| ATLANTIC COASTAL AQSTN CORP | CLASS A COM | 1M | 123K | – |
| ATLANTIC COASTAL AQSTN CORP | *W EXP 99/99/999 | 2K | 25K | – |
| AUSTRALIAN OILSEEDS HLDGS LT | *W EXP 11/16/202 | 844 | 49K | – |
| BANNIX ACQUISITION CORP | *W EXP 07/31/202 | 4K | 175K | – |
| BANNIX ACQUISITION CORP | RIGHT 07/31/2026 | 26K | 175K | – |
| BANZAI INTERNATIONAL INC | *W EXP 12/14/202 | 3K | 129K | – |
| BARINGS GLOBAL SHORT DURATIO | COM | 7M | 518K | – |
| BARINGS PARTN INVS | SH BEN INT | 7M | 435K | – |
| BATTERY FUTURE ACQUISITION C | CL A ORD SHS | 6M | 500K | – |
| BATTERY FUTURE ACQUISITION C | *W EXP 99/99/999 | 1K | 125K | – |
| BAYVIEW ACQUISITION CORP | ORD SHS | 2M | 199K | – |
| BAYVIEW ACQUISITION CORP | RIGHT 99/99/9999 | 38K | 199K | – |
| BELLEVUE LIFE SCNCS AQSTN CO | COM | 3M | 245K | – |
| BELLEVUE LIFE SCNCS AQSTN CO | *W EXP 02/09/202 | 5K | 250K | – |
| BELLEVUE LIFE SCNCS AQSTN CO | RIGHT 02/09/2028 | 25K | 250K | – |
| BENEFICIENT | COM CL A | 1M | 615K | – |
| BENEFICIENT | *W EXP 06/07/202 | 6K | 562K | – |
| BERENSON ACQUISITION CORP I | CL A COM | 3M | 286K | – |
| BIG TREE CLOUD HLDGS LTD | *W EXP 06/07/202 | 4K | 87K | – |
| BITE ACQUISITION CORP | *W EXP 02/12/203 | 14K | 232K | – |
| BITFUFU INC | *W EXP 03/01/202 | 46K | 124K | – |
| BLACK HAWK ACQUISITION CORP | USD CL A SHS | 3M | 252K | – |
| BLACK HAWK ACQUISITION CORP | RIGHT 06/20/2025 | 55K | 50K | – |
| BLACK HAWK ACQUISITION CORP | UNIT 99/99/9999 | 650K | 63K | – |
| BLACKROCK 2037 MUNICIPAL TAR | COM | 2M | 93K | – |
| BLACKROCK CALIF MUN INCOME T | SH BEN INT | 2M | 178K | – |
| BLACKROCK CAP ALLOCATION TER | COM | 77M | 5M | – |
| BLACKROCK ESG CAP ALLC TERM | SHS BEN INT | 63M | 4M | – |
| BLACKROCK ETF TRUST II | FLEXIBLE INCOME | 2M | 45K | – |
| BLACKROCK HEALTH SCIENCES TE | COM SHS | 30M | 2M | – |
| BLACKROCK INNOVATION AND GRW | SHS BEN INT | 4M | 548K | – |
| BLACKROCK INVT QUALITY MUN T | COM | 12M | 1M | – |
| BLACKROCK MUN INCOME QUALITY | COM | 10M | 859K | – |
| BLACKROCK MUN INCOME TR | SH BEN INT | 35M | 3M | – |
| BLACKROCK MUN TARGET TERM TR | COM SHS BEN IN | 44M | 2M | – |
| BLACKROCK MUNI INCOME TR II | COM | 40M | 4M | – |
| BLACKROCK MUNIASSETS FD INC | COM | 11M | 915K | – |
| BLACKROCK MUNICIPAL INCOME | COM | 35M | 3M | – |
| BLACKROCK MUNIHLDGS NJ QLTY | COM | 389K | 34K | – |
| BLACKROCK MUNIHLDGS NY QLTY | COM | 8M | 772K | – |
| BLACKROCK MUNIHLDNGS CALI QL | COM | 26M | 2M | – |
| BLACKROCK MUNIHOLDINGS FD IN | COM | 49M | 4M | – |
| BLACKROCK MUNIHOLDINGS QUALI | COM | 23M | 2M | – |
| BLACKROCK MUNIVEST FD II INC | COM | 24M | 2M | – |
| BLACKROCK MUNIVEST FD INC | COM | 31M | 4M | – |
| BLACKROCK MUNIYIELD FD INC | COM | 49M | 4M | – |
| BLACKROCK MUNIYIELD MICH QU | COM | 4M | 379K | – |
| BLACKROCK MUNIYIELD N Y QUAL | COM | 10M | 916K | – |
| BLACKROCK MUNIYIELD QUALITY | COM | 22M | 2M | – |
| BLACKROCK MUNIYIELD QUALITY | COM | 13M | 1M | – |
| BLACKROCK MUNIYILD QULT FD I | COM | 38M | 3M | – |
| BLACKROCK N Y MUN INCOME TRU | SH BEN INT | 2M | 228K | – |
| BLACKROCK RES & COMMODITIES | SHS | 6M | 635K | – |
| BLACKROCK SCIENCE & TECHNOLO | SHS BEN INT | 35M | 2M | – |
| BLACKSTONE LONG SHORT CR INC | COM SHS BN INT | 5M | 376K | – |
| BLACKSTONE SENI FLTN RAT 202 | COM | 5M | 375K | – |
| BLACKSTONE STRATEGIC CRED 20 | COM SHS BEN IN | 11M | 941K | – |
| BLOCKCHAIN COINVSTRS ACQ CRP | *W EXP 11/01/202 | 2K | 25K | – |
| BLUE OCEAN ACQUISITION CORP | *W EXP 99/99/999 | 4K | 186K | – |
| BLUE WORLD ACQUISITION CORP | RIGHT 08/29/2029 | 52K | 200K | – |
| BLUE WORLD ACQUISITION CORP | *W EXP 01/10/202 | 8K | 100K | – |
| BLUERIVER ACQUISITION CORP | *W EXP 01/04/202 | 242 | 18K | – |
| BNY MELLON HIGH YIELD STRATE | SH BEN INT | 297K | 123K | – |
| BNY MELLON MUN BD INFRASTRUC | COM SHS | 154K | 15K | – |
| BNY MELLON MUN INCOME INC | COM | 9M | 1M | – |
| BNY MELLON STRATEGIC MUN BD | COM | 9M | 1M | – |
| BNY MELLON STRATEGIC MUNS IN | COM | 12M | 2M | – |
| BOREALIS FOODS INC | *W EXP 02/07/202 | 4K | 53K | – |
| BOWEN ACQUISITION CORP | SHS | 2M | 200K | – |
| BOWEN ACQUISITION CORP | RIGHT 99/99/9999 | 22K | 200K | – |
| BRAND ENGAGEMENT NETWORK INC | *W EXP 03/14/202 | 552 | 18K | – |
| BRANDYWINEGBL GBL INCM OPP F | COM | 4M | 440K | – |
| BREEZE HOLDINGS ACQUISITN CO | *W EXP 05/25/202 | 20K | 58K | – |
| BREEZE HOLDINGS ACQUISITN CO | RIGHT 05/23/2022 | 18K | 100K | – |
| BROAD CAPITAL ACQUISITION CO | COM | 4M | 350K | – |
| BROAD CAPITAL ACQUISITION CO | RIGHT 01/10/2027 | 72K | 350K | – |
| BUKIT JALIL GBL ACQUISITION | ORD SHS | 769K | 72K | – |
| BUKIT JALIL GBL ACQUISITION | *W EXP 12/30/202 | 863 | 36K | – |
| BUKIT JALIL GBL ACQUISITION | RIGHT 12/30/2024 | 11K | 72K | – |
| BYNORDIC ACQUISITION CORP | CLASS A COM | 8M | 743K | – |
| BYNORDIC ACQUISITION CORP | *W EXP 07/01/202 | 19K | 743K | – |
| CACTUS ACQUISITION CORP 1 LT | CLASS A ORD | 8M | 700K | – |
| CACTUS ACQUISITION CORP 1 LT | *W EXP 08/17/202 | 6K | 125K | – |
| CALAMOS LNG SHR EQT DYNAMIC | COM | 9M | 580K | – |
| CAPITALWORKS EMNG MKTS ACQST | CLASS A ORD SHS | 2M | 200K | – |
| CENTURION ACQUISITION CORP | UNIT 05/31/2032 | 4M | 400K | – |
| CERO THERAPEUTICS HLDGS INC | *W EXP 02/13/202 | 500 | 25K | – |
| CHURCHILL CAPITAL CORP VII | COM CL A | 4M | 408K | – |
| CHURCHILL CAPITAL CORP VII | *W EXP 02/29/202 | 518K | 1M | – |
| CLIMATEROCK | *W EXP 99/99/999 | 3K | 85K | – |
| CLIMATEROCK | RIGHT 10/31/2028 | 17K | 169K | – |
| CLOUGH GLOBAL DIVID & INCOME | COM | 2M | 360K | – |
| CLOUGH GLOBAL EQUITY FD | COM | 3M | 416K | – |
| CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 7M | 1M | – |
| CLOVER LEAF CAPITAL CORP | COM CL A | 4M | 300K | – |
| COEPTIS THERAPEUTICS HLDGS I | *W EXP 12/31/202 | 5K | 150K | – |
| COLISEUM ACQUISITION CORP | *W EXP 08/22/202 | 2K | 39K | – |
| COLOMBIER ACQUISITION CORP I | COM SHS CL A | 4M | 387K | – |
| COLOMBIER ACQUISITION CORP I | *W EXP 11/24/202 | 39K | 129K | – |
| COLOMBIER ACQUISITION CORP I | UNIT 99/99/9999 | 134K | 13K | – |
| COMPASS DIGITAL ACQUISITN CO | CLASS A ORD | 5M | 500K | – |
| CONCORD ACQUISITION CORP II | *W EXP 99/99/999 | 17K | 153K | – |
| CONDUIT PHARMACEUTICALS INC | *W EXP 09/22/202 | 4K | 200K | – |
| CONX CORP | *W EXP 10/30/202 | 2K | 40K | – |
| CORNER GROWTH ACQUISITION CO | *W EXP 99/99/999 | 13K | 65K | – |
| CORNER GROWTH ACQUISITN CORP | *W EXP 99/99/999 | 2K | 67K | – |
| CORNERSTONE STRATEGIC VALUE | COM | 15M | 2M | – |
| CRITICAL METALS CORP | PUBCO ORD SHS | 2M | 91K | – |
| CRITICAL METALS CORP | *W EXP 02/27/202 | 33K | 221K | – |
| CSLM ACQUISITION CORP | *W EXP 99/99/999 | 12K | 88K | – |
| CSLM ACQUISITION CORP | RIGHT 07/01/2023 | 18K | 175K | – |
| DENALI CAPITAL ACQUISITN COR | *W EXP 99/99/999 | 3K | 155K | – |
| DIGITAL HEALTH ACQUISITION C | *W EXP 99/99/999 | 7K | 32K | – |
| DIH HLDG US INC | *W EXP 04/20/202 | 13K | 325K | – |
| DISTOKEN ACQUISITION CORP | *W EXP 11/30/202 | 3K | 148K | – |
| DISTOKEN ACQUISITION CORP | RIGHT 99/99/9999 | 16K | 148K | – |
| DMY SQUARED TECHNOLOGY GROUP | *W EXP 99/99/999 | 15K | 100K | – |
| DNP SELECT INCOME FD INC | COM | 2M | 222K | – |
| DRAGONFLY ENERGY HOLDINGS CO | *W EXP 10/07/202 | 6K | 188K | – |
| DT CLOUD ACQUISITION CORP | ORD SHS | 4M | 400K | – |
| DT CLOUD ACQUISITION CORP | RIGHT 02/14/2029 | 125K | 400K | – |
| DTF TAX-FREE INCOME 2028 TER | COM | 5M | 431K | – |
| DWS MUN INCOME TR NEW | COM | 12M | 1M | – |
| DWS STRATEGIC MUN INCOME TR | COM | 6M | 637K | – |
| EATON VANCE CALIF MUN BD FD | COM | 8M | 879K | – |
| EATON VANCE CALIF MUN INCOM | SH BEN INT | 244K | 22K | – |
| EATON VANCE MUN BD FD | COM | 23M | 2M | – |
| EATON VANCE MUNI INCOME TRUS | SH BEN INT | 4M | 398K | – |
| EATON VANCE NEW YORK MUN BD | COM | 2M | 195K | – |
| ECARX HOLDINGS INC | *W EXP 99/99/999 | 375 | 13K | – |
| ESGL HLDGS LTD | *W EXP 10/19/202 | 2K | 215K | – |
| ESH ACQUISITION CORP | COM | 2M | 145K | – |
| ESH ACQUISITION CORP | RIGHT 99/99/9999 | 16K | 147K | – |
| EUDA HEALTH HOLDINGS LTD | *W EXP 11/22/202 | 42K | 175K | – |
| EVE MOBILITY ACQUISITION COR | *W EXP 12/31/202 | 10K | 125K | – |
| EVEREST CONSOLIDATOR ACQ COR | CL A COM | 1M | 103K | – |
| EVEREST CONSOLIDATOR ACQ COR | *W EXP 99/99/999 | 11K | 55K | – |
| EXCELFIN ACQUISITION CORP | COM CL A | 3M | 250K | – |
| EXCELFIN ACQUISITION CORP | *W EXP 10/25/202 | 750 | 25K | – |
| EXCHANGE LISTED FDS TR | SABA INT RATE | 6M | 263K | – |
| FEDERATED HERMES PREM MUNI I | COM | 11M | 947K | – |
| FEUTUNE LIGHT ACQUISITION CO | *W EXP 06/01/202 | 2K | 84K | – |
| FINNOVATE ACQUISITION CORP | *W EXP 09/30/202 | 2K | 94K | – |
| FIRST TR ABRDN GBL OPP INCM | COM SHS | 2M | 288K | – |
| FIRST TR HIGH INCOME LONG / | COM | 7M | 597K | – |
| FIRST TR HIGH YIELD OPPRT 20 | COM | 18M | 1M | – |
| FIRST TR SPECIALTY FIN & FIN | COM BEN INTR | 822K | 211K | – |
| FLAG SHIP ACQUISITION CORP | UNIT 05/22/2029 | 6M | 577K | – |
| FLAHERTY & CRUMRINE PFD INCO | COM | 597K | 70K | – |
| FOUR LEAF ACQUISITION CORP | COM CL A | 897K | 82K | – |
| FOUR LEAF ACQUISITION CORP | *W EXP 03/15/202 | 4K | 82K | – |
| FTAC EMERALD ACQUISITION COR | CLASS A COM | 5M | 500K | – |
| FUTURETECH II ACQUISITION CO | CLASS A COM | 984K | 89K | – |
| FUTURETECH II ACQUISITION CO | *W EXP 08/18/202 | 3K | 125K | – |
| GLOBAL BLOCKCHAIN ACQUI CORP | COMMON STOCK | 2M | 158K | – |
| GLOBAL BLOCKCHAIN ACQUI CORP | RIGHT 05/09/2027 | 12K | 200K | – |
| GLOBAL BLOCKCHAIN ACQUI CORP | *W EXP 99/99/999 | 5K | 300K | – |
| GLOBAL GAS CORP DEL | *W EXP 12/21/202 | 365 | 36K | – |
| GLOBAL PARTNER ACQISTN CORP | *W EXP 01/14/202 | 7K | 38K | – |
| GLOBALINK INVT INC | COM | 2M | 147K | – |
| GLOBALINK INVT INC | RIGHT 12/06/2026 | 34K | 213K | – |
| GLOBALINK INVT INC | *W EXP 12/03/202 | 6K | 213K | – |
| GOAL ACQUISITIONS CORP | *W EXP 99/99/999 | 0 | 252K | – |
| GOLDEN ARROW MERGER CORP | *W EXP 07/31/202 | 6K | 40K | – |
| GOLDEN STAR ACQUISITION CORP | USD ORD SHS | 1M | 131K | – |
| GOLDEN STAR ACQUISITION CORP | RIGHT 03/30/2025 | 48K | 133K | – |
| GOLDENSTONE ACQUISITION LTD | COM | 1M | 119K | – |
| GOLDENSTONE ACQUISITION LTD | *W EXP 07/15/202 | 9K | 185K | – |
| GOLDENSTONE ACQUISITION LTD | RIGHT 07/15/2026 | 33K | 185K | – |
| GORES HOLDINGS IX INC | *W EXP 01/14/202 | 20K | 251K | – |
| GORILLA TECHNOLOGY GROUP INC | *W EXP 99/99/999 | 5K | 98K | – |
| GP-ACT III ACQUISITION CORP | UNIT 99/99/9999 | 5M | 451K | – |
| HANCOCK JOHN INVT TR II | COM | 3M | 224K | – |
| HAYMAKER ACQUISITION CORP IV | CLASS A | 723K | 69K | – |
| HAYMAKER ACQUISITION CORP IV | *W EXP 05/31/202 | 15K | 85K | – |
| HEALTHCARE AI ACQUISITION CO | *W EXP 12/07/202 | 3K | 57K | – |
| HENNESSY CAPITAL INVST CORP | CLASS A COM | 5M | 500K | – |
| HENNESSY CAPITAL INVST CORP | *W EXP 99/99/999 | 68K | 456K | – |
| HORIZON SPACE ACQUSTN I CORP | ORDINARY SHARES | 2M | 206K | – |
| HORIZON SPACE ACQUSTN I CORP | *W EXP 12/27/202 | 4K | 214K | – |
| HORIZON SPACE ACQUSTN I CORP | RIGHT 03/02/2024 | 19K | 214K | – |
| HUB CYBER SECURITY LTD | *W EXP 02/27/202 | 6K | 202K | – |
| HUDSON ACQUISITION I CORP | COMMON STOCK | 267K | 20K | – |
| HUDSON ACQUISITION I CORP | RIGHT 99/99/9999 | 93K | 400K | – |
| IB ACQUISITION CORP | COM SHS | 1M | 135K | – |
| IB ACQUISITION CORP | RIGHT 09/28/2025 | 11K | 135K | – |
| IB ACQUISITION CORP | UNIT 03/26/2029 | 153K | 15K | – |
| ILEARNINGENGINES INC | *W EXP 04/16/202 | 44K | 66K | – |
| INFINT ACQUISITION CORP | CL A ORD SHS | 2M | 150K | – |
| INFLECTION PT ACQUISITN CRP | CL A ORD SHS | 2M | 150K | – |
| INFLECTION PT ACQUISITN CRP | *W EXP 08/31/202 | 9K | 104K | – |
| INTEGRAL ACQUISITION CORP 1 | *W EXP 05/31/202 | 33K | 325K | – |
| INTEGRATED WELLNESS ACQ CORP | ORD SHS CL A | 2M | 196K | – |
| INTEGRATED WELLNESS ACQ CORP | *W EXP 10/31/202 | 2K | 100K | – |
| INTERNATIONAL MEDIA ACQUISIT | *W EXP 99/99/999 | 3K | 250K | – |
| INTERNATIONAL MEDIA ACQUISIT | RIGHT 99/99/9999 | 10K | 250K | – |
| INVESCO ADVANTAGE MUN INCOME | SH BEN INT | 13M | 1M | – |
| INVESCO EXCH TRADED FD TR II | CEF INM COMPSI | 1M | 53K | – |
| INVESCO EXCH TRADED FD TR II | FTSE RAFI EMNG | 1M | 56K | – |
| INVESCO MUN OPPORTUNITY TR | COM | 19M | 2M | – |
| INVESCO MUNICIPAL TRUST | COM | 16M | 2M | – |
| INVESCO PA VALUE MUN INC TR | COM | 5M | 475K | – |
| INVESCO QUALITY MUN INCOME T | COM | 13M | 1M | – |
| INVESCO TR INVT GRADE MUNS | COM | 17M | 2M | – |
| INVESCO TR INVT GRADE NEW YO | COM | 2M | 163K | – |
| INVESCO VALUE MUN INCOME TR | COM | 13M | 1M | – |
| IRON HORSE ACQUISITIONS CORP | COM | 5M | 449K | – |
| IRON HORSE ACQUISITIONS CORP | *W EXP 99/99/999 | 18K | 449K | – |
| IRON HORSE ACQUISITIONS CORP | RIGHT 99/99/9999 | 117K | 449K | – |
| IRON HORSE ACQUISITIONS CORP | UNIT 10/15/2028 | 608K | 59K | – |
| ISRAEL ACQUISITIONS CORP | *W EXP 99/99/999 | 10K | 199K | – |
| IX ACQUISITION CORP | CLASS A ORD SHS | 4M | 375K | – |
| IX ACQUISITION CORP | *W EXP 07/31/202 | 39K | 490K | – |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 934K | 19K | – |
| JAWS MUSTANG ACQUISITION COR | *W EXP 01/30/202 | 142K | 2M | – |
| JETAI INC | *W EXP 08/10/202 | 18K | 300K | – |
| JVSPAC ACQUISITION CORP | SHS CL A | 2M | 206K | – |
| JVSPAC ACQUISITION CORP | RIGHT 11/26/2026 | 62K | 206K | – |
| JVSPAC ACQUISITION CORP | UNIT 03/11/2024 | 431K | 41K | – |
| KAIROUS ACQUISITION CORP LTD | ORDINARY SHARES | 2M | 145K | – |
| KAIROUS ACQUISITION CORP LTD | *W EXP 09/15/202 | 743 | 74K | – |
| KAIROUS ACQUISITION CORP LTD | RIGHT 09/15/2026 | 15K | 149K | – |
| KAYNE ANDERSON ENERGY INFRST | COM | 10M | 967K | – |
| KEEN VISION ACQUISITION CORP | SHS | 512K | 48K | – |
| KEEN VISION ACQUISITION CORP | *W EXP 03/15/202 | 4K | 48K | – |
| KENSINGTON CAPITAL ACQUISITI | SHS CL A | 4M | 400K | – |
| KENSINGTON CAPITAL ACQUISITI | *W EXP 99/99/999 | 30K | 984K | – |
| KERNEL GROUP HOLDINGS INC | CL A SHS | 116K | 11K | – |
| KERNEL GROUP HOLDINGS INC | *W EXP 99/99/999 | 3K | 25K | – |
| KEYARCH ACQUISITION CORP | *W EXP 99/99/999 | 10K | 200K | – |
| KEYARCH ACQUISITION CORP | RIGHT 01/24/2027 | 156K | 400K | – |
| LEARN CW INVESTMENT COR | *W EXP 10/08/202 | 3K | 25K | – |
| LEGATO MERGER CORP III | ORD SHS | 7M | 728K | – |
| LEGATO MERGER CORP III | *W EXP 05/08/203 | 47K | 364K | – |
| LEGATO MERGER CORP III | UNIT 99/99/9999 | 725K | 71K | – |
| LIONHEART HOLDINGS | UNIT 99/99/9999 | 4M | 400K | – |
| MACQUARIE / FIRST TR GLOBAL | COM | 241K | 32K | – |
| MAQUIA CAPITAL ACQUISITION C | *W EXP 99/99/999 | 320 | 32K | – |
| MARBLEGATE ACQUISITION CORP | COM CL A | 810K | 75K | – |
| MARBLEGATE ACQUISITION CORP | *W EXP 08/31/202 | 11K | 300K | – |
| MARS ACQUISITION CORP | ORDINARY SHARES | 5M | 442K | – |
| MARS ACQUISITION CORP | RIGHT 02/09/2028 | 38K | 198K | – |
| MELAR ACQUISITION CORP. I | UNIT 06/10/2029 | 3M | 300K | – |
| METAL SKY STAR ACQUISITION C | RIGHT 12/31/2025 | 12K | 200K | – |
| METAL SKY STAR ACQUISITION C | *W EXP 03/31/202 | 3K | 200K | – |
| MFS HIGH INCOME MUN TR | SH BEN INT | 4M | 945K | – |
| MFS HIGH YIELD MUN TR | SH BEN INT | 4M | 1M | – |
| MFS INVT GRADE MUN TR | SH BEN INT | 3M | 342K | – |
| MFS MUN INCOME TR | SH BEN INT | 512K | 94K | – |
| MICROCLOUD HOLOGRAM INC | *W EXP 01/31/202 | 6K | 150K | – |
| MILLER HOWARD HIGH INC EQTY | COM SHS BEN IN | 4M | 373K | – |
| MORGAN STANLEY EMERGING MKTS | COM | 2M | 373K | – |
| MORINGA ACQUISITION CORP | *W EXP 02/22/202 | 1K | 15K | – |
| MOUNTAIN CREST ACQSITN CORP | RIGHT 08/30/2022 | 24K | 215K | – |
| MSP RECOVERY INC | *W EXP 05/23/202 | 6K | 119K | – |
| MULTIMETAVERSE HOLDINGS LTD | *W EXP 01/04/202 | 3K | 86K | – |
| MULTISENSOR AI HOLDINGS INC | *W EXP 12/19/202 | 2K | 56K | – |
| NABORS ENERGY TRANSITION COR | CL A | 2M | 151K | – |
| NABORS ENERGY TRANSITION COR | *W EXP 09/01/202 | 14K | 142K | – |
| NATURES MIRACLE HLDG INC | *W EXP 02/15/202 | 2K | 84K | – |
| NAUTICUS ROBOTICS INC | *W EXP 03/15/202 | 3K | 85K | – |
| NEUBERGER BERMAN MUN FD INC | COM | 9M | 866K | – |
| NEW AMER HIGH INCOME FD INC | COM NEW | 980K | 134K | – |
| NEW HORIZON AIRCRAFT LTD | *W EXP 99/99/999 | 3K | 158K | – |
| NEWBURY STREET ACQUISITN COR | COM | 3M | 251K | – |
| NEWBURY STREET ACQUISITN COR | *W EXP 04/30/202 | 6K | 100K | – |
| NEWGENIVF GROUP LIMITED | *W EXP 04/03/202 | 4K | 144K | – |
| NKGEN BIOTECH INC | *W EXP 05/31/202 | 65K | 652K | – |
| NORTHVIEW ACQUISITION CORP | *W EXP 08/02/202 | 8K | 125K | – |
| NORTHVIEW ACQUISITION CORP | RIGHT 99/99/9999 | 25K | 250K | – |
| NOVA VISION ACQUISITION CORP | *W EXP 12/31/202 | 2K | 165K | – |
| NOVA VISION ACQUISITION CORP | RIGHT 12/23/2023 | 26K | 165K | – |
| NUKKLEUS INC | *W EXP 12/04/202 | 641 | 32K | – |
| NUVEEN AMT FREE MUN CR INC F | COM | 67M | 5M | – |
| NUVEEN AMT FREE QLTY MUN INC | COM | 91M | 8M | – |
| NUVEEN AMT-FREE MUN VALUE FD | COM | 7M | 513K | – |
| NUVEEN CA QUALTY MUN INCOME | COM | 42M | 4M | – |
| NUVEEN CALIFORNIA MUNI VLU F | COM STK | 301K | 35K | – |
| NUVEEN CORE PLUS IMPACT FUND | COM BEN INT | 4M | 326K | – |
| NUVEEN FLOATING RATE INCOME | COM | 2M | 229K | – |
| NUVEEN MUN CR OPPORTUNITIES | COM | 2M | 156K | – |
| NUVEEN MUN VALUE FD INC | COM | 59M | 7M | – |
| NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 33M | 3M | – |
| NUVEEN N Y MUN VALUE FD | COM | 2M | 265K | – |
| NUVEEN N Y SELECT TAX FREE I | SH BEN INT | 224K | 19K | – |
| NUVEEN NEW JERSEY QULT MUN F | COM | 2M | 141K | – |
| NUVEEN NEW YORK AMT QLT MUNI | COM | 2M | 185K | – |
| NUVEEN NEW YORK QLT MUN INC | COM | 2M | 164K | – |
| NUVEEN PENNSYLVANIA QLT MUN | COM | 971K | 80K | – |
| NUVEEN PFD & INCOME OPPORTUN | COM | 38M | 5M | – |
| NUVEEN PFD & INCOME TERM FD | COM | 5M | 237K | – |
| NUVEEN QUALITY MUNCP INCOME | COM | 104M | 9M | – |
| NUVEEN REAL ESTATE INCOME FD | COM | 412K | 54K | – |
| NUVEEN VRIABL RAT PFD & INM | COM | 587K | 32K | – |
| NVNI GROUP LIMITED | *W EXP 11/01/202 | 3K | 125K | – |
| OAK WOODS ACQUISITION CORP | CL A | 710K | 65K | – |
| OAK WOODS ACQUISITION CORP | *W EXP 99/99/999 | 2K | 67K | – |
| OAK WOODS ACQUISITION CORP | RIGHT 03/23/2028 | 17K | 67K | – |
| OCA ACQUISITION CORP | COM CL A | 2M | 169K | – |
| ONEMEDNET CORP | *W EXP 11/07/202 | 4K | 147K | – |
| ONYX ACQUISITION CO I | *W EXP 11/30/202 | 650 | 33K | – |
| PAPAYA GRWT OPPORTUNITY CORP | CLASS A COM | 662K | 56K | – |
| PAPAYA GRWT OPPORTUNITY CORP | *W EXP 12/31/202 | 1K | 35K | – |
| PEARL HOLDINGS ACQUISITN COR | CLASS A ORD SHS | 3M | 250K | – |
| PGIM GLOBAL HIGH YIELD FD FO | COM | 6M | 526K | – |
| PGIM SHORT DUR HIG YLD OPP F | COM | 11M | 717K | – |
| PHP VENTURES ACQUISITION COR | CLASS A COM | 698K | 63K | – |
| PHP VENTURES ACQUISITION COR | *W EXP 08/16/202 | 1K | 32K | – |
| PHP VENTURES ACQUISITION COR | RIGHT 01/01/2023 | 6K | 63K | – |
| PIMCO ACCESS INCOME FUND | SHS BENFIN INT | 7M | 418K | – |
| PIMCO CALIF MUN INCOME FD | COM | 2M | 235K | – |
| PIMCO CALIF MUN INCOME FD II | COM | 3M | 554K | – |
| PIMCO CALIF MUN INCOME FD II | COM | 845K | 118K | – |
| PIMCO DYNAMIC INCOME STRATEG | COM SHS BEN INT | 44M | 2M | – |
| PIMCO GLOBAL STOCKSPLS INCM | COM | 3M | 345K | – |
| PIMCO HIGH INCOME FD | COM SHS | 22M | 5M | – |
| PIMCO INCOME STRATEGY FD | COM | 4M | 517K | – |
| PIMCO INCOME STRATEGY FD II | COM | 15M | 2M | – |
| PIMCO NEW YORK MUN FD II | COM | 2M | 289K | – |
| PIMCO NEW YORK MUN INCOME FD | COM | 132K | 22K | – |
| PIONEER MUN HIGH INCOME OPPO | COMMON STOCK | 9M | 756K | – |
| PIONEER MUNICIPAL HIGH INCOM | COM | 9M | 1M | – |
| PIONEER MUNICIPAL HIGH INCOM | COM SHS | 5M | 547K | – |
| PLUTONIAN ACQUISITION CORP | COM | 57K | 24K | – |
| PLUTONIAN ACQUISITION CORP | RIGHT 10/26/2027 | 6K | 18K | – |
| PLUTONIAN ACQUISITION CORP | *W EXP 10/26/202 | 955 | 18K | – |
| PRENETICS GLOBAL LTD | *W EXP 05/18/202 | 328 | 33K | – |
| PRESTO AUTOMATION INC | *W EXP 09/21/202 | 6K | 186K | – |
| PRIVETERRA ACQUISITION CORP | *W EXP 01/07/202 | 4K | 201K | – |
| PROJECT ENERGY REIMAGINED AC | *W EXP 99/99/999 | 6K | 100K | – |
| PROSOMNUS INC | *W EXP 04/20/202 | 600 | 60K | – |
| PUTNAM MUN OPPORTUNITIES TR | SH BEN INT | 1M | 111K | – |
| QOMOLANGMA ACQUISITION CORP | COM | 3M | 245K | – |
| QOMOLANGMA ACQUISITION CORP | *W EXP 09/29/202 | 6K | 250K | – |
| QOMOLANGMA ACQUISITION CORP | RIGHT 09/29/2027 | 34K | 250K | – |
| QUETTA ACQUISITION CORP | COM | 1M | 97K | – |
| REDWOODS ACQUISITION CORP | COM | 118K | 20K | – |
| REDWOODS ACQUISITION CORP | *W EXP 03/15/202 | 22K | 187K | – |
| RELATIVITY ACQUISITION CORP | *W EXP 12/15/202 | 8K | 150K | – |
| RF ACQUISITION CORP | CLASS A COM | 3M | 258K | – |
| RF ACQUISITION CORP | *W EXP 05/01/202 | 7K | 350K | – |
| RF ACQUISITION CORP | RIGHT 05/01/2028 | 29K | 292K | – |
| RF ACQUISITION CORP II | UNIT 05/01/2026 | 1M | 100K | – |
| RMG ACQUISITION CORP III | *W EXP 99/99/999 | 454 | 45K | – |
| ROADZEN INC | *W EXP 11/30/202 | 2K | 50K | – |
| ROTH CH ACQUISITION CO | *W EXP 99/99/999 | 0 | 104K | – |
| ROTH CH ACQUISITION V CO | *W EXP 12/10/202 | 11K | 191K | – |
| ROYALTY MGMT HLDG CORP | *W EXP 05/28/202 | 1K | 50K | – |
| SABA CAPITAL INCOME & OPPORT | COM | 26M | 3M | – |
| SABA CAPITAL INCOME & OPRNT | SHS NEW | 23M | 3M | – |
| SCREAMING EAGLE ACQUISITN CO | CLASS A ORD SHS | 1M | 105K | – |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 2M | 32K | – |
| SEP ACQUISITION CORP | *W EXP 99/99/999 | 2K | 219K | – |
| SHF HOLDINGS INC | *W EXP 09/28/202 | 5K | 88K | – |
| SK GROWTH OPPORTUNITIES CORP | CLASS A COM | 11M | 1M | – |
| SK GROWTH OPPORTUNITIES CORP | *W EXP 06/28/202 | 13K | 56K | – |
| SLAM CORP | *W EXP 99/99/999 | 6K | 22K | – |
| SOUND POINT MERIDIAN CAP INC | COMMON STOCK | 1M | 50K | – |
| SOUTHLAND HLDGS INC | *W EXP 02/14/202 | 22K | 66K | – |
| SPARK I ACQUISITION CORP | ORD SHS | 1M | 97K | – |
| SPARK I ACQUISITION CORP | *W EXP 10/01/203 | 8K | 48K | – |
| SPECIAL OPPORTUNITIES FD INC | COM | 4M | 324K | – |
| SPECTAIRE HLDGS INC | *W EXP 10/17/202 | 5K | 130K | – |
| SUNCAR TECHNOLOGY GROUP INC | *W EXP 05/17/202 | 11K | 63K | – |
| SWIFTMERGE ACQUISITION CORP | *W EXP 12/13/202 | 5K | 75K | – |
| SYNTEC OPTICS HLDGS INC | *W EXP 99/99/999 | 21K | 131K | – |
| TENX KEANE ACQUISITION | ORD SHS | 4M | 350K | – |
| TENX KEANE ACQUISITION | RIGHT 06/30/2028 | 113K | 350K | – |
| TLGY ACQUISITION CORPORATION | *W EXP 11/09/202 | 1K | 20K | – |
| TMT ACQUISITION CORP | SHS | 2M | 145K | – |
| TMT ACQUISITION CORP | RIGHT 03/27/2028 | 50K | 147K | – |
| TORTOISE ENERGY INDEPENDENC | COM | 1M | 36K | – |
| TORTOISE MIDSTRM ENERGY FD I | COM | 6M | 133K | – |
| TRAILBLAZER MERGER CORP I | CL A | 2M | 161K | – |
| TRAILBLAZER MERGER CORP I | RIGHT 04/21/2028 | 19K | 161K | – |
| TRISTAR ACQUISITION I CORP | CL A ORD SHS | 521K | 47K | – |
| TRISTAR ACQUISITION I CORP | *W EXP 99/99/999 | 9K | 75K | – |
| VERDE CLEAN FUELS INC | CLASS A COM | 279K | 67K | – |
| VERDE CLEAN FUELS INC | *W EXP 02/15/202 | 26K | 143K | – |
| VIRTUS CONVERTIBLE & INC 202 | COM | 4M | 460K | – |
| VIRTUS GLOBAL MULTI-SECTOR I | COM | 1M | 146K | – |
| VOLATO GROUP INC | *W EXP 12/04/202 | 1K | 110K | – |
| VOYA EMERGING MKTS HIGH DIVI | COM | 1M | 250K | – |
| VSEE HEALTH INC | *W EXP 99/99/999 | 10K | 43K | – |
| WAG GROUP CO | *W EXP 07/30/202 | 52K | 600K | – |
| WELSBACH TECH METALS ACQU CO | COM | 3M | 245K | – |
| WELSBACH TECH METALS ACQU CO | RIGHT 12/22/2026 | 32K | 322K | – |
| WESTERN ACQSTN VENTURES CORP | COM | 1M | 100K | – |
| WESTERN ACQSTN VENTURES CORP | *W EXP 99/99/999 | 5K | 150K | – |
| WESTERN ASSET EMERGING MKTS | COM | 15M | 2M | – |
| WESTERN ASSET HIGH INCOME OP | COM | 13M | 3M | – |
| WESTERN ASSET INTER MUNI FD | COM | 13M | 2M | – |
| WESTERN ASSET MANAGED MUNS F | COM | 60M | 6M | – |
| WESTERN ASSET MUN HIGH INCOM | COM | 6M | 910K | – |
| WESTERN AST INFL LKD OPP & I | COM | 18M | 2M | – |
| WINVEST ACQUISITION CORP | COMMON STOCK | 2M | 150K | – |
| WINVEST ACQUISITION CORP | *W EXP 08/09/202 | 2K | 150K | – |
| WINVEST ACQUISITION CORP | RIGHT 99/99/9999 | 12K | 150K | – |
| XBP EUROPE HOLDINGS INC | *W EXP 11/30/202 | 1K | 25K | – |
| YOTTA ACQUISITION CORPORATIO | COMMON STOCK | 3M | 249K | – |
| YOTTA ACQUISITION CORPORATIO | *W EXP 03/15/202 | 4K | 425K | – |
| YOTTA ACQUISITION CORPORATIO | RIGHT 03/15/2027 | 38K | 425K | – |
| ZAPP ELEC VEHS GROUP LTD | *W EXP 99/99/999 | 500 | 25K | – |