Form D · Other Investment Fund
RIVERNORTH OPPORTUNITIES FUND, INC.
West Palm Beach, FL · CIK 0001501072
Offering snapshot reported Oct 2, 2026 · SEC filing
- Reported sold
- $75M Offering amount: $75M
- Investors reported
- 7 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Sep 18, 2026 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Oct 2, 2026 | Initial | $75,000,000 | No comparison | 7 | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $130K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-599830
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| UBS Securities LLC | 000007654 | UBS Securities LLC · CRD 000007654 |
Source: Form D, filed Oct 2, 2026. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| John K. Carter | Director |
| Marcus L. Collins | Executive |
| Patrick W. Galley | Director, Executive |
| Jonathan M. Mohrhardt | Executive |
| Lisa B. Mougin | Director |
| Jerry R. Raio | Director |
| David M. Swanson | Director |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:
360 S. Rosemary Ave. Suite 1420
West Palm Beach, FL, 33401
West Palm Beach, FL, 33401