Rivernorth Capital Management’s 2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev BDCL Stock Holding History

Rivernorth Capital Management’s Portfolio BDCL Stock Details BDCL Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q1	–	Sell	-52,000	Closed	-$855K	–	195
2017 Q4	$855K	Buy	+52,000	New	+$879K	0.06%	131
2016 Q1	–	Sell	-567,034	Closed	-$9.06M	–	196
2015 Q4	$9.06M	Sell	567,034 -223,115	-28%	-$3.7M	0.52%	63
2015 Q3	$12.3M	Sell	790,149 -20,842	-3%	-$381K	0.76%	42
2015 Q2	$16.5M	Sell	810,991 -118,310	-13%	-$2.53M	1.02%	28
2015 Q1	$20.6M	Sell	929,301 -61,019	-6%	-$1.3M	1.38%	17
2014 Q4	$21.2M	Buy	+990,320	New	+$22.4M	1.41%	14

Other funds holding BDCL

Selway Asset Management $242M AUM 7.7% 1-Year Est. Return

Claybrook Capital Wellesley, Massachusetts $175M AUM 10.74% 1-Year Est. Return

Stelac Advisory Services New York $494M AUM 23.25% 1-Year Est. Return

Allegis Investment Advisors Idaho Falls, Idaho $326M AUM 10.36% 1-Year Est. Return

HighTower Advisors

HighTower Advisors Chicago, Illinois $94.2B AUM 21.24% 1-Year Est. Return

DZ Bank Frankfurt Am Main, Germany $110B AUM 36.92% 1-Year Est. Return

Successful Portfolios Clearwater, Florida $181M AUM 24.6% 1-Year Est. Return

Envestnet Asset Management

Envestnet Asset Management Chicago, Illinois $374B AUM 17.66% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

Carroll Financial Associates Charlotte, North Carolina $1.88B AUM 20.52% 1-Year Est. Return