Rivernorth Capital Management’s Brookfield Total Return Fund Inc HTR Stock Holding History

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

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2014 Q3	–	Sell	-146,144	Closed	-$3.68M	–	200
2014 Q2	$3.68M	Sell	146,144 -11,088	-7%	-$273K	0.3%	97
2014 Q1	$3.81M	Sell	157,232 -21,165	-12%	-$508K	0.31%	90
2013 Q4	$4.24M	Buy	178,397 +19,251	+12%	+$451K	0.33%	92
2013 Q3	$3.65M	Buy	159,146 +29,375	+23%	+$676K	0.38%	71
2013 Q2	$3.12M	Buy	+129,771	New	+$3.35M	0.35%	77

Other funds holding HTR

SIA

Sit Investment Associates Minneapolis, Minnesota $5.28B AUM 14.42% 1-Year Est. Return

Guggenheim Capital Chicago, Illinois $15.9B AUM 53.4% 1-Year Est. Return

Invesco Atlanta, Georgia $1.26T AUM 61.52% 1-Year Est. Return

AAM

Advisors Asset Management Monument, Colorado $6.56B AUM 35.09% 1-Year Est. Return

Morgan Stanley New York $1.89T AUM 35.08% 1-Year Est. Return

First Trust Advisors Wheaton, Illinois $170B AUM 46.21% 1-Year Est. Return

PPA

Parametric Portfolio Associates Seattle, Washington $190B AUM 18.52% 1-Year Est. Return

CSS LLC Chicago, Illinois $2.57B AUM 67.1% 1-Year Est. Return

RJFSA

Raymond James Financial Services Advisors St. Petersburg, Florida $75.1B AUM 31.89% 1-Year Est. Return

UBS Zurich, Switzerland $136B AUM 16.36% 1-Year Est. Return

Rivernorth Capital Management's HTR Position: Q3 2014 in Review

Rivernorth Capital Management sold out of Brookfield Total Return Fund Inc (HTR) in Q3 2014, closing a stake of 146,144 shares — an estimated $3.68M sold.

Rivernorth Capital Management first reported a position in HTR in Q2 2013 and held it in 5 quarters. The position peaked at $4.24M in Q4 2013. 32 funds tracked by Wall St. Rank hold HTR as of Q3 2014.

Rivernorth Capital Management reported no remaining Brookfield Total Return Fund Inc position as of Q3 2014 after selling out during the quarter.
Rivernorth Capital Management sold 146,144 Brookfield Total Return Fund Inc shares in Q3 2014, an estimated $3.68M.
Rivernorth Capital Management first reported a position in Brookfield Total Return Fund Inc in Q2 2013 and held it in 5 quarters.
Rivernorth Capital Management's Brookfield Total Return Fund Inc position peaked at $4.24M in Q4 2013.
32 funds tracked by Wall St. Rank held Brookfield Total Return Fund Inc as of Q3 2014.

Based on Rivernorth Capital Management's 13F filing for Q3 2014, filed 14 Nov 2014.