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RCM

Rivernorth Capital Management Portfolio holdings

AUM $2B
1-Year Est. Return 0.79%
This Fund
S&P 500
This Quarter Est. Return
+0.81%
1 Year Est. Return
-0.79%
3 Year Est. Return
+4.8%
5 Year Est. Return
-8.69%
10 Year Est. Return
+11.73%
AUM
$22M
AUM Growth
+$19.7M
Cap. Flow
+$203M
Cap. Flow %
924.46%
Top 10 Hldgs %
88.42%
Holding
291
New
48
Increased
64
Reduced
62
Closed
33

Top Buys

Rank Stock Value
1
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$29.4M
2
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$28.2M
3
AOD
abrdn Total Dynamic Dividend Fund
AOD
+$17.9M
4
MYI icon
BlackRock MuniYield Quality Fund III
MYI
+$17.8M
5
VGM icon
Invesco Trust Investment Grade Municipals
VGM
+$13.7M

Top Sells

Rank Stock Value
1
EAD
Allspring Income Opportunities Fund
EAD
+$10.3M
2
BTZ icon
BlackRock Credit Allocation Income Trust
BTZ
+$10.2M
3
EMD
Western Asset Emerging Markets Debt Fund
EMD
+$8.55M
4
CLM icon
Cornerstone Strategic Value Fund
CLM
+$8.33M
5
CRF
Cornerstone Total Return Fund
CRF
+$6.24M

Sector Composition

Rank Sector Weight
1 Financials 0.2%
2 Consumer Discretionary 0.03%
3 Communication Services 0.03%
4 Healthcare 0.03%
5 Energy 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LTRYW icon
251
Sports Entertainment Gaming Global Corp Warrants
LTRYW
$503
$23 ﹤0.01%
150,000
– –
ALGRW
252
DELISTED
Allegro Merger Corp Warrant
ALGRW
$23 ﹤0.01%
100,000
– –
KBLMW
253
DELISTED
KBL Merger Corp. IV Warrant
KBLMW
$21 ﹤0.01%
230,000
– –
TOTAW
254
DELISTED
Tottenham Acquisition I Limited Warrant
TOTAW
$20 ﹤0.01%
118,000
– –
FPAC.WS
255
DELISTED
Far Point Acquisition Corporation Warrants, exercisable for one share of Class A Common Stock for $1
FPAC.WS
$20 ﹤0.01%
16,665
– –
GLACW
256
DELISTED
Greenland Acquisition Corporation Warrant
GLACW
$15 ﹤0.01%
75,000
– –
AIFA
257
All In FutureTech Alliance Inc
AIFA
$13.5M
– –
-31,843
Closed -$1.96K
FT
258
Franklin Universal Trust
FT
$197M
– –
-58,214
Closed -$424
LEO
259
BNY Mellon Strategic Municipals
LEO
$387M
– –
-335,552
Closed -$2.74K
NCA icon
260
Nuveen California Municipal Value Fund
NCA
$303M
– –
-42,316
Closed -$427
NXC
261
DELISTED
Nuveen CA Select Tax-Free Income Portfolio
NXC
– –
-22,376
Closed -$331
RPAY icon
262
Repay Holdings
RPAY
$317M
– –
-150,000
Closed -$1.56K
USA icon
263
Liberty All-Star Equity Fund
USA
$1.86B
– –
-127,564
Closed -$818
NESRW
264
DELISTED
National Energy Services Reunited Corp. Warrant
NESRW
– –
-96,089
Closed -$82
MUI
265
DELISTED
BlackRock Municipal Income Fund, Inc.
MUI
– –
-40,795
Closed -$573
KERNW
266
DELISTED
Akerna Corp Warrant
KERNW
– –
-48,610
Closed -$145
PHUNW
267
DELISTED
Phunware, Inc. Warrants
PHUNW
– –
-71,794
Closed -$25
GER
268
DELISTED
Goldman Sachs MLP Energy Renaissance Fund
GER
– –
-224,607
Closed -$16.9K
JEMD
269
DELISTED
Nuveen Emerging Markets Debt 2022 Target Term Fund, Common Shares of Beneficial Interest, $0.01 par value per share
JEMD
– –
-145,889
Closed -$1.29K
STRDW
270
DELISTED
Sitio Royalties Corp. Warrant
STRDW
– –
-85,390
Closed -$81
JFKKU
271
DELISTED
8i Enterprises Acquisition Corp Unit
JFKKU
– –
-240,000
Closed -$2.53K
PACK.WS
272
DELISTED
One Madison Corporation Warrants, each whole warrant is exercisable for one Class A Common Stock at
PACK.WS
– –
-96,399
Closed -$116
EGIF
273
DELISTED
Eagle Growth and Income Opportunities Fund
EGIF
– –
-215,886
Closed -$3.32K
CCC.WS
274
DELISTED
Clarivate Analytics Plc Warrants, each to purchase one Ordinary Share
CCC.WS
– –
-24,999
Closed -$119
TKKSU
275
DELISTED
TKK Symphony Acquisition Corporation Unit
TKKSU
– –
-300,000
Closed -$3.08K
8 9 10
11
12

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Rivernorth Capital Management's Q3 2019 Portfolio in Review

As of Q3 2019, Rivernorth Capital Management held 291 positions worth $22M, up 856% from $2.3M the previous quarter. Its ten largest holdings account for 88% of the portfolio.

Rivernorth Capital Management deployed $203M of net new capital in Q3 2019, opening 48 new positions and adding to 64 existing holdings. Its largest new stake was abrdn Total Dynamic Dividend Fund: 2,174,846 shares worth $18.1K.

By sector, the portfolio is most concentrated in Financials at 0.2% of assets, down from 1.9% a quarter earlier, followed by Consumer Discretionary and Communication Services.

On the sell side, the largest reduction was Allspring Income Opportunities Fund, an estimated $10.3M trimmed.

  • Rivernorth Capital Management's largest Q3 2019 buy was abrdn Total Dynamic Dividend Fund: 2,174,846 shares worth $18.1K.
  • Rivernorth Capital Management added most to Nuveen AMT-Free Quality Municipal Income Fund in Q3 2019, an estimated $29.4M increase.
  • Rivernorth Capital Management's biggest Q3 2019 reduction was Allspring Income Opportunities Fund, cutting an estimated $10.3M.
  • Rivernorth Capital Management fully exited Goldman Sachs MLP Energy Renaissance Fund in Q3 2019, selling an estimated $16.9K.
  • Rivernorth Capital Management's ten largest holdings make up 88% of its $22M portfolio in Q3 2019.
  • Rivernorth Capital Management opened 48 new positions and closed 33 in Q3 2019.
  • Rivernorth Capital Management's portfolio value rose 856% quarter-over-quarter to $22M.

Based on Rivernorth Capital Management's 13F filing for Q3 2019, filed 14 Nov 2019.