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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
+1.73%
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
$1.67B
AUM Growth
+$1.64B
Cap. Flow
+$85.4M
Cap. Flow %
5.13%
Top 10 Hldgs %
30.69%
Holding
314
New
56
Increased
61
Reduced
66
Closed
51

Top Buys

Rank Stock Value
1
PDX
PIMCO Dynamic Income Strategy Fund
PDX
+$31.3M
2
KYN icon
Kayne Anderson Energy Infrastructure Fund
KYN
+$20M
3
NVG icon
Nuveen AMT-Free Municipal Credit Income Fund
NVG
+$18.9M
4
DSU icon
BlackRock Debt Strategies Fund
DSU
+$18.1M
5
BTZ icon
BlackRock Credit Allocation Income Trust
BTZ
+$17.6M

Top Sells

Rank Stock Value
1
VVR icon
Invesco Senior Income Trust
VVR
+$20.6M
2
VTA
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
+$16.9M
3
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$13.4M
4
HIO
Western Asset High Income Opportunity Fund
HIO
+$12.9M
5
HIX
Western Asset High Income Fund II
HIX
+$9.67M

Sector Composition

Rank Sector Weight
1 Financials 2.4%
2 Communication Services 0.43%
3 Technology 0.39%
4 Industrials 0.38%
5 Healthcare 0.34%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SEGG
276
Sports Entertainment Gaming Global Corp
SEGG
$8.15M
– –
-107
Closed -$1.56K
NZF icon
277
Nuveen Municipal Credit Income Fund
NZF
$2.43B
– –
-81,345
Closed -$1.32K
PHGE icon
278
BiomX
PHGE
$1.78M
– –
-158
Closed -$305
WIA
279
Western Asset Inflation-Linked Income Fund
WIA
$186M
– –
-199,133
Closed -$2.31K
CBH
280
DELISTED
Virtus Convertible & Income 2024 Target Term Fund
CBH
– –
-260,401
Closed -$2.46K
AFT
281
DELISTED
Apollo Senior Floating Rate Fund Inc.
AFT
– –
-38,574
Closed -$572
ID
282
DELISTED
PARTS iD, Inc.
ID
– –
-200,000
Closed -$2.04K
NSL
283
DELISTED
NUVEEN SENIOR INCM FD
NSL
– –
-481,434
Closed -$2.77K
BRMK
284
DELISTED
Broadmark Realty Capital Inc. Common Stock
BRMK
– –
-96,000
Closed -$1K
FIV
285
DELISTED
First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest
FIV
– –
-98,986
Closed -$876
MNCLU
286
DELISTED
Monocle Acquisition Corporation Units
MNCLU
– –
-75,000
Closed -$783
TLI
287
DELISTED
Western Asset Corporate Loan Fund Inc.
TLI
– –
-461,197
Closed -$4.38K
GARS
288
DELISTED
Garrison Capital Inc.
GARS
– –
-1,159,976
Closed -$8.02K
ACTTU
289
DELISTED
Act II Global Acquisition Corp Unit
ACTTU
– –
-100,000
Closed -$1.04K
EDTXU
290
DELISTED
EdtechX Holdings Acquisition Corp. Unit
EDTXU
– –
-100,000
Closed -$1.04K
CTACU
291
DELISTED
ChaSerg Technology Acquisition Corp. Unit
CTACU
– –
-100,000
Closed -$1.06K
BRPM.U
292
DELISTED
B. Riley Principal Merger Corp.
BRPM.U
– –
-150,000
Closed -$1.51K
BROGR
293
DELISTED
Twelve Seas Investment Company Rights
BROGR
– –
-225,000
Closed -$83
INB
294
DELISTED
Cohen & Steers Global Income Builder, Inc.
INB
– –
-20,612
Closed -$188
PVT
295
DELISTED
Pivotal Acquisition Corp.
PVT
– –
-100,000
Closed -$1.02K
HSACU
296
DELISTED
Health Sciences Acquisitions Corporation Units
HSACU
– –
-100,000
Closed -$1.07K
JMT
297
DELISTED
Nuveen Mortgage Opportunity Term Fund 2
JMT
– –
-134,084
Closed -$2.97K
LOR
298
DELISTED
Lazard World Dividend & Income Fund, Inc.
LOR
– –
-153,458
Closed -$1.43K
NNC
299
DELISTED
Nuveen North Carolina Quality Municipal Income Fund
NNC
– –
-716,751
Closed -$9.68K
NTC
300
DELISTED
Nuveen Connecticut Quality Municipal Income Fund
NTC
– –
-575,998
Closed -$7.73K
9 10 11
12
13

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Rivernorth Capital Management's Q4 2019 Portfolio in Review

As of Q4 2019, Rivernorth Capital Management held 314 positions worth $1.67B, up 7,483% from $22M the previous quarter. Its ten largest holdings account for 31% of the portfolio.

Rivernorth Capital Management deployed $85.4M of net new capital in Q4 2019, opening 56 new positions and adding to 61 existing holdings. Its largest new stake was Cohen & Steers Infrastructure Fund: 374,909 shares worth $9.82M.

By sector, the portfolio is most concentrated in Financials at 2.4% of assets, up from 0.2% a quarter earlier, followed by Communication Services and Technology.

On the sell side, the largest reduction was Invesco Senior Income Trust, an estimated $20.6M trimmed.

  • Rivernorth Capital Management's largest Q4 2019 buy was Cohen & Steers Infrastructure Fund: 374,909 shares worth $9.82M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Income Strategy Fund in Q4 2019, an estimated $31.3M increase.
  • Rivernorth Capital Management's biggest Q4 2019 reduction was Invesco Senior Income Trust, cutting an estimated $20.6M.
  • Rivernorth Capital Management fully exited Akazoo SA Warrant in Q4 2019, selling an estimated $40K.
  • Rivernorth Capital Management's ten largest holdings make up 31% of its $1.67B portfolio in Q4 2019.
  • Rivernorth Capital Management opened 56 new positions and closed 51 in Q4 2019.
  • Rivernorth Capital Management's portfolio value rose 7,483% quarter-over-quarter to $1.67B.

Based on Rivernorth Capital Management's 13F filing for Q4 2019, filed 14 Feb 2020.