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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
+9.74%
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
$1.68B
AUM Growth
+$69.2M
Cap. Flow
-$146M
Cap. Flow %
-8.69%
Top 10 Hldgs %
29%
Holding
496
New
162
Increased
49
Reduced
116
Closed
141

Top Buys

Rank Stock Value
1
OBDC icon
Blue Owl Capital
OBDC
+$35.8M
2
NMCO icon
Nuveen Municipal Credit Opportunities Fund
NMCO
+$25.9M
3
VVR icon
Invesco Senior Income Trust
VVR
+$19.6M
4
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$17M
5
BGB
Blackstone Strategic Credit 2027 Term Fund
BGB
+$16.2M

Top Sells

Rank Stock Value
1
EHI
Western Asset Global High Income Fund
EHI
+$53.9M
2
HIX
Western Asset High Income Fund II
HIX
+$28.4M
3
HIO
Western Asset High Income Opportunity Fund
HIO
+$20.8M
4
PHD
Pioneer Floating Rate Fund
PHD
+$15M
5
BFZ
BlackRock CA Municipal Income Trust
BFZ
+$14.6M

Sector Composition

Rank Sector Weight
1 Financials 11.15%
2 Healthcare 0.76%
3 Technology 0.75%
4 Consumer Discretionary 0.62%
5 Industrials 0.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ADNWW
351
DELISTED
Advent Technologies Holdings Warrant
ADNWW
– –
-200,000
Closed -$136K
AEVA
352
Aeva Technologies
AEVA
$1.7B
– –
-70,000
Closed -$3.5M
AOD
353
abrdn Total Dynamic Dividend Fund
AOD
$1.13B
– –
-892,085
Closed -$7.08M
ARCC icon
354
Ares Capital
ARCC
$14.3B
– –
-17,815
Closed -$249K
ARKO icon
355
ARKO Corp
ARKO
$515M
– –
-96,902
Closed -$969K
ASLE icon
356
AerSale
ASLE
$274M
– –
-73,609
Closed -$754K
AVPT icon
357
AvePoint
AVPT
$2.74B
– –
-49,998
Closed -$530K
AVPTW
358
DELISTED
AvePoint Inc Warrant
AVPTW
– –
-24,999
Closed -$48K
BCAT icon
359
BlackRock Capital Allocation Term Trust
BCAT
$1.68B
– –
-100,000
Closed -$2.05M
BCX icon
360
BlackRock Resources & Commodities Strategy Trust
BCX
$964M
– –
-1,289,899
Closed -$7.67M
BFLY icon
361
Butterfly Network
BFLY
$2.46B
– –
-199,997
Closed -$1.96M
BFZ
362
DELISTED
BlackRock CA Municipal Income Trust
BFZ
– –
-1,103,881
Closed -$14.6M
BGT icon
363
BlackRock Floating Rate Income Trust
BGT
$330M
– –
-76,208
Closed -$856K
BSTZ icon
364
BlackRock Science and Technology Term Trust
BSTZ
$2.1B
– –
-128,192
Closed -$3.29M
EFT
365
Eaton Vance Floating-Rate Income Trust
EFT
$289M
– –
-539,062
Closed -$6.4M
EHI
366
Western Asset Global High Income Fund
EHI
$178M
– –
-5,596,315
Closed -$53.9M
FCT
367
DELISTED
First Trust Senior Floating Rate Income Fund II
FCT
– –
-260,895
Closed -$2.86M
HFRO
368
Highland Opportunities and Income Fund
HFRO
$401M
– –
-1,097,977
Closed -$9.43M
HIX
369
Western Asset High Income Fund II
HIX
$355M
– –
-4,430,757
Closed -$28.4M
HYMCW
370
DELISTED
Hycroft Mining Holding Corporation Warrant
HYMCW
– –
-141,461
Closed -$222K
LTRYW icon
371
Sports Entertainment Gaming Global Corp Warrants
LTRYW
$745
– –
-150,000
Closed -$56K
MAPSW
372
DELISTED
WM TECHNOLOGY INC WTS
MAPSW
– –
-99,999
Closed -$61K
MAPS
373
DELISTED
WM TECHNOLOGY INC A
MAPS
– –
-199,998
Closed -$2.03M
MNTS icon
374
Momentus
MNTS
$89.7M
– –
-5
Closed -$662K
MNTSW icon
375
Momentus Inc Warrant
MNTSW
$9
– –
-32,852
Closed -$38K
13 14
15
16 17

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Rivernorth Capital Management's Q4 2020 Portfolio in Review

As of Q4 2020, Rivernorth Capital Management held 496 positions worth $1.68B, up 4.3% from $1.62B the previous quarter. Its ten largest holdings account for 29% of the portfolio.

Rivernorth Capital Management withdrew a net $146M in Q4 2020, closing 141 positions and reducing 116 holdings. Its most notable exit was Western Asset Global High Income Fund, an estimated $53.9M position sold in full.

By sector, the portfolio is most concentrated in Financials at 11% of assets, up from 8.1% a quarter earlier, followed by Healthcare and Technology.

Against the trend, Rivernorth Capital Management opened a new position in Blue Owl Capital worth $35.7M.

  • Rivernorth Capital Management's largest Q4 2020 buy was Blue Owl Capital: 2,823,663 shares worth $35.7M.
  • Rivernorth Capital Management added most to Invesco Senior Income Trust in Q4 2020, an estimated $19.6M increase.
  • Rivernorth Capital Management's biggest Q4 2020 reduction was Western Asset High Income Opportunity Fund, cutting an estimated $20.8M.
  • Rivernorth Capital Management fully exited Western Asset Global High Income Fund in Q4 2020, selling an estimated $53.9M.
  • Rivernorth Capital Management's ten largest holdings make up 29% of its $1.68B portfolio in Q4 2020.
  • Rivernorth Capital Management opened 162 new positions and closed 141 in Q4 2020.
  • Rivernorth Capital Management's portfolio value rose 4.3% quarter-over-quarter to $1.68B.

Based on Rivernorth Capital Management's 13F filing for Q4 2020, filed 16 Feb 2021.