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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
+0.99%
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
$1.3B
AUM Growth
+$353M
Cap. Flow
+$331M
Cap. Flow %
25.4%
Top 10 Hldgs %
22.27%
Holding
261
New
73
Increased
81
Reduced
45
Closed
44

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$23.8M
2
VMO icon
Invesco Municipal Opportunity Trust
VMO
+$19.4M
3
JQC icon
Nuveen Credit Strategies Income Fund
JQC
+$17.3M
4
NMA
NUVEEN MUNI ADVANTAGE FUND
NMA
+$14.2M
5
DSU icon
BlackRock Debt Strategies Fund
DSU
+$12.6M

Top Sells

Rank Stock Value
1
VOO icon
Vanguard S&P 500 ETF
VOO
+$19.5M
2
OEF icon
iShares S&P 100 ETF
OEF
+$10.4M
3
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$9.35M
4
ETW
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
ETW
+$7.2M
5
CWB icon
State Street SPDR Bloomberg Convertible Securities ETF
CWB
+$5.02M

Sector Composition

Rank Sector Weight
1 Financials 4.29%
2 Technology 0.1%
3 Materials 0.04%
4 Communication Services 0.03%
5 Energy 0.01%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DSU icon
26
BlackRock Debt Strategies Fund
DSU
$597M
$15M 1.15%
1,249,147
+1,047,090
+518% +$12.6M
JGT
27
DELISTED
NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA)
JGT
$14.3M 1.1%
1,417,093
– –
NMA
28
DELISTED
NUVEEN MUNI ADVANTAGE FUND
NMA
$14.1M 1.08%
+1,162,015
New +$14.2M
PPT
29
Franklin Premier Income Trust
PPT
$328M
$13.4M 1.03%
2,472,465
+379,209
+18% +$2.04M
VWO icon
30
Vanguard FTSE Emerging Markets ETF
VWO
$124B
$13.2M 1.01%
321,375
-55,000
-15% -$2.27M
ZTR
31
Virtus Total Return Fund
ZTR
$339M
$13.1M 1%
938,241
-77,425
-8% -$1.05M
VKQ icon
32
Invesco Municipal Trust
VKQ
$551M
$12.8M 0.99%
1,108,593
+753,961
+213% +$8.63M
PFN
33
PIMCO Income Strategy Fund II
PFN
$703M
$12.3M 0.95%
1,240,421
-4,984
-0.4% -$50.6K
XLG icon
34
Invesco S&P 500 Top 50 ETF
XLG
$11B
$12.3M 0.94%
947,010
+47,380
+5% +$588K
CTF
35
DELISTED
Nuveen Long/Short Commodity Fd
CTF
$12M 0.92%
+698,486
New +$11.7M
GAM
36
General American Investors Company
GAM
$1.61B
$11.6M 0.89%
329,504
+900
+0.3% +$31.3K
NAD icon
37
Nuveen Quality Municipal Income Fund
NAD
$2.78B
$11.5M 0.88%
910,791
+186,385
+26% +$2.36M
SABA
38
Saba Capital Income & Opportunities Fund II
SABA
$223M
$10.8M 0.83%
+676,488
New +$11M
BWG
39
BrandywineGLOBAL Global Income Opportunities Fund
BWG
$131M
$10.6M 0.81%
627,955
-3,551
-0.6% -$59.8K
GHY
40
PGIM Global High Yield Fund
GHY
$483M
$10.4M 0.8%
601,769
+567,862
+1,675% +$9.79M
JLS icon
41
Nuveen Mortgage and Income Fund
JLS
$94.7M
$10.2M 0.78%
440,801
+317,386
+257% +$7.54M
ERC
42
Allspring Multi-Sector Income Fund
ERC
$259M
$10M 0.77%
714,478
+344,865
+93% +$4.87M
HYT icon
43
BlackRock Corporate High Yield Fund
HYT
$1.37B
$9.94M 0.76%
+816,603
New +$9.72M
NIO
44
DELISTED
NUVEEN MUNICIPAL OPPORTUNITY FUND INC
NIO
$9.73M 0.75%
736,218
+546,136
+287% +$7.02M
FSD
45
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
$9.39M 0.72%
545,150
+394,278
+261% +$6.85M
NPP
46
DELISTED
NUVEEN PERFORMANCE+MUN FUND
NPP
$9.13M 0.7%
675,167
-99,627
-13% -$1.32M
NML
47
Neuberger Energy Infrastructure and Income Fund Inc
NML
$576M
$9.07M 0.7%
+474,896
New +$8.69M
EVV
48
Eaton Vance Limited Duration Income Fund
EVV
$1.07B
$9.06M 0.7%
+592,072
New +$8.92M
BTT icon
49
BlackRock Municipal 2030 Target Term Trust
BTT
$1.44B
$8.9M 0.68%
+520,049
New +$8.99M
NPI
50
DELISTED
NUVEEN PREMIUN INC MUN FUND
NPI
$8.87M 0.68%
719,638
+205,769
+40% +$2.54M
1
2
3 4 5

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Rivernorth Capital Management's Q4 2013 Portfolio in Review

As of Q4 2013, Rivernorth Capital Management held 261 positions worth $1.3B, up 37% from $950M the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Rivernorth Capital Management deployed $331M of net new capital in Q4 2013, opening 73 new positions and adding to 81 existing holdings. Its largest new stake was Nuveen Credit Strategies Income Fund: 1,845,135 shares worth $18M.

By sector, the portfolio is most concentrated in Financials at 4.3% of assets, up from 4% a quarter earlier, followed by Technology and Materials.

On the sell side, the largest reduction was iShares S&P 100 ETF, an estimated $10.4M trimmed.

  • Rivernorth Capital Management's largest Q4 2013 buy was Nuveen Credit Strategies Income Fund: 1,845,135 shares worth $18M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q4 2013, an estimated $23.8M increase.
  • Rivernorth Capital Management's biggest Q4 2013 reduction was iShares S&P 100 ETF, cutting an estimated $10.4M.
  • Rivernorth Capital Management fully exited Vanguard S&P 500 ETF in Q4 2013, selling an estimated $19.5M.
  • Rivernorth Capital Management's ten largest holdings make up 22% of its $1.3B portfolio in Q4 2013.
  • Rivernorth Capital Management opened 73 new positions and closed 44 in Q4 2013.
  • Rivernorth Capital Management's portfolio value rose 37% quarter-over-quarter to $1.3B.

Based on Rivernorth Capital Management's 13F filing for Q4 2013, filed 14 Feb 2014.