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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
-3.42%
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
$1.25B
AUM Growth
+$4.13M
Cap. Flow
+$50.9M
Cap. Flow %
4.07%
Top 10 Hldgs %
25.52%
Holding
203
New
26
Increased
73
Reduced
52
Closed
28

Top Buys

Rank Stock Value
1
DRA
Diversified Real Asset Income Fd
DRA
+$11.1M
2
ACG
AllianceBernstein Income Fund Inc
ACG
+$10.1M
3
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$8.04M
4
NPT
NUVEEN PREM INSD MUNI FD-4 INC
NPT
+$6.87M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.62M

Top Sells

Rank Stock Value
1
NPI
NUVEEN PREMIUN INC MUN FUND
NPI
+$9.49M
2
NML
Neuberger Energy Infrastructure and Income Fund Inc
NML
+$8.89M
3
ETJ
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
+$6.56M
4
NMA
NUVEEN MUNI ADVANTAGE FUND
NMA
+$5.22M
5
BSP
AMERN STRATEGIC INCM PORTF II
BSP
+$4.4M

Sector Composition

Rank Sector Weight
1 Financials 3.96%
2 Technology 0.18%
3 Energy 0.05%
4 Consumer Discretionary 0.03%
5 Communication Services 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PPT
26
Franklin Premier Income Trust
PPT
$328M
$14.5M 1.16%
2,637,087
+111,824
+4% +$614K
BOE icon
27
BlackRock Enhanced Global Dividend Trust
BOE
$684M
$13.7M 1.09%
967,642
-162,290
-14% -$2.39M
CTF
28
DELISTED
Nuveen Long/Short Commodity Fd
CTF
$13.6M 1.09%
922,792
+131,751
+17% +$2.01M
GAM
29
General American Investors Company
GAM
$1.61B
$13.5M 1.08%
364,804
– –
VKQ icon
30
Invesco Municipal Trust
VKQ
$551M
$13.5M 1.08%
1,074,693
-7,000
-0.6% -$86.6K
XLG icon
31
Invesco S&P 500 Top 50 ETF
XLG
$11B
$13.1M 1.05%
947,010
– –
BTT icon
32
BlackRock Municipal 2030 Target Term Trust
BTT
$1.44B
$13M 1.04%
656,176
+186,716
+40% +$3.68M
PFN
33
PIMCO Income Strategy Fund II
PFN
$703M
$12.5M 1%
1,191,491
-115,855
-9% -$1.25M
NMA
34
DELISTED
NUVEEN MUNI ADVANTAGE FUND
NMA
$11.8M 0.95%
877,055
-383,515
-30% -$5.22M
DRA
35
DELISTED
Diversified Real Asset Income Fd
DRA
$11.1M 0.89%
+626,697
New +$11.1M
BOI
36
DELISTED
Brookfield Mtge Opportunity Fd
BOI
$11.1M 0.89%
651,920
+179,091
+38% +$3.08M
FSD
37
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
$10.8M 0.87%
634,172
+35,571
+6% +$624K
HYT icon
38
BlackRock Corporate High Yield Fund
HYT
$1.37B
$10.8M 0.87%
915,426
+28,300
+3% +$340K
BWG
39
BrandywineGLOBAL Global Income Opportunities Fund
BWG
$131M
$10.5M 0.84%
623,319
-8,209
-1% -$148K
BGB
40
Blackstone Strategic Credit 2027 Term Fund
BGB
$503M
$10.5M 0.84%
626,923
+133,860
+27% +$2.31M
JLS icon
41
Nuveen Mortgage and Income Fund
JLS
$94.7M
$10.5M 0.84%
442,094
-32,409
-7% -$783K
ZTR
42
Virtus Total Return Fund
ZTR
$339M
$9.9M 0.79%
715,174
+5,000
+0.7% +$70.9K
NAD icon
43
Nuveen Quality Municipal Income Fund
NAD
$2.78B
$9.83M 0.79%
710,458
-92,942
-12% -$1.29M
NMO
44
DELISTED
NUVEEN MUNI MARKET OPPORT FUND
NMO
$9.82M 0.79%
740,593
-9,800
-1% -$129K
ERC
45
Allspring Multi-Sector Income Fund
ERC
$259M
$9.8M 0.78%
701,723
-9,955
-1% -$145K
BTF
46
DELISTED
BOULDER TOTAL RETURN FD INC
BTF
$9.6M 0.77%
364,488
+1,200
+0.3% +$31.1K
PXH icon
47
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.96B
$9.46M 0.76%
467,645
+162,405
+53% +$3.58M
CFP
48
DELISTED
CORNERSTONE PROGRESSIVE RETURN FD COM
CFP
$9.34M 0.75%
568,056
+235,276
+71% +$4.27M
NKX icon
49
Nuveen California AMT-Free Quality Municipal Income Fund
NKX
$657M
$9.15M 0.73%
656,667
– –
EMD
50
DELISTED
Western Asset Emerging Markets
EMD
$8.86M 0.71%
736,495
+51,977
+8% +$658K
1
2
3 4 5

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Rivernorth Capital Management's Q3 2014 Portfolio in Review

As of Q3 2014, Rivernorth Capital Management held 203 positions worth $1.25B, up 0.33% from $1.25B the previous quarter. Its ten largest holdings account for 26% of the portfolio.

Rivernorth Capital Management deployed $50.9M of net new capital in Q3 2014, opening 26 new positions and adding to 73 existing holdings. Its largest new stake was Diversified Real Asset Income Fd: 626,697 shares worth $11.1M.

By sector, the portfolio is most concentrated in Financials at 4% of assets, up from 3.9% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was NUVEEN MUNI ADVANTAGE FUND, an estimated $5.22M trimmed.

  • Rivernorth Capital Management's largest Q3 2014 buy was Diversified Real Asset Income Fd: 626,697 shares worth $11.1M.
  • Rivernorth Capital Management added most to AllianceBernstein Income Fund Inc in Q3 2014, an estimated $10.1M increase.
  • Rivernorth Capital Management's biggest Q3 2014 reduction was NUVEEN MUNI ADVANTAGE FUND, cutting an estimated $5.22M.
  • Rivernorth Capital Management fully exited NUVEEN PREMIUN INC MUN FUND in Q3 2014, selling an estimated $9.49M.
  • Rivernorth Capital Management's ten largest holdings make up 26% of its $1.25B portfolio in Q3 2014.
  • Rivernorth Capital Management opened 26 new positions and closed 28 in Q3 2014.
  • Rivernorth Capital Management's portfolio value rose 0.33% quarter-over-quarter to $1.25B.

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