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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
-3.21%
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
$1.51B
AUM Growth
+$257M
Cap. Flow
+$295M
Cap. Flow %
19.59%
Top 10 Hldgs %
21.45%
Holding
221
New
46
Increased
73
Reduced
39
Closed
21

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$26M
2
BDCL
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
+$22.4M
3
GER
Goldman Sachs MLP Energy Renaissance Fund
GER
+$19.1M
4
FAX
abrdn Asia-Pacific Income Fund
FAX
+$18.6M
5
CBA
ClearBridge American Energy MLP
CBA
+$18.3M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$22.2M
2
JGT
NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA)
JGT
+$14.9M
3
SVVC
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
+$7.88M
4
PFL
PIMCO Income Strategy Fund
PFL
+$4.88M
5
VEA icon
Vanguard FTSE Developed Markets ETF
VEA
+$4.88M

Sector Composition

Rank Sector Weight
1 Financials 5.47%
2 Technology 0.02%
3 Energy 0%
4 Communication Services 0%
5 Consumer Discretionary 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BGB
26
Blackstone Strategic Credit 2027 Term Fund
BGB
$503M
$18M 1.19%
1,090,234
+463,311
+74% +$7.56M
NID
27
DELISTED
NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND
NID
$17.4M 1.16%
1,392,832
+43,500
+3% +$544K
JGH icon
28
Nuveen Global High Income Fund
JGH
$356M
$17.3M 1.15%
+1,004,032
New +$17.8M
PCEF icon
29
Invesco CEF Income Composite ETF
PCEF
$814M
$17.1M 1.13%
+724,467
New +$17.4M
CBA
30
DELISTED
ClearBridge American Energy MLP
CBA
$17M 1.13%
+1,065,848
New +$18.3M
NIE
31
Virtus Equity & Convertible Income Fund
NIE
$732M
$16.9M 1.12%
815,265
-15,649
-2% -$319K
AOD
32
abrdn Total Dynamic Dividend Fund
AOD
$1.12B
$16.1M 1.07%
1,901,803
-11,300
-0.6% -$96.5K
HYT icon
33
BlackRock Corporate High Yield Fund
HYT
$1.37B
$15.8M 1.05%
1,390,004
+474,578
+52% +$5.49M
GER
34
DELISTED
Goldman Sachs MLP Energy Renaissance Fund
GER
$15.5M 1.03%
+121,518
New +$19.1M
BOE icon
35
BlackRock Enhanced Global Dividend Trust
BOE
$684M
$15.2M 1.01%
1,160,756
+193,114
+20% +$2.65M
BTT icon
36
BlackRock Municipal 2030 Target Term Trust
BTT
$1.44B
$15.2M 1.01%
755,308
+99,132
+15% +$1.99M
XLG icon
37
Invesco S&P 500 Top 50 ETF
XLG
$11B
$13.4M 0.89%
947,010
– –
VKQ icon
38
Invesco Municipal Trust
VKQ
$551M
$13.3M 0.88%
1,050,593
-24,100
-2% -$304K
GAM
39
General American Investors Company
GAM
$1.61B
$13M 0.86%
370,734
+5,930
+2% +$212K
PPT
40
Franklin Premier Income Trust
PPT
$328M
$12.9M 0.86%
2,461,007
-176,080
-7% -$946K
NMA
41
DELISTED
NUVEEN MUNI ADVANTAGE FUND
NMA
$12M 0.8%
877,055
– –
FSD
42
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
$11.6M 0.77%
726,902
+92,730
+15% +$1.54M
EVV
43
Eaton Vance Limited Duration Income Fund
EVV
$1.07B
$11.3M 0.75%
797,570
+535,422
+204% +$7.66M
DRA
44
DELISTED
Diversified Real Asset Income Fd
DRA
$11.1M 0.73%
638,439
+11,742
+2% +$206K
PFN
45
PIMCO Income Strategy Fund II
PFN
$703M
$11M 0.73%
1,121,631
-69,860
-6% -$731K
JLS icon
46
Nuveen Mortgage and Income Fund
JLS
$94.7M
$11M 0.73%
474,956
+32,862
+7% +$767K
ERC
47
Allspring Multi-Sector Income Fund
ERC
$259M
$10.5M 0.7%
772,403
+70,680
+10% +$979K
BWG
48
BrandywineGLOBAL Global Income Opportunities Fund
BWG
$131M
$10.5M 0.7%
629,013
+5,694
+0.9% +$96.8K
BOI
49
DELISTED
Brookfield Mtge Opportunity Fd
BOI
$10.5M 0.69%
635,946
-15,974
-2% -$268K
BTF
50
DELISTED
BOULDER TOTAL RETURN FD INC
BTF
$10.1M 0.67%
364,488
– –
1
2
3 4 5

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Rivernorth Capital Management's Q4 2014 Portfolio in Review

As of Q4 2014, Rivernorth Capital Management held 221 positions worth $1.51B, up 21% from $1.25B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Rivernorth Capital Management deployed $295M of net new capital in Q4 2014, opening 46 new positions and adding to 73 existing holdings. Its largest new stake was 2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev: 990,320 shares worth $21.2M.

By sector, the portfolio is most concentrated in Financials at 5.5% of assets, up from 4% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was State Street SPDR S&P 500 ETF Trust, an estimated $22.2M trimmed.

  • Rivernorth Capital Management's largest Q4 2014 buy was 2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev: 990,320 shares worth $21.2M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q4 2014, an estimated $26M increase.
  • Rivernorth Capital Management's biggest Q4 2014 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $22.2M.
  • Rivernorth Capital Management fully exited NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA) in Q4 2014, selling an estimated $14.9M.
  • Rivernorth Capital Management's ten largest holdings make up 21% of its $1.51B portfolio in Q4 2014.
  • Rivernorth Capital Management opened 46 new positions and closed 21 in Q4 2014.
  • Rivernorth Capital Management's portfolio value rose 21% quarter-over-quarter to $1.51B.

Based on Rivernorth Capital Management's 13F filing for Q4 2014, filed 17 Feb 2015.