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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
-1.67%
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
$1.53B
AUM Growth
+$156M
Cap. Flow
+$159M
Cap. Flow %
10.35%
Top 10 Hldgs %
27.12%
Holding
179
New
40
Increased
50
Reduced
52
Closed
28

Top Buys

Rank Stock Value
1
RA
Brookfield Real Assets Income Fund
RA
+$42.3M
2
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$41.1M
3
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$26.7M
4
CHY
Calamos Convertible and High Income Fund
CHY
+$18.6M
5
NVG icon
Nuveen AMT-Free Municipal Credit Income Fund
NVG
+$16.5M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$23.9M
2
ACAS
American Capital Ltd
ACAS
+$18.6M
3
STEW
SRH Total Return Fund
STEW
+$14.6M
4
BOI
Brookfield Mtge Opportunity Fd
BOI
+$13.4M
5
VEA icon
Vanguard FTSE Developed Markets ETF
VEA
+$9.8M

Sector Composition

Rank Sector Weight
1 Financials 5.05%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ADX icon
26
Adams Diversified Equity Fund
ADX
$3.2B
$18.5M 1.21%
1,454,715
-285,126
-16% -$3.66M
TY icon
27
TRI-Continental Corp
TY
$1.9B
$18.1M 1.18%
822,013
-262,524
-24% -$5.63M
BGB
28
Blackstone Strategic Credit 2027 Term Fund
BGB
$503M
$18M 1.17%
1,173,694
-200,835
-15% -$2.99M
PRF icon
29
Invesco FTSE RAFI US 1000 ETF
PRF
$10B
$17M 1.11%
853,340
-350,000
-29% -$6.72M
BOE icon
30
BlackRock Enhanced Global Dividend Trust
BOE
$684M
$16.7M 1.09%
1,447,019
+520,241
+56% +$6.06M
NVG icon
31
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.7B
$16.3M 1.06%
+1,124,670
New +$16.5M
TEI
32
Templeton Emerging Markets Income Fund
TEI
$321M
$16.2M 1.06%
1,488,674
+244,160
+20% +$2.62M
AVK
33
Advent Convertible and Income Fund
AVK
$563M
$16M 1.04%
1,117,071
-4,142
-0.4% -$57.5K
PPT
34
Franklin Premier Income Trust
PPT
$328M
$15.8M 1.03%
3,181,983
+1,327,764
+72% +$6.44M
VWO icon
35
Vanguard FTSE Emerging Markets ETF
VWO
$124B
$15.6M 1.02%
435,475
-254,900
-37% -$9.34M
FTF
36
Franklin Limited Duration Income Trust
FTF
$233M
$14.1M 0.92%
1,172,474
+51,181
+5% +$613K
AOD
37
abrdn Total Dynamic Dividend Fund
AOD
$1.12B
$13.6M 0.89%
1,799,032
-487,765
-21% -$3.63M
STEW
38
SRH Total Return Fund
STEW
$1.81B
$13.2M 0.86%
1,478,531
-1,703,284
-54% -$14.6M
EDD
39
Morgan Stanley Emerging Markets Domestic Debt Fund
EDD
$385M
$13.1M 0.85%
1,824,415
+125,184
+7% +$939K
ARDC
40
Are Dynamic Credit Allocation Fund
ARDC
$298M
$12.8M 0.84%
850,414
-189,483
-18% -$2.79M
IGR
41
CBRE Global Real Estate Income Fund
IGR
$713M
$12.7M 0.83%
1,742,964
+1,217,847
+232% +$9.13M
MMT
42
Aberdeen Multi-Market Income Fund
MMT
$243M
$12.2M 0.79%
2,008,591
+270,142
+16% +$1.6M
JLS icon
43
Nuveen Mortgage and Income Fund
JLS
$94.7M
$11.6M 0.76%
482,444
-726
-0.2% -$17.4K
WIW
44
Western Asset Inflation-Linked Opportunities & Income Fund
WIW
$513M
$11.5M 0.75%
1,032,877
+450,720
+77% +$4.98M
NRO
45
Neuberger Real Estate Securities Income Fund Inc
NRO
$190M
$11.4M 0.75%
2,232,871
+9,356
+0.4% +$47.3K
CHI
46
Calamos Convertible Opportunities and Income Fund
CHI
$1.05B
$11M 0.72%
1,094,258
+996,374
+1,018% +$9.91M
AGC
47
DELISTED
Advent Claymore Conv Sec & Incme
AGC
$10.8M 0.7%
1,835,716
-82,100
-4% -$459K
GAM
48
General American Investors Company
GAM
$1.61B
$10.7M 0.7%
341,997
-36,649
-10% -$1.15M
ZF
49
DELISTED
Virtus Total Return Fund Inc.
ZF
$9.91M 0.65%
819,695
+18,753
+2% +$221K
HYI
50
Western Asset High Yield Opportunity Fund Inc
HYI
$135M
$9.72M 0.63%
646,500
+10,878
+2% +$162K
1
2
3 4 5

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Rivernorth Capital Management's Q4 2016 Portfolio in Review

As of Q4 2016, Rivernorth Capital Management held 179 positions worth $1.53B, up 11% from $1.38B the previous quarter. Its ten largest holdings account for 27% of the portfolio.

Rivernorth Capital Management deployed $159M of net new capital in Q4 2016, opening 40 new positions and adding to 50 existing holdings. Its largest new stake was Brookfield Real Assets Income Fund: 1,930,681 shares worth $43.1M.

By sector, the portfolio is most concentrated in Financials at 5% of assets, up from 3.5% a quarter earlier.

On the sell side, the largest reduction was American Capital Ltd, an estimated $18.6M trimmed.

  • Rivernorth Capital Management's largest Q4 2016 buy was Brookfield Real Assets Income Fund: 1,930,681 shares worth $43.1M.
  • Rivernorth Capital Management added most to Nuveen AMT-Free Quality Municipal Income Fund in Q4 2016, an estimated $41.1M increase.
  • Rivernorth Capital Management's biggest Q4 2016 reduction was American Capital Ltd, cutting an estimated $18.6M.
  • Rivernorth Capital Management fully exited State Street SPDR S&P 500 ETF Trust in Q4 2016, selling an estimated $23.9M.
  • Rivernorth Capital Management's ten largest holdings make up 27% of its $1.53B portfolio in Q4 2016.
  • Rivernorth Capital Management opened 40 new positions and closed 28 in Q4 2016.
  • Rivernorth Capital Management's portfolio value rose 11% quarter-over-quarter to $1.53B.

Based on Rivernorth Capital Management's 13F filing for Q4 2016, filed 14 Feb 2017.