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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
+3.71%
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
$1.44B
AUM Growth
-$91.6M
Cap. Flow
-$143M
Cap. Flow %
-9.9%
Top 10 Hldgs %
32.74%
Holding
179
New
28
Increased
39
Reduced
65
Closed
38

Top Buys

Rank Stock Value
1
EMD
Western Asset Emerging Markets Debt Fund
EMD
+$63.8M
2
HIO
Western Asset High Income Opportunity Fund
HIO
+$18.3M
3
RA
Brookfield Real Assets Income Fund
RA
+$16.3M
4
ARCC icon
Ares Capital
ARCC
+$13.6M
5
EHI
Western Asset Global High Income Fund
EHI
+$13.1M

Top Sells

Rank Stock Value
1
ACAS
American Capital Ltd
ACAS
+$43.3M
2
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$37.1M
3
EMD
Western Asset Emerging Markets
EMD
+$28.2M
4
CHY
Calamos Convertible and High Income Fund
CHY
+$17.8M
5
PPT
Franklin Premier Income Trust
PPT
+$12.9M

Sector Composition

Rank Sector Weight
1 Financials 4.03%
2 Technology 0.2%
3 Energy 0.14%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
WIW
26
Western Asset Inflation-Linked Opportunities & Income Fund
WIW
$513M
$17.4M 1.21%
1,555,387
+522,510
+51% +$5.83M
AVK
27
Advent Convertible and Income Fund
AVK
$563M
$16.3M 1.13%
1,071,372
-45,699
-4% -$693K
BIT icon
28
BlackRock Multi-Sector Income Trust
BIT
$702M
$16.3M 1.13%
938,926
-424,840
-31% -$7.29M
PRF icon
29
Invesco FTSE RAFI US 1000 ETF
PRF
$10B
$15.9M 1.11%
777,475
-75,865
-9% -$1.55M
PCI
30
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
$15M 1.04%
700,196
-1,783,128
-72% -$37.1M
TEI
31
Templeton Emerging Markets Income Fund
TEI
$321M
$14.7M 1.02%
1,306,601
-182,073
-12% -$2.07M
EDD
32
Morgan Stanley Emerging Markets Domestic Debt Fund
EDD
$385M
$14.4M 1%
1,898,351
+73,936
+4% +$560K
NFJ
33
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.43B
$13.9M 0.96%
1,078,407
+629,284
+140% +$8.19M
ARDC
34
Are Dynamic Credit Allocation Fund
ARDC
$298M
$13.8M 0.96%
862,851
+12,437
+1% +$195K
ARCC icon
35
Ares Capital
ARCC
$14.4B
$13.7M 0.95%
+786,362
New +$13.6M
BGB
36
Blackstone Strategic Credit 2027 Term Fund
BGB
$503M
$13.1M 0.91%
826,617
-347,077
-30% -$5.48M
HYI
37
Western Asset High Yield Opportunity Fund Inc
HYI
$135M
$12.9M 0.89%
839,688
+193,188
+30% +$2.95M
JLS icon
38
Nuveen Mortgage and Income Fund
JLS
$94.7M
$12.4M 0.86%
499,250
+16,806
+3% +$409K
JPC icon
39
Nuveen Preferred & Income Opportunities Fund
JPC
$2.9B
$12M 0.83%
1,219,386
+1,042,699
+590% +$10.3M
STEW
40
SRH Total Return Fund
STEW
$1.81B
$10.7M 0.74%
1,151,180
-327,351
-22% -$3.02M
IGR
41
CBRE Global Real Estate Income Fund
IGR
$713M
$10.7M 0.74%
1,427,335
-315,629
-18% -$2.35M
NVG icon
42
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.7B
$10.7M 0.74%
728,823
-395,847
-35% -$5.74M
GAM
43
General American Investors Company
GAM
$1.61B
$10.3M 0.71%
307,487
-34,510
-10% -$1.13M
FUND
44
Sprott Focus Trust
FUND
$308M
$9.93M 0.69%
1,336,120
+75,551
+6% +$554K
CEF icon
45
Sprott Physical Gold and Silver Trust
CEF
$8.06B
$9.48M 0.66%
737,465
– –
PXH icon
46
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.96B
$9.43M 0.65%
475,245
-46,000
-9% -$906K
NXDT
47
NexPoint Diversified Real Estate Trust
NXDT
$238M
$9.36M 0.65%
408,598
-3,753
-0.9% -$87.1K
FSD
48
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
$9.25M 0.64%
555,365
-642,578
-54% -$10.7M
JGH icon
49
Nuveen Global High Income Fund
JGH
$356M
$9.23M 0.64%
560,578
+8,519
+2% +$140K
AOD
50
abrdn Total Dynamic Dividend Fund
AOD
$1.12B
$9.09M 0.63%
1,100,111
-698,921
-39% -$5.64M
1
2
3 4 5

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Rivernorth Capital Management's Q1 2017 Portfolio in Review

As of Q1 2017, Rivernorth Capital Management held 179 positions worth $1.44B, down 6% from $1.53B the previous quarter. Its ten largest holdings account for 33% of the portfolio.

Rivernorth Capital Management withdrew a net $143M in Q1 2017, closing 38 positions and reducing 65 holdings. Its most notable exit was American Capital Ltd, an estimated $43.3M position sold in full.

By sector, the portfolio is most concentrated in Financials at 4% of assets, down from 5% a quarter earlier, followed by Technology and Energy.

Against the trend, Rivernorth Capital Management opened a new position in Western Asset Emerging Markets Debt Fund worth $64.7M.

  • Rivernorth Capital Management's largest Q1 2017 buy was Western Asset Emerging Markets Debt Fund: 4,171,753 shares worth $64.7M.
  • Rivernorth Capital Management added most to Western Asset High Income Opportunity Fund in Q1 2017, an estimated $18.3M increase.
  • Rivernorth Capital Management's biggest Q1 2017 reduction was PIMCO Dynamic Credit and Mortgage Income Fund, cutting an estimated $37.1M.
  • Rivernorth Capital Management fully exited American Capital Ltd in Q1 2017, selling an estimated $43.3M.
  • Rivernorth Capital Management's ten largest holdings make up 33% of its $1.44B portfolio in Q1 2017.
  • Rivernorth Capital Management opened 28 new positions and closed 38 in Q1 2017.
  • Rivernorth Capital Management's portfolio value fell 6% quarter-over-quarter to $1.44B.

Based on Rivernorth Capital Management's 13F filing for Q1 2017, filed 15 May 2017.