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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
-6.48%
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
$1.93B
AUM Growth
-$73.9M
Cap. Flow
+$61.5M
Cap. Flow %
3.19%
Top 10 Hldgs %
31.01%
Holding
632
New
48
Increased
91
Reduced
80
Closed
87

Top Buys

Rank Stock Value
1
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$34.7M
2
MHD icon
BlackRock MuniHoldings Fund
MHD
+$19.3M
3
BLE
BlackRock Municipal Income Trust II
BLE
+$14M
4
NVG icon
Nuveen AMT-Free Municipal Credit Income Fund
NVG
+$13.2M
5
MUI
BlackRock Municipal Income Fund, Inc.
MUI
+$13M

Top Sells

Rank Stock Value
1
BBDC icon
Barings BDC
BBDC
+$26.1M
2
JPS
Nuveen Preferred & Income Securities Fund
JPS
+$16.6M
3
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$15.9M
4
PDO
PIMCO Dynamic Income Opportunities Fund
PDO
+$15.8M
5
ECAT icon
BlackRock ESG Capital Allocation Term Trust
ECAT
+$13.3M

Sector Composition

Rank Sector Weight
1 Financials 12.36%
2 Healthcare 1.47%
3 Technology 1.18%
4 Industrials 1.07%
5 Consumer Discretionary 0.3%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CEROW
501
DELISTED
CERo Therapeutics Warrants
CEROW
$1.75K ﹤0.01%
24,998
– –
ENERW
502
DELISTED
Accretion Acquisition Corp Warrant
ENERW
$1.75K ﹤0.01%
87,499
– –
MSAIW icon
503
MultiSensor AI Holdings Warrant
MSAIW
$751K
$1.69K ﹤0.01%
56,244
– –
SLACW
504
DELISTED
Social Leverage Acquisition Corp I Redeemable warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
SLACW
$1.68K ﹤0.01%
37,175
– –
TWLVW
505
DELISTED
Twelve Seas Investment Company II Warrant
TWLVW
$1.63K ﹤0.01%
40,737
– –
CMRAW
506
DELISTED
Comera Life Sciences Holdings, Inc. Warrant expiring 5/19/2027
CMRAW
$1.63K ﹤0.01%
74,999
– –
DFNSW
507
T3 Defense Inc Warrants
DFNSW
$627K
$1.6K ﹤0.01%
22,888
– –
COCHW icon
508
Envoy Medical Warrant
COCHW
$708K
$1.56K ﹤0.01%
17,549
– –
ICUCW
509
SeaStar Medical Holding Corp Warrant
ICUCW
$331K
$1.5K ﹤0.01%
150,000
– –
VSEEW
510
DELISTED
VSEE HEALTH INC WTS 29
VSEEW
$1.5K ﹤0.01%
75,000
– –
WINVW
511
DELISTED
WinVest Acquisition Corp. Warrant
WINVW
$1.5K ﹤0.01%
150,000
– –
KRNLW
512
DELISTED
Kernel Group Holdings, Inc. Warrants
KRNLW
$1.49K ﹤0.01%
25,000
– –
KACLW
513
DELISTED
Kairous Acquisition Corp. Limited Warrants
KACLW
$1.49K ﹤0.01%
74,318
– –
APGNW
514
DELISTED
Apexigen, Inc. WarrantApexigen, Inc. Warrant
APGNW
$1.49K ﹤0.01%
49,499
– –
ADOCW
515
DELISTED
Edoc Acquisition Corp. Warrant
ADOCW
$1.45K ﹤0.01%
50,000
– –
NRACW
516
DELISTED
Northern Revival Acquisition Corporation Warrant
NRACW
$1.45K ﹤0.01%
48,339
– –
BSLKW
517
DELISTED
Bolt Projects Holdings Warrant
BSLKW
$1.44K ﹤0.01%
39,633
– –
CXAC.WS
518
DELISTED
C5 Acquisition Corporation Public warrants, each whole public warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50 per share
CXAC.WS
$1.39K ﹤0.01%
37,499
– –
PRENW
519
Prenetics Global Ltd Warrant
PRENW
$113K
$1.31K ﹤0.01%
32,770
– –
ONYXW
520
DELISTED
Onyx Acquisition Co. I Warrant
ONYXW
$1.3K ﹤0.01%
32,500
– –
PPHPW
521
DELISTED
PHP Ventures Acquisition Corp. Warrants
PPHPW
$1.26K ﹤0.01%
31,532
– –
JUN.WS
522
DELISTED
Juniper II Corp. Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
JUN.WS
$1.26K ﹤0.01%
484,920
– –
AWINW
523
DELISTED
AERWINS Technologies Inc Warrant
AWINW
$1.11K ﹤0.01%
39,675
– –
BCSAW
524
DELISTED
Blockchain Coinvestors Acquisition Corp. I Warrant
BCSAW
$1K ﹤0.01%
24,999
– –
XFINW
525
DELISTED
ExcelFin Acquisition Corp Warrant
XFINW
$1K ﹤0.01%
24,999
– –
19 20
21
22 23

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Rivernorth Capital Management's Q3 2023 Portfolio in Review

As of Q3 2023, Rivernorth Capital Management held 632 positions worth $1.93B, down 3.7% from $2B the previous quarter. Its ten largest holdings account for 31% of the portfolio.

Rivernorth Capital Management deployed $61.5M of net new capital in Q3 2023, opening 48 new positions and adding to 91 existing holdings. Its largest new stake was Nuveen Preferred & Income Opportunities Fund: 1,684,591 shares worth $10.7M.

By sector, the portfolio is most concentrated in Financials at 12% of assets, down from 13% a quarter earlier, followed by Healthcare and Technology.

On the sell side, the largest reduction was Barings BDC, an estimated $26.1M trimmed.

  • Rivernorth Capital Management's largest Q3 2023 buy was Nuveen Preferred & Income Opportunities Fund: 1,684,591 shares worth $10.7M.
  • Rivernorth Capital Management added most to Nuveen AMT-Free Quality Municipal Income Fund in Q3 2023, an estimated $34.7M increase.
  • Rivernorth Capital Management's biggest Q3 2023 reduction was Barings BDC, cutting an estimated $26.1M.
  • Rivernorth Capital Management fully exited BlackRock Corporate High Yield Fund in Q3 2023, selling an estimated $9.1M.
  • Rivernorth Capital Management's ten largest holdings make up 31% of its $1.93B portfolio in Q3 2023.
  • Rivernorth Capital Management opened 48 new positions and closed 87 in Q3 2023.
  • Rivernorth Capital Management's portfolio value fell 3.7% quarter-over-quarter to $1.93B.

Based on Rivernorth Capital Management's 13F filing for Q3 2023, filed 14 Nov 2023.