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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
+9.45%
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
$2.09B
AUM Growth
+$159M
Cap. Flow
-$8M
Cap. Flow %
-0.38%
Top 10 Hldgs %
31.09%
Holding
587
New
43
Increased
68
Reduced
80
Closed
98

Top Buys

Rank Stock Value
1
JPC icon
Nuveen Preferred & Income Opportunities Fund
JPC
+$50.4M
2
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$21.8M
3
MYD
BlackRock MuniYield Fund
MYD
+$19.7M
4
NUV icon
Nuveen Municipal Value Fund
NUV
+$13.2M
5
BSTZ icon
BlackRock Science and Technology Term Trust
BSTZ
+$12.5M

Top Sells

Rank Stock Value
1
JPS
Nuveen Preferred & Income Securities Fund
JPS
+$42M
2
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$28.5M
3
ECAT icon
BlackRock ESG Capital Allocation Term Trust
ECAT
+$23.2M
4
ZTR
Virtus Total Return Fund
ZTR
+$18M
5
NZF icon
Nuveen Municipal Credit Income Fund
NZF
+$17.3M

Sector Composition

Rank Sector Weight
1 Financials 10.43%
2 Technology 0.93%
3 Healthcare 0.8%
4 Industrials 0.53%
5 Consumer Discretionary 0.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LQD icon
501
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$32.6B
– –
-10,900
Closed -$1.11M
MEGI
502
MainStay CBRE Global Infrastructure Megatrends Term Fund
MEGI
$784M
– –
-121,191
Closed -$1.43M
MHI
503
DELISTED
Pioneer Municipal High Income Fund
MHI
– –
-640,254
Closed -$4.63M
MSAI icon
504
MultiSensor AI
MSAI
$10.8M
– –
-1,875
Closed -$801K
NBB icon
505
Nuveen Taxable Municipal Income Fund
NBB
$454M
– –
-69,141
Closed -$1M
OPTX icon
506
Syntec Optics
OPTX
$357M
– –
-106,982
Closed -$1.14M
PET
507
DELISTED
Wag!
PET
– –
-60,000
Closed -$115K
PMF
508
DELISTED
PIMCO Municipal Income Fund
PMF
– –
-210,262
Closed -$1.76M
TEI
509
Templeton Emerging Markets Income Fund
TEI
$323M
– –
-260,286
Closed -$1.2M
VCV icon
510
Invesco California Value Municipal Income Trust
VCV
$527M
– –
-22,266
Closed -$188K
WDI
511
Western Asset Diversified Income Fund
WDI
$685M
– –
-240,368
Closed -$3.18M
ZTR
512
Virtus Total Return Fund
ZTR
$338M
– –
-3,742,703
Closed -$18M
OKLO
513
Oklo
OKLO
$8.74B
– –
-137,000
Closed -$1.42M
DECA
514
DELISTED
Denali Capital Acquisition Corp. Class A Ordinary Shares
DECA
– –
-154,800
Closed -$1.69M
NKGN
515
DELISTED
NKGen Biotech, Inc. Common Stock
NKGN
– –
-580,432
Closed -$6.01M
QTI
516
QT Imaging Holdings
QTI
$39.8M
– –
-15,288
Closed -$165K
GLLIW
517
DELISTED
Globalink Investment Inc. Warrants
GLLIW
$0 ﹤0.01%
213,000
– –
HIE
518
DELISTED
Miller/Howard High Income Equity Fund
HIE
– –
-44,552
Closed -$442K
PHYT.WS
519
DELISTED
Pyrophyte Acquisition Corp. Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50 per share
PHYT.WS
– –
-12,499
Closed -$875
LCW
520
DELISTED
Learn CW Investment Corporation Class A Ordinary Shares
LCW
– –
-49,998
Closed -$532K
NNAGU
521
DELISTED
99 Acquisition Group Inc Unit
NNAGU
– –
-25,000
Closed -$259K
SLAM
522
DELISTED
Slam Corp. Class A Ordinary Share
SLAM
– –
-19,500
Closed -$210K
CAUD
523
DELISTED
Collective Audience, Inc.. Common Stock
CAUD
– –
-175,000
Closed -$1.92M
AONCW
524
DELISTED
American Oncology Network, Inc. Warrant
AONCW
– –
-36,491
Closed -$6.02K
PUCK
525
DELISTED
Goal Acquisitions Corp. Common Stock
PUCK
– –
-463,472
Closed -$4.87M
19 20
21
22 23

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Rivernorth Capital Management's Q4 2023 Portfolio in Review

As of Q4 2023, Rivernorth Capital Management held 587 positions worth $2.09B, up 8.3% from $1.93B the previous quarter. Its ten largest holdings account for 31% of the portfolio.

Rivernorth Capital Management's Q4 2023 filing shows 43 new, 68 increased, 80 reduced and 98 closed positions. Its largest new stake was BlackRock Science and Technology Term Trust: 770,783 shares worth $12.9M. The largest sale was Nuveen Preferred & Income Securities Fund, an estimated $42M.

By sector, the portfolio is most concentrated in Financials at 10% of assets, down from 12% a quarter earlier, followed by Technology and Healthcare.

  • Rivernorth Capital Management's largest Q4 2023 buy was BlackRock Science and Technology Term Trust: 770,783 shares worth $12.9M.
  • Rivernorth Capital Management added most to Nuveen Preferred & Income Opportunities Fund in Q4 2023, an estimated $50.4M increase.
  • Rivernorth Capital Management's biggest Q4 2023 reduction was Nuveen AMT-Free Quality Municipal Income Fund, cutting an estimated $28.5M.
  • Rivernorth Capital Management fully exited Nuveen Preferred & Income Securities Fund in Q4 2023, selling an estimated $42M.
  • Rivernorth Capital Management's ten largest holdings make up 31% of its $2.09B portfolio in Q4 2023.
  • Rivernorth Capital Management opened 43 new positions and closed 98 in Q4 2023.
  • Rivernorth Capital Management's portfolio value rose 8.3% quarter-over-quarter to $2.09B.

Based on Rivernorth Capital Management's 13F filing for Q4 2023, filed 14 Feb 2024.