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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
ARBGW
601
DELISTED
Aequi Acquisition Corp warrants
ARBGW
– –
-50,294
Closed -$1.26K
GENQW
602
DELISTED
Genesis Unicorn Capital Corp. Warrants
GENQW
– –
-215,000
Closed -$15.1K
CPUH.WS
603
DELISTED
Compute Health Acquisition Corp. Redeemable warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
CPUH.WS
– –
-43,849
Closed -$21.9K
UTAAW
604
DELISTED
UTA Acquisition Corporation Warrants
UTAAW
– –
-149,035
Closed -$10.4K
NSL
605
DELISTED
NUVEEN SENIOR INCM FD
NSL
– –
-305,422
Closed -$1.4M
HMA.WS
606
DELISTED
Heartland Media Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share
HMA.WS
– –
-100,000
Closed -$1.37K
HMA
607
DELISTED
Heartland Media Acquisition Corp.
HMA
– –
-200,000
Closed -$2.11M
GGAAW
608
DELISTED
Genesis Growth Tech Acquisition Corp. Warrant
GGAAW
$0 ﹤0.01%
99,999
– –
ENTFW
609
DELISTED
Enterprise 4.0 Technology Acquisition Corp. Warrant
ENTFW
– –
-24,999
Closed -$1.5K
SDACW
610
DELISTED
Sustainable Development Acquisition I Corp. Warrant
SDACW
– –
-108,526
Closed -$3.26K
SDAC
611
DELISTED
Sustainable Development Acquisition I Corp. Class A Common Stock
SDAC
– –
-62,852
Closed -$649K
ESHAU
612
DELISTED
ESH Acquisition Corp. Unit
ESHAU
– –
-150,000
Closed -$1.52M
FMIVW
613
DELISTED
Forum Merger IV Corporation Warrant
FMIVW
– –
-126,000
Closed -$63
BWACW
614
DELISTED
BETTER WORLD ACQUISITION CORP. Warrants
BWACW
– –
-162,690
Closed -$3.25K
CRECW
615
DELISTED
Crescera Capital Acquisition Corp Warrant
CRECW
$0 ﹤0.01%
37,499
– –
CORS.WS
616
DELISTED
Corsair Partnering Corporation Redeemable warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
CORS.WS
– –
-58,332
Closed -$472
CORS
617
DELISTED
Corsair Partnering Corporation
CORS
– –
-174,996
Closed -$1.81M
GSRMR
618
DELISTED
GSR II Meteora Acquisition Corp. Right
GSRMR
– –
-20,311
Closed -$63.8K
EOCW
619
DELISTED
Elliott Opportunity II Corp.
EOCW
– –
-241,792
Closed -$2.5M
GSQB.WS
620
DELISTED
G Squared Ascend II Inc. Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
GSQB.WS
– –
-33,331
Closed -$23
GSQB
621
DELISTED
G Squared Ascend II Inc.
GSQB
– –
-99,993
Closed –
WRAC.WS
622
DELISTED
Williams Rowland Acquisition Corp. Redeemable Warrants, each exercisable for one share of Common Stock at an exercise price of $11.50
WRAC.WS
– –
-50,000
Closed -$255
EOCW.WS
623
DELISTED
Elliott Opportunity II Corp. Redeemable warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
EOCW.WS
– –
-47,948
Closed –
AXAC.RT
624
DELISTED
AXIOS Sustainable Growth Acquisition Corporation Rights to receive one-tenth (1/10) of one Class A ordinary share
AXAC.RT
– –
-150,000
Closed –
AXAC.WS
625
DELISTED
AXIOS Sustainable Growth Acquisition Corporation Redeemable warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
AXAC.WS
– –
-150,000
Closed –
22 23 24
25
26

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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.