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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
-1.01%
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
$2.47B
AUM Growth
+$588M
Cap. Flow
+$500M
Cap. Flow %
20.19%
Top 10 Hldgs %
24.56%
Holding
830
New
261
Increased
95
Reduced
55
Closed
112

Top Buys

Rank Stock Value
1
BCAT icon
BlackRock Capital Allocation Term Trust
BCAT
+$80.9M
2
BTX
BlackRock Technology and Private Equity Term Trust
BTX
+$59.5M
3
ECAT icon
BlackRock ESG Capital Allocation Term Trust
ECAT
+$51.9M
4
PTA icon
Cohen & Steers Tax-Advantaged Preferred Securities & Income Fund
PTA
+$45.7M
5
PDI icon
PIMCO Dynamic Income Fund
PDI
+$45.3M

Top Sells

Rank Stock Value
1
PXH icon
Invesco FTSE RAFI Emerging Markets ETF
PXH
+$43.9M
2
VTA
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
+$32.4M
3
GPM
Guggenheim Enhanced Equity Income Fund
GPM
+$30.1M
4
WIW
Western Asset Inflation-Linked Opportunities & Income Fund
WIW
+$25.4M
5
BACA.U
Berenson Acquisition Corp. I Units, each consisting of one share of Class A common stock and one-half of one redeemable warrant
BACA.U
+$24.4M

Sector Composition

Rank Sector Weight
1 Financials 18.77%
2 Technology 1.7%
3 Healthcare 1.36%
4 Industrials 1.31%
5 Consumer Discretionary 0.86%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PKBOW
701
DELISTED
Peak Bio, Inc. Warrant
PKBOW
$8K ﹤0.01%
10,000
– –
SOC.WS
702
DELISTED
Sable Offshore Corp. Warrants, each whole warrant exercisable for one share of Common Stock at an exercise price of $11.50
SOC.WS
$7K ﹤0.01%
12,499
– –
LCW.WS
703
DELISTED
Learn CW Investment Corporation Redeemable warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50 per share
LCW.WS
$7K ﹤0.01%
+14,149
New +$7.67K
TWLVW
704
DELISTED
Twelve Seas Investment Company II Warrant
TWLVW
$7K ﹤0.01%
13,331
– –
AEON.WS
705
DELISTED
AEON Biopharma Inc
AEON.WS
$7K ﹤0.01%
13,332
– –
BRLIR
706
DELISTED
Brilliant Acquisition Corporation Rights
BRLIR
$7K ﹤0.01%
43,691
– –
MONDW
707
DELISTED
Mondee Holdings, Inc. Warrant
MONDW
$7K ﹤0.01%
12,500
– –
SPE.RT
708
DELISTED
Special Opportunities Fund, Inc. Rights (expiring January 21, 2022)
SPE.RT
$7K ﹤0.01%
+182,829
New +$35.1K
COVAW
709
DELISTED
COVA Acquisition Corp. Warrants to purchase Class A ordinary shares
COVAW
$6K ﹤0.01%
12,500
– –
EQHA.WS
710
DELISTED
EQ Health Acquisition Corp. Redeemable Warrants, each exercisable for one share of Common Stock at an exercise price of $11.50 per share
EQHA.WS
$6K ﹤0.01%
12,498
– –
HCCCW
711
DELISTED
Healthcare Capital Corp. Warrant
HCCCW
$6K ﹤0.01%
12,499
– –
CLAS.WS
712
DELISTED
Class Acceleration Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50
CLAS.WS
$6K ﹤0.01%
12,499
– –
DFNSW
713
T3 Defense Inc Warrants
DFNSW
$627K
$5K ﹤0.01%
23,887
– –
PHGE.WS
714
DELISTED
BiomX Inc. Warrants to purchase one-half of a share of Common Stock
PHGE.WS
$3K ﹤0.01%
24,613
-10,514
-30% -$2.85K
AIO
715
Virtus Artificial Intelligence & Technology Opportunities Fund
AIO
$906M
– –
-85,227
Closed -$2.26M
AUR icon
716
Aurora
AUR
$13.6B
– –
-35,400
Closed -$352K
BCSF icon
717
Bain Capital Specialty
BCSF
$833M
– –
-58,919
Closed -$874K
BZFD icon
718
BuzzFeed
BZFD
$93.3M
– –
-4,999
Closed -$198K
DIAX
719
DELISTED
Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX
– –
-30,764
Closed -$518K
IIM icon
720
Invesco Value Municipal Income Trust
IIM
$595M
– –
-40,956
Closed -$668K
JFR icon
721
Nuveen Floating Rate Income Fund
JFR
$1.26B
– –
-855,996
Closed -$8.62M
JLS icon
722
Nuveen Mortgage and Income Fund
JLS
$95M
– –
-85,271
Closed -$1.77M
MUB icon
723
iShares National Muni Bond ETF
MUB
$45.8B
– –
-120,451
Closed -$14M
MUE
724
DELISTED
BlackRock MuniHoldings Quality Fund II
MUE
– –
-43,699
Closed -$603K
NVTS icon
725
Navitas Semiconductor
NVTS
$3.55B
– –
-49,995
Closed -$499K
27 28
29
30 31

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Rivernorth Capital Management's Q4 2021 Portfolio in Review

As of Q4 2021, Rivernorth Capital Management held 830 positions worth $2.47B, up 31% from $1.89B the previous quarter. Its ten largest holdings account for 25% of the portfolio.

Rivernorth Capital Management deployed $500M of net new capital in Q4 2021, opening 261 new positions and adding to 95 existing holdings. Its largest new stake was PIMCO Dynamic Income Fund: 1,732,468 shares worth $44.9M.

By sector, the portfolio is most concentrated in Financials at 19% of assets, up from 13% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was Invesco FTSE RAFI Emerging Markets ETF, an estimated $43.9M trimmed.

  • Rivernorth Capital Management's largest Q4 2021 buy was PIMCO Dynamic Income Fund: 1,732,468 shares worth $44.9M.
  • Rivernorth Capital Management added most to BlackRock Capital Allocation Term Trust in Q4 2021, an estimated $80.9M increase.
  • Rivernorth Capital Management's biggest Q4 2021 reduction was Invesco FTSE RAFI Emerging Markets ETF, cutting an estimated $43.9M.
  • Rivernorth Capital Management fully exited INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND in Q4 2021, selling an estimated $32.4M.
  • Rivernorth Capital Management's ten largest holdings make up 25% of its $2.47B portfolio in Q4 2021.
  • Rivernorth Capital Management opened 261 new positions and closed 112 in Q4 2021.
  • Rivernorth Capital Management's portfolio value rose 31% quarter-over-quarter to $2.47B.

Based on Rivernorth Capital Management's 13F filing for Q4 2021, filed 14 Feb 2022.