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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
-0.32%
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
$950M
AUM Growth
+$52M
Cap. Flow
+$50.3M
Cap. Flow %
5.29%
Top 10 Hldgs %
28.58%
Holding
211
New
46
Increased
83
Reduced
39
Closed
23

Top Buys

Rank Stock Value
1
NPM
NUVEEN PREMIUM INCM MUNI FD II
NPM
+$7.94M
2
VOO icon
Vanguard S&P 500 ETF
VOO
+$7.42M
3
BIT icon
BlackRock Multi-Sector Income Trust
BIT
+$7.01M
4
NID
NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND
NID
+$6.81M
5
NPP
NUVEEN PERFORMANCE+MUN FUND
NPP
+$5.28M

Top Sells

Rank Stock Value
1
EXG icon
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
+$8.99M
2
ETW
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
ETW
+$7.23M
3
USA icon
Liberty All-Star Equity Fund
USA
+$5.6M
4
GHY
PGIM Global High Yield Fund
GHY
+$5.6M
5
DNP icon
DNP Select Income Fund
DNP
+$5.42M

Sector Composition

Rank Sector Weight
1 Financials 4.04%
2 Technology 0.05%
3 Energy 0.04%
4 Materials 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
STEW
51
SRH Total Return Fund
STEW
$1.81B
$5.66M 0.6%
742,362
+18,163
+3% +$139K
NBB icon
52
Nuveen Taxable Municipal Income Fund
NBB
$453M
$5.64M 0.59%
311,980
+57,074
+22% +$1.05M
CEE
53
Central and Eastern Europe Fund
CEE
$139M
$5.57M 0.59%
180,002
-15,329
-8% -$454K
VEA icon
54
Vanguard FTSE Developed Markets ETF
VEA
$237B
$5.42M 0.57%
136,978
-3,022
-2% -$115K
ERC
55
Allspring Multi-Sector Income Fund
ERC
$259M
$5.23M 0.55%
369,613
+90,233
+32% +$1.28M
DCA
56
DELISTED
Virtus Total Return Fund
DCA
$5.08M 0.53%
1,288,657
+212,291
+20% +$830K
JPC icon
57
Nuveen Preferred & Income Opportunities Fund
JPC
$2.9B
$5.07M 0.53%
583,932
+129,964
+29% +$1.17M
PKO
58
DELISTED
Pimco Income Opportunity Fund
PKO
$5.05M 0.53%
183,632
-7,711
-4% -$210K
PXH icon
59
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.98B
$5.03M 0.53%
247,540
+73,040
+42% +$1.44M
CWB icon
60
State Street SPDR Bloomberg Convertible Securities ETF
CWB
$5.61B
$5.02M 0.53%
111,000
– –
VGI
61
Virtus Global Multi-Sector Income Fund
VGI
$83.7M
$4.92M 0.52%
289,657
+52,182
+22% +$889K
MTS
62
DELISTED
MONTGOMERY STR INCOME SECS
MTS
$4.66M 0.49%
296,684
– –
TTF
63
DELISTED
Thai Fund
TTF
$4.55M 0.48%
228,770
-154,368
-40% -$3.21M
FUND
64
Sprott Focus Trust
FUND
$308M
$4.44M 0.47%
622,937
+6,816
+1% +$48.6K
CFP
65
DELISTED
CORNERSTONE PROGRESSIVE RETURN FD COM
CFP
$4.22M 0.44%
+205,617
New +$4.33M
VKQ icon
66
Invesco Municipal Trust
VKQ
$551M
$4.15M 0.44%
+354,632
New +$4.11M
BBN icon
67
BlackRock Taxable Municipal Bond Trust
BBN
$986M
$4.02M 0.42%
213,822
-278,924
-57% -$5.38M
PML
68
PIMCO Municipal Income Fund II
PML
$493M
$4.01M 0.42%
363,431
+65,926
+22% +$729K
LCM
69
DELISTED
Advent/Claymore Enhanced Gth & F
LCM
$3.98M 0.42%
406,996
+8,700
+2% +$86.2K
NBD
70
DELISTED
Nuveen Build Am Bond Opp Fd
NBD
$3.94M 0.41%
212,626
– –
HTR
71
DELISTED
Brookfield Total Return Fund Inc
HTR
$3.65M 0.38%
159,146
+29,375
+23% +$676K
BGY icon
72
BlackRock Enhanced International Dividend Trust
BGY
$529M
$3.61M 0.38%
469,405
+2,400
+0.5% +$18.3K
EMD
73
Western Asset Emerging Markets Debt Fund
EMD
$616M
$3.54M 0.37%
197,229
+60,233
+44% +$1.06M
BGH
74
Barings Global Short Duration High Yield Fund
BGH
$287M
$3.39M 0.36%
148,541
+15,195
+11% +$347K
BDJ icon
75
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.73B
$3.33M 0.35%
442,824
+7,719
+2% +$59.2K
1 2
3
4 5

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Rivernorth Capital Management's Q3 2013 Portfolio in Review

As of Q3 2013, Rivernorth Capital Management held 211 positions worth $950M, up 5.8% from $898M the previous quarter. Its ten largest holdings account for 29% of the portfolio.

Rivernorth Capital Management deployed $50.3M of net new capital in Q3 2013, opening 46 new positions and adding to 83 existing holdings. Its largest new stake was CORNERSTONE PROGRESSIVE RETURN FD COM: 205,617 shares worth $4.22M.

By sector, the portfolio is most concentrated in Financials at 4% of assets, down from 4.1% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund, an estimated $7.23M trimmed.

  • Rivernorth Capital Management's largest Q3 2013 buy was CORNERSTONE PROGRESSIVE RETURN FD COM: 205,617 shares worth $4.22M.
  • Rivernorth Capital Management added most to NUVEEN PREMIUM INCM MUNI FD II in Q3 2013, an estimated $7.94M increase.
  • Rivernorth Capital Management's biggest Q3 2013 reduction was Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund, cutting an estimated $7.23M.
  • Rivernorth Capital Management fully exited Eaton Vance Tax-Managed Global Diversified Equity Income Fund in Q3 2013, selling an estimated $8.99M.
  • Rivernorth Capital Management's ten largest holdings make up 29% of its $950M portfolio in Q3 2013.
  • Rivernorth Capital Management opened 46 new positions and closed 23 in Q3 2013.
  • Rivernorth Capital Management's portfolio value rose 5.8% quarter-over-quarter to $950M.

Based on Rivernorth Capital Management's 13F filing for Q3 2013, filed 14 Nov 2013.