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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
-3.42%
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
$1.25B
AUM Growth
+$4.13M
Cap. Flow
+$50.9M
Cap. Flow %
4.07%
Top 10 Hldgs %
25.52%
Holding
203
New
26
Increased
73
Reduced
52
Closed
28

Top Buys

Rank Stock Value
1
DRA
Diversified Real Asset Income Fd
DRA
+$11.1M
2
ACG
AllianceBernstein Income Fund Inc
ACG
+$10.1M
3
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$8.04M
4
NPT
NUVEEN PREM INSD MUNI FD-4 INC
NPT
+$6.87M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.62M

Top Sells

Rank Stock Value
1
NPI
NUVEEN PREMIUN INC MUN FUND
NPI
+$9.49M
2
NML
Neuberger Energy Infrastructure and Income Fund Inc
NML
+$8.89M
3
ETJ
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
+$6.56M
4
NMA
NUVEEN MUNI ADVANTAGE FUND
NMA
+$5.22M
5
BSP
AMERN STRATEGIC INCM PORTF II
BSP
+$4.4M

Sector Composition

Rank Sector Weight
1 Financials 3.96%
2 Technology 0.18%
3 Energy 0.05%
4 Consumer Discretionary 0.03%
5 Communication Services 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MCR
51
DELISTED
MFS Charter Income Trust
MCR
$8.44M 0.68%
952,026
+20,100
+2% +$182K
IVH
52
DELISTED
Delaware Ivy High Income Opportunities Fund
IVH
$8.37M 0.67%
484,332
+17,866
+4% +$319K
SVVC
53
DELISTED
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
$7.88M 0.63%
328,097
+73,601
+29% +$1.64M
FTF
54
Franklin Limited Duration Income Trust
FTF
$233M
$7.56M 0.61%
610,498
+81,821
+15% +$1.04M
ACAS
55
DELISTED
American Capital Ltd
ACAS
$7.53M 0.6%
531,855
+140,471
+36% +$2.14M
NIO
56
DELISTED
NUVEEN MUNICIPAL OPPORTUNITY FUND INC
NIO
$7.37M 0.59%
517,104
-47,206
-8% -$664K
DHG
57
DELISTED
Deutsche High Incm Opportunities
DHG
$7.31M 0.58%
499,065
– –
GDO
58
Western Asset Global Corporate Defined Opportunity Fund
GDO
$77.4M
$7.28M 0.58%
400,049
-25,427
-6% -$469K
NPT
59
DELISTED
NUVEEN PREM INSD MUNI FD-4 INC
NPT
$7.25M 0.58%
+540,821
New +$6.87M
GLQ
60
Clough Global Equity Fund
GLQ
$158M
$7.2M 0.58%
502,718
– –
CEF icon
61
Sprott Physical Gold and Silver Trust
CEF
$8.06B
$7.04M 0.56%
571,703
– –
TYG
62
Tortoise Energy Infrastructure Corp
TYG
$1.08B
$6.92M 0.55%
35,992
+27,922
+346% +$5.34M
FAX
63
abrdn Asia-Pacific Income Fund
FAX
$600M
$6.91M 0.55%
195,195
+23,574
+14% +$865K
STEW
64
SRH Total Return Fund
STEW
$1.81B
$6.75M 0.54%
763,862
– –
NBB icon
65
Nuveen Taxable Municipal Income Fund
NBB
$453M
$6.57M 0.53%
322,279
+9,800
+3% +$200K
JPC icon
66
Nuveen Preferred & Income Opportunities Fund
JPC
$2.9B
$6.55M 0.52%
712,445
+3,800
+0.5% +$35.8K
AIF
67
DELISTED
Apollo Tactical Income Fund Inc.
AIF
$6.54M 0.52%
377,940
+51,340
+16% +$915K
MMT
68
Aberdeen Multi-Market Income Fund
MMT
$243M
$6.46M 0.52%
1,006,827
+171,423
+21% +$1.11M
WIW
69
Western Asset Inflation-Linked Opportunities & Income Fund
WIW
$513M
$6.26M 0.5%
540,457
– –
HYI
70
Western Asset High Yield Opportunity Fund Inc
HYI
$135M
$5.91M 0.47%
355,899
+120,579
+51% +$2.08M
GDX icon
71
VanEck Gold Miners ETF
GDX
$27.4B
$5.79M 0.46%
271,028
-2,709
-1% -$69.3K
BGX
72
Blackstone Long-Short Credit Income Fund
BGX
$138M
$5.64M 0.45%
338,034
-41,300
-11% -$711K
NVG icon
73
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.7B
$5.62M 0.45%
398,114
+15,300
+4% +$219K
VGI
74
Virtus Global Multi-Sector Income Fund
VGI
$83.7M
$5.49M 0.44%
321,675
+817
+0.3% +$14.3K
EDI
75
DELISTED
Virtus Stone Harbor Emerging Markets Total Income Fund
EDI
$5.39M 0.43%
292,432
+31,464
+12% +$610K
1 2
3
4 5

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Rivernorth Capital Management's Q3 2014 Portfolio in Review

As of Q3 2014, Rivernorth Capital Management held 203 positions worth $1.25B, up 0.33% from $1.25B the previous quarter. Its ten largest holdings account for 26% of the portfolio.

Rivernorth Capital Management deployed $50.9M of net new capital in Q3 2014, opening 26 new positions and adding to 73 existing holdings. Its largest new stake was Diversified Real Asset Income Fd: 626,697 shares worth $11.1M.

By sector, the portfolio is most concentrated in Financials at 4% of assets, up from 3.9% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was NUVEEN MUNI ADVANTAGE FUND, an estimated $5.22M trimmed.

  • Rivernorth Capital Management's largest Q3 2014 buy was Diversified Real Asset Income Fd: 626,697 shares worth $11.1M.
  • Rivernorth Capital Management added most to AllianceBernstein Income Fund Inc in Q3 2014, an estimated $10.1M increase.
  • Rivernorth Capital Management's biggest Q3 2014 reduction was NUVEEN MUNI ADVANTAGE FUND, cutting an estimated $5.22M.
  • Rivernorth Capital Management fully exited NUVEEN PREMIUN INC MUN FUND in Q3 2014, selling an estimated $9.49M.
  • Rivernorth Capital Management's ten largest holdings make up 26% of its $1.25B portfolio in Q3 2014.
  • Rivernorth Capital Management opened 26 new positions and closed 28 in Q3 2014.
  • Rivernorth Capital Management's portfolio value rose 0.33% quarter-over-quarter to $1.25B.

Based on Rivernorth Capital Management's 13F filing for Q3 2014, filed 14 Nov 2014.