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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
-3.21%
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
$1.51B
AUM Growth
+$257M
Cap. Flow
+$295M
Cap. Flow %
19.59%
Top 10 Hldgs %
21.45%
Holding
221
New
46
Increased
73
Reduced
39
Closed
21

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$26M
2
BDCL
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
+$22.4M
3
GER
Goldman Sachs MLP Energy Renaissance Fund
GER
+$19.1M
4
FAX
abrdn Asia-Pacific Income Fund
FAX
+$18.6M
5
CBA
ClearBridge American Energy MLP
CBA
+$18.3M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$22.2M
2
JGT
NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA)
JGT
+$14.9M
3
SVVC
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
+$7.88M
4
PFL
PIMCO Income Strategy Fund
PFL
+$4.88M
5
VEA icon
Vanguard FTSE Developed Markets ETF
VEA
+$4.88M

Sector Composition

Rank Sector Weight
1 Financials 5.47%
2 Technology 0.02%
3 Energy 0%
4 Communication Services 0%
5 Consumer Discretionary 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NMO
51
DELISTED
NUVEEN MUNI MARKET OPPORT FUND
NMO
$10.1M 0.67%
740,593
– –
ZTR
52
Virtus Total Return Fund
ZTR
$339M
$9.94M 0.66%
709,624
-5,550
-0.8% -$76.5K
NKX icon
53
Nuveen California AMT-Free Quality Municipal Income Fund
NKX
$657M
$9.68M 0.64%
656,667
– –
PFX icon
54
PhenixFIN
PFX
$90M
$9.67M 0.64%
+52,323
New +$11.4M
BGH
55
Barings Global Short Duration High Yield Fund
BGH
$287M
$9.53M 0.63%
+472,079
New +$10.4M
EMD
56
DELISTED
Western Asset Emerging Markets
EMD
$9.34M 0.62%
852,900
+116,405
+16% +$1.35M
EMD
57
Western Asset Emerging Markets Debt Fund
EMD
$616M
$9.22M 0.61%
585,114
+434,362
+288% +$7.21M
PSEC icon
58
Prospect Capital
PSEC
$1.17B
$9.06M 0.6%
1,097,491
+1,060,291
+2,850% +$9.78M
NAD icon
59
Nuveen Quality Municipal Income Fund
NAD
$2.78B
$8.81M 0.58%
614,925
-95,533
-13% -$1.35M
PXH icon
60
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.98B
$8.78M 0.58%
471,245
+3,600
+0.8% +$70.4K
CFP
61
DELISTED
CORNERSTONE PROGRESSIVE RETURN FD COM
CFP
$8.45M 0.56%
555,649
-12,407
-2% -$191K
TEI
62
Templeton Emerging Markets Income Fund
TEI
$321M
$8.38M 0.56%
738,659
+704,643
+2,072% +$8.68M
GMZ
63
DELISTED
Goldman Sachs MLP Income Opportunities Fund
GMZ
$8.35M 0.55%
+68,404
New +$9.31M
FTF
64
Franklin Limited Duration Income Trust
FTF
$233M
$8.22M 0.55%
674,665
+64,167
+11% +$787K
MCR
65
DELISTED
MFS Charter Income Trust
MCR
$8.03M 0.53%
873,547
-78,479
-8% -$691K
HYI
66
Western Asset High Yield Opportunity Fund Inc
HYI
$135M
$7.69M 0.51%
487,352
+131,453
+37% +$2.13M
IVH
67
DELISTED
Delaware Ivy High Income Opportunities Fund
IVH
$7.68M 0.51%
484,332
– –
CEF icon
68
Sprott Physical Gold and Silver Trust
CEF
$8.06B
$7.61M 0.51%
657,365
+85,662
+15% +$1.02M
NPT
69
DELISTED
NUVEEN PREM INSD MUNI FD-4 INC
NPT
$7.5M 0.5%
540,821
– –
GHY
70
PGIM Global High Yield Fund
GHY
$483M
$7.47M 0.5%
+469,142
New +$7.56M
GLQ
71
Clough Global Equity Fund
GLQ
$158M
$7.28M 0.48%
502,718
– –
GDO
72
Western Asset Global Corporate Defined Opportunity Fund
GDO
$77.4M
$7.28M 0.48%
409,172
+9,123
+2% +$163K
MMT
73
Aberdeen Multi-Market Income Fund
MMT
$243M
$7.23M 0.48%
1,112,216
+105,389
+10% +$666K
EDI
74
DELISTED
Virtus Stone Harbor Emerging Markets Total Income Fund
EDI
$7.19M 0.48%
471,574
+179,142
+61% +$3.05M
DHG
75
DELISTED
Deutsche High Incm Opportunities
DHG
$7M 0.46%
499,065
– –
1 2
3
4 5

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Rivernorth Capital Management's Q4 2014 Portfolio in Review

As of Q4 2014, Rivernorth Capital Management held 221 positions worth $1.51B, up 21% from $1.25B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Rivernorth Capital Management deployed $295M of net new capital in Q4 2014, opening 46 new positions and adding to 73 existing holdings. Its largest new stake was 2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev: 990,320 shares worth $21.2M.

By sector, the portfolio is most concentrated in Financials at 5.5% of assets, up from 4% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was State Street SPDR S&P 500 ETF Trust, an estimated $22.2M trimmed.

  • Rivernorth Capital Management's largest Q4 2014 buy was 2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev: 990,320 shares worth $21.2M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q4 2014, an estimated $26M increase.
  • Rivernorth Capital Management's biggest Q4 2014 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $22.2M.
  • Rivernorth Capital Management fully exited NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA) in Q4 2014, selling an estimated $14.9M.
  • Rivernorth Capital Management's ten largest holdings make up 21% of its $1.51B portfolio in Q4 2014.
  • Rivernorth Capital Management opened 46 new positions and closed 21 in Q4 2014.
  • Rivernorth Capital Management's portfolio value rose 21% quarter-over-quarter to $1.51B.

Based on Rivernorth Capital Management's 13F filing for Q4 2014, filed 17 Feb 2015.