RCM

Rivernorth Capital Management Portfolio holdings

AUM $1.81B
This Quarter Return
-3.2%
1 Year Return
-0.33%
3 Year Return
+6.11%
5 Year Return
+5.61%
10 Year Return
+4.07%
AUM
$1.51B
AUM Growth
+$1.51B
Cap. Flow
+$247M
Cap. Flow %
16.41%
Top 10 Hldgs %
21.45%
Holding
221
New
46
Increased
73
Reduced
38
Closed
20

Top Buys

1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
$24.7M
2
BDCL
2Leveraged Long Exchange Traded Access Securities (E-TRACS) Linked to the Wells Fargo Business Dev
BDCL
$21.2M
3
FAX
abrdn Asia-Pacific Income Fund
FAX
$18M
4
JGH icon
Nuveen Global High Income Fund
JGH
$17.3M
5
PCEF icon
Invesco CEF Income Composite ETF
PCEF
$17.1M

Top Sells

1
CFP
CORNERSTONE PROGRESSIVE RETURN FD COM
CFP
$26.1M
2
SPY icon
SPDR S&P 500 ETF Trust
SPY
$22.7M
3
JGT
NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA)
JGT
$14.9M
4
SVVC
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
$7.88M
5
PFL
PIMCO Income Strategy Fund
PFL
$4.88M

Sector Composition

1 Financials 3.94%
2 Technology 0.02%
3 Energy 0%
4 Communication Services 0%
5 Consumer Discretionary 0%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
NMO
51
DELISTED
NUVEEN MUNI MARKET OPPORT FUND
NMO
$10.1M 0.67%
740,593
– –
ZTR
52
Virtus Total Return Fund
ZTR
$347M
$9.94M 0.66%
709,624
-5,550
-0.8% -$77.8K
NKX icon
53
Nuveen California AMT-Free Quality Municipal Income Fund
NKX
$565M
$9.68M 0.64%
656,667
– –
PFX icon
54
PhenixFIN
PFX
$96.1M
$9.67M 0.64%
+1,046,460
New +$9.67M
BGH
55
Barings Global Short Duration High Yield Fund
BGH
$327M
$9.53M 0.63%
+472,079
New +$9.53M
EMD
56
DELISTED
Western Asset Emerging Markets
EMD
$9.34M 0.62%
852,900
+116,405
+16% +$1.27M
EMD
57
Western Asset Emerging Markets Debt Fund
EMD
$599M
$9.22M 0.61%
585,114
+434,362
+288% +$6.85M
PSEC icon
58
Prospect Capital
PSEC
$1.34B
$9.07M 0.6%
1,097,491
+1,060,291
+2,850% +$8.76M
NAD icon
59
Nuveen Quality Municipal Income Fund
NAD
$2.64B
$8.81M 0.58%
614,925
-95,533
-13% -$1.37M
PXH icon
60
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.57B
$8.78M 0.58%
471,245
+3,600
+0.8% +$67.1K
CFP
61
DELISTED
CORNERSTONE PROGRESSIVE RETURN FD COM
CFP
$8.45M 0.56%
555,649
-1,716,576
-76% -$26.1M
TEI
62
Templeton Emerging Markets Income Fund
TEI
$291M
$8.38M 0.56%
738,659
+704,643
+2,072% +$7.99M
GMZ
63
DELISTED
Goldman Sachs MLP Income Opportunities Fund
GMZ
$8.35M 0.55%
+478,827
New +$8.35M
FTF
64
Franklin Limited Duration Income Trust
FTF
$259M
$8.22M 0.55%
674,665
+64,167
+11% +$782K
MCR
65
MFS Charter Income Trust
MCR
$267M
$8.03M 0.53%
873,547
-78,479
-8% -$721K
HYI
66
Western Asset High Yield Opportunity Fund Inc.
HYI
$272M
$7.69M 0.51%
487,352
+131,453
+37% +$2.07M
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
$6.49B
$7.61M 0.51%
657,365
+85,662
+15% +$992K
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
$545M
$7.47M 0.5%
+469,142
New +$7.47M
GLQ
71
Clough Global Equity Fund
GLQ
$139M
$7.28M 0.48%
502,718
– –
GDO
72
Western Asset Global Corporate Defined Opportunity Fund
GDO
$89.4M
$7.28M 0.48%
409,172
+9,123
+2% +$162K
MMT
73
MFS Multimarket Income Trust
MMT
$261M
$7.23M 0.48%
1,112,216
+105,389
+10% +$685K
EDI
74
DELISTED
Virtus Stone Harbor Emerging Markets Total Income Fund
EDI
$7.19M 0.48%
471,574
+179,142
+61% +$2.73M
DHG
75
DELISTED
Deutsche High Incm Opportunities
DHG
$7M 0.46%
499,065
– –
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