RCM

Rivernorth Capital Management Portfolio holdings

AUM $1.81B
This Quarter Return
-3.6%
1 Year Return
-0.33%
3 Year Return
+6.11%
5 Year Return
+5.61%
10 Year Return
+4.07%
AUM
$1.61B
AUM Growth
+$1.61B
Cap. Flow
+$173M
Cap. Flow %
10.73%
Top 10 Hldgs %
25.27%
Holding
192
New
20
Increased
82
Reduced
29
Closed
12

Top Buys

1
GLO
Clough Global Opportunities Fund
GLO
$32.8M
2
OCSL icon
Oaktree Specialty Lending
OCSL
$14.5M
3
SPY icon
SPDR S&P 500 ETF Trust
SPY
$9.73M
4
VTA
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
$8.75M
5
ISD
PGIM High Yield Bond Fund
ISD
$8.73M

Top Sells

1
DRA
Diversified Real Asset Income Fd
DRA
$4.88M
2
CFP
CORNERSTONE PROGRESSIVE RETURN FD COM
CFP
$4.34M
3
PFN
PIMCO Income Strategy Fund II
PFN
$3.87M
4
NIQ
NUVEEN INTERMEDIATE DURATION QUALITY MUNICIPAL TERM FUND
NIQ
$3.21M
5
NKX icon
Nuveen California AMT-Free Quality Municipal Income Fund
NKX
$3.13M

Sector Composition

1 Financials 3.99%
2 Real Estate 0.26%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
NMA
51
DELISTED
NUVEEN MUNI ADVANTAGE FUND
NMA
$11M 0.68% 848,942 – –
EMD
52
Western Asset Emerging Markets Debt Fund
EMD
$599M
$11M 0.68% 736,787 +151,342 +26% +$2.26M
JLS icon
53
Nuveen Mortgage and Income Fund
JLS
$103M
$10.8M 0.67% 474,956 – –
BOI
54
DELISTED
Brookfield Mtge Opportunity Fd
BOI
$10.7M 0.66% 674,714 +14,018 +2% +$222K
CTR
55
DELISTED
ClearBridge MLP and Midstream Total Return Fund Inc.
CTR
$10.7M 0.66% 583,499 +177,034 +44% +$3.24M
HYI
56
Western Asset High Yield Opportunity Fund Inc.
HYI
$271M
$10.2M 0.64% 664,577 +85,651 +15% +$1.32M
PXH icon
57
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.57B
$10M 0.62% 521,245 – –
ISD
58
PGIM High Yield Bond Fund
ISD
$486M
$9.68M 0.6% 625,454 +564,199 +921% +$8.73M
GHY
59
PGIM Global High Yield Fund
GHY
$546M
$9.67M 0.6% 640,193 +422,552 +194% +$6.38M
NMO
60
DELISTED
NUVEEN MUNI MARKET OPPORT FUND
NMO
$9.52M 0.59% 737,993 -2,600 -0.4% -$33.5K
ZTR
61
Virtus Total Return Fund
ZTR
$354M
$9.16M 0.57% 707,562 +11,103 +2% +$144K
EMD
62
DELISTED
Western Asset Emerging Markets
EMD
$9.15M 0.57% 852,900 – –
FTF
63
Franklin Limited Duration Income Trust
FTF
$259M
$8.98M 0.56% 770,741 +53,200 +7% +$620K
BWG
64
BrandywineGLOBAL Global Income Opportunities Fund
BWG
$145M
$8.95M 0.56% 629,013 – –
MVC
65
DELISTED
MVC Capital, Inc.
MVC
$8.87M 0.55% 869,834 +209,615 +32% +$2.14M
CEF icon
66
Sprott Physical Gold and Silver Trust
CEF
$6.27B
$8.6M 0.53% 737,465 – –
HIO
67
Western Asset High Income Opportunity Fund
HIO
$378M
$8.52M 0.53% 1,653,493 +503,966 +44% +$2.6M
CBA
68
DELISTED
ClearBridge American Energy MLP
CBA
$8.14M 0.5% 589,620 -184,874 -24% -$2.55M
NRO
69
Neuberger Berman Real Estate Securities Income Fund
NRO
$207M
$7.92M 0.49% 1,670,515 +657,668 +65% +$3.12M
NBB icon
70
Nuveen Taxable Municipal Income Fund
NBB
$469M
$7.45M 0.46% 384,828 +27,385 +8% +$530K
NSL
71
DELISTED
NUVEEN SENIOR INCM FD
NSL
$7.33M 0.46% 1,146,001 +326,907 +40% +$2.09M
SSSS icon
72
SuRo Capital
SSSS
$208M
$7.32M 0.45% 709,686 +263,347 +59% +$2.72M
DHG
73
DELISTED
Deutsche High Incm Opportunities
DHG
$7.29M 0.45% 499,065 – –
ARDC
74
Are Dynamic Credit Allocation Fund
ARDC
$351M
$7.26M 0.45% 473,696 +27,946 +6% +$428K
GDO
75
Western Asset Global Corporate Defined Opportunity Fund
GDO
$90.2M
$7.25M 0.45% 422,672 – –
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