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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
-8.89%
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
$1.63B
AUM Growth
+$14.2M
Cap. Flow
+$169M
Cap. Flow %
10.42%
Top 10 Hldgs %
26.02%
Holding
212
New
32
Increased
101
Reduced
30
Closed
14

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$32.2M
2
FAX
abrdn Asia-Pacific Income Fund
FAX
+$13.8M
3
ACAS
American Capital Ltd
ACAS
+$10.5M
4
OCSL icon
Oaktree Specialty Lending
OCSL
+$9.41M
5
GHY
PGIM Global High Yield Fund
GHY
+$7.85M

Top Sells

Rank Stock Value
1
PPT
Franklin Premier Income Trust
PPT
+$14.3M
2
OEF icon
iShares S&P 100 ETF
OEF
+$14M
3
BTT icon
BlackRock Municipal 2030 Target Term Trust
BTT
+$9.34M
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$7.07M
5
CTF
Nuveen Long/Short Commodity Fd
CTF
+$7.06M

Sector Composition

Rank Sector Weight
1 Financials 7.4%
2 Real Estate 0.16%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JLS icon
51
Nuveen Mortgage and Income Fund
JLS
$94.7M
$10.6M 0.65%
475,056
+100
+0% +$2.25K
JGH icon
52
Nuveen Global High Income Fund
JGH
$356M
$10.3M 0.63%
715,152
+3,184
+0.4% +$49.8K
BOI
53
DELISTED
Brookfield Mtge Opportunity Fd
BOI
$10M 0.62%
679,714
+5,000
+0.7% +$75.7K
MVC
54
DELISTED
MVC Capital, Inc.
MVC
$9.98M 0.61%
1,215,757
+345,923
+40% +$3.29M
NMO
55
DELISTED
NUVEEN MUNI MARKET OPPORT FUND
NMO
$9.67M 0.59%
737,993
– –
HYI
56
Western Asset High Yield Opportunity Fund Inc
HYI
$135M
$9.56M 0.59%
682,577
+18,000
+3% +$264K
ARDC
57
Are Dynamic Credit Allocation Fund
ARDC
$298M
$8.96M 0.55%
641,652
+167,956
+35% +$2.49M
NSLR
58
Neostellar Capital Corp
NSLR
$254M
$8.51M 0.52%
1,670,171
+577,186
+53% +$3.5M
EMD
59
DELISTED
Western Asset Emerging Markets
EMD
$8.46M 0.52%
885,447
+32,547
+4% +$331K
FTF
60
Franklin Limited Duration Income Trust
FTF
$233M
$8.44M 0.52%
774,336
+3,595
+0.5% +$41K
BGH
61
Barings Global Short Duration High Yield Fund
BGH
$287M
$8.18M 0.5%
471,951
+247,775
+111% +$4.62M
JFR icon
62
Nuveen Floating Rate Income Fund
JFR
$1.25B
$8.15M 0.5%
811,029
+452,828
+126% +$4.74M
ZTR
63
Virtus Total Return Fund
ZTR
$339M
$8.08M 0.5%
707,562
– –
CTF
64
DELISTED
Nuveen Long/Short Commodity Fd
CTF
$7.97M 0.49%
498,016
-433,220
-47% -$7.06M
OEF icon
65
iShares S&P 100 ETF
OEF
$20.5B
$7.93M 0.49%
93,567
-156,433
-63% -$14M
CEF icon
66
Sprott Physical Gold and Silver Trust
CEF
$8.06B
$7.81M 0.48%
737,465
– –
NRO
67
Neuberger Real Estate Securities Income Fund Inc
NRO
$190M
$7.7M 0.47%
1,750,700
– –
VMO icon
68
Invesco Municipal Opportunity Trust
VMO
$663M
$7.57M 0.47%
601,592
-511,277
-46% -$6.37M
PXH icon
69
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.98B
$7.5M 0.46%
521,245
– –
EHI
70
Western Asset Global High Income Fund
EHI
$178M
$7.49M 0.46%
835,282
+359,156
+75% +$3.49M
OCSI
71
DELISTED
Oaktree Strategic Income Corporation
OCSI
$7.4M 0.46%
847,480
+409,710
+94% +$3.7M
BWG
72
BrandywineGLOBAL Global Income Opportunities Fund
BWG
$131M
$7.33M 0.45%
631,692
+2,679
+0.4% +$35K
NPI
73
DELISTED
NUVEEN PREMIUN INC MUN FUND
NPI
$7.25M 0.45%
540,821
– –
NBB icon
74
Nuveen Taxable Municipal Income Fund
NBB
$453M
$7.22M 0.44%
367,682
-17,146
-4% -$334K
NSL
75
DELISTED
NUVEEN SENIOR INCM FD
NSL
$6.77M 0.42%
1,146,001
– –
1 2
3
4 5

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Rivernorth Capital Management's Q3 2015 Portfolio in Review

As of Q3 2015, Rivernorth Capital Management held 212 positions worth $1.63B, up 0.88% from $1.61B the previous quarter. Its ten largest holdings account for 26% of the portfolio.

Rivernorth Capital Management deployed $169M of net new capital in Q3 2015, opening 32 new positions and adding to 101 existing holdings. Its largest new stake was JP Morgan Alerian MLP Index ETN 5/24/24: 211,452 shares worth $6.43M.

By sector, the portfolio is most concentrated in Financials at 7.4% of assets, up from 5.5% a quarter earlier, followed by Real Estate.

On the sell side, the largest reduction was iShares S&P 100 ETF, an estimated $14M trimmed.

  • Rivernorth Capital Management's largest Q3 2015 buy was JP Morgan Alerian MLP Index ETN 5/24/24: 211,452 shares worth $6.43M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q3 2015, an estimated $32.2M increase.
  • Rivernorth Capital Management's biggest Q3 2015 reduction was iShares S&P 100 ETF, cutting an estimated $14M.
  • Rivernorth Capital Management fully exited Franklin Premier Income Trust in Q3 2015, selling an estimated $14.3M.
  • Rivernorth Capital Management's ten largest holdings make up 26% of its $1.63B portfolio in Q3 2015.
  • Rivernorth Capital Management opened 32 new positions and closed 14 in Q3 2015.
  • Rivernorth Capital Management's portfolio value rose 0.88% quarter-over-quarter to $1.63B.

Based on Rivernorth Capital Management's 13F filing for Q3 2015, filed 16 Nov 2015.