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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
+0.75%
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
$1.76B
AUM Growth
+$131M
Cap. Flow
+$95.5M
Cap. Flow %
5.44%
Top 10 Hldgs %
28.21%
Holding
219
New
21
Increased
90
Reduced
49
Closed
21

Top Buys

Rank Stock Value
1
ACAS
American Capital Ltd
ACAS
+$29.3M
2
OCSL icon
Oaktree Specialty Lending
OCSL
+$21.2M
3
KYN icon
Kayne Anderson Energy Infrastructure Fund
KYN
+$16.2M
4
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$14.6M
5
NCZ
Virtus Convertible & Income Fund II
NCZ
+$13.3M

Top Sells

Rank Stock Value
1
HCF
NEXPOINT CREDIT STRATEGIES FUND
HCF
+$29.4M
2
NPM
NUVEEN PREMIUM INCM MUNI FD II
NPM
+$16.5M
3
VMO icon
Invesco Municipal Opportunity Trust
VMO
+$7.57M
4
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$5.56M
5
NBB icon
Nuveen Taxable Municipal Income Fund
NBB
+$5.46M

Sector Composition

Rank Sector Weight
1 Financials 8.56%
2 Real Estate 0.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JLS icon
51
Nuveen Mortgage and Income Fund
JLS
$94.7M
$10.8M 0.61%
475,056
– –
CTR
52
DELISTED
ClearBridge MLP and Midstream Total Return Fund Inc.
CTR
$10.7M 0.61%
173,697
-16,452
-9% -$1.15M
JGH icon
53
Nuveen Global High Income Fund
JGH
$356M
$10.5M 0.6%
763,711
+48,559
+7% +$701K
NMO
54
DELISTED
NUVEEN MUNI MARKET OPPORT FUND
NMO
$10.2M 0.58%
737,993
– –
BOE icon
55
BlackRock Enhanced Global Dividend Trust
BOE
$684M
$10.1M 0.58%
793,324
-125,110
-14% -$1.59M
MVC
56
DELISTED
MVC Capital, Inc.
MVC
$10M 0.57%
1,360,091
+144,334
+12% +$1.17M
HCF
57
DELISTED
NEXPOINT CREDIT STRATEGIES FUND
HCF
$9.76M 0.56%
477,497
-1,437,220
-75% -$29.4M
HYI
58
Western Asset High Yield Opportunity Fund Inc
HYI
$135M
$9.62M 0.55%
682,577
– –
VVR icon
59
Invesco Senior Income Trust
VVR
$454M
$9.55M 0.54%
2,365,216
+1,515,327
+178% +$6.25M
EMD
60
DELISTED
Western Asset Emerging Markets
EMD
$9.41M 0.54%
967,054
+81,607
+9% +$805K
ZTR
61
Virtus Total Return Fund
ZTR
$339M
$9.22M 0.53%
757,046
+49,484
+7% +$593K
BGH
62
Barings Global Short Duration High Yield Fund
BGH
$287M
$9.11M 0.52%
552,457
+80,506
+17% +$1.37M
BDCL
63
DELISTED
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
$9.06M 0.52%
567,034
-223,115
-28% -$3.7M
TYG
64
Tortoise Energy Infrastructure Corp
TYG
$1.08B
$9.04M 0.51%
+81,207
New +$9.05M
NSLR
65
Neostellar Capital Corp
NSLR
$254M
$8.96M 0.51%
1,472,222
-197,949
-12% -$1.21M
VKQ icon
66
Invesco Municipal Trust
VKQ
$551M
$8.73M 0.5%
683,462
-338,293
-33% -$4.24M
NRO
67
Neuberger Real Estate Securities Income Fund Inc
NRO
$190M
$8.41M 0.48%
1,758,782
+8,082
+0.5% +$37.8K
FTF
68
Franklin Limited Duration Income Trust
FTF
$233M
$8.3M 0.47%
774,336
– –
BWG
69
BrandywineGLOBAL Global Income Opportunities Fund
BWG
$131M
$8.1M 0.46%
699,242
+67,550
+11% +$823K
OEF icon
70
iShares S&P 100 ETF
OEF
$20.5B
$8.07M 0.46%
88,567
-5,000
-5% -$459K
CTF
71
DELISTED
Nuveen Long/Short Commodity Fd
CTF
$7.74M 0.44%
497,816
-200
-0% -$3.16K
NSL
72
DELISTED
NUVEEN SENIOR INCM FD
NSL
$7.65M 0.44%
1,325,321
+179,320
+16% +$1.03M
EHI
73
Western Asset Global High Income Fund
EHI
$178M
$7.42M 0.42%
850,437
+15,155
+2% +$138K
CEF icon
74
Sprott Physical Gold and Silver Trust
CEF
$8.06B
$7.37M 0.42%
737,465
– –
PXH icon
75
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.98B
$7.27M 0.41%
521,245
– –
1 2
3
4 5

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Rivernorth Capital Management's Q4 2015 Portfolio in Review

As of Q4 2015, Rivernorth Capital Management held 219 positions worth $1.76B, up 8% from $1.63B the previous quarter. Its ten largest holdings account for 28% of the portfolio.

Rivernorth Capital Management deployed $95.5M of net new capital in Q4 2015, opening 21 new positions and adding to 90 existing holdings. Its largest new stake was Kayne Anderson Energy Infrastructure Fund: 814,633 shares worth $14.1M.

By sector, the portfolio is most concentrated in Financials at 8.6% of assets, up from 7.4% a quarter earlier, followed by Real Estate.

On the sell side, the largest reduction was NEXPOINT CREDIT STRATEGIES FUND, an estimated $29.4M trimmed.

  • Rivernorth Capital Management's largest Q4 2015 buy was Kayne Anderson Energy Infrastructure Fund: 814,633 shares worth $14.1M.
  • Rivernorth Capital Management added most to American Capital Ltd in Q4 2015, an estimated $29.3M increase.
  • Rivernorth Capital Management's biggest Q4 2015 reduction was NEXPOINT CREDIT STRATEGIES FUND, cutting an estimated $29.4M.
  • Rivernorth Capital Management fully exited Invesco Municipal Opportunity Trust in Q4 2015, selling an estimated $7.57M.
  • Rivernorth Capital Management's ten largest holdings make up 28% of its $1.76B portfolio in Q4 2015.
  • Rivernorth Capital Management opened 21 new positions and closed 21 in Q4 2015.
  • Rivernorth Capital Management's portfolio value rose 8% quarter-over-quarter to $1.76B.

Based on Rivernorth Capital Management's 13F filing for Q4 2015, filed 16 Feb 2016.