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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
+1.27%
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
$1.31B
AUM Growth
-$135M
Cap. Flow
-$154M
Cap. Flow %
-11.81%
Top 10 Hldgs %
33.37%
Holding
166
New
25
Increased
37
Reduced
63
Closed
26

Top Buys

Rank Stock Value
1
ARCC icon
Ares Capital
ARCC
+$19.1M
2
BRW
Saba Capital Income & Opportunities Fund
BRW
+$10.4M
3
CGBD icon
Carlyle Secured Lending
CGBD
+$5.76M
4
LCM
Advent/Claymore Enhanced Gth & F
LCM
+$5.33M
5
BRQS
Borqs Technologies, Inc. Ordinary Shares
BRQS
+$5.06M

Top Sells

Rank Stock Value
1
ERC
Allspring Multi-Sector Income Fund
ERC
+$17.4M
2
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$15M
3
GLO
Clough Global Opportunities Fund
GLO
+$13M
4
RA
Brookfield Real Assets Income Fund
RA
+$11.6M
5
USA icon
Liberty All-Star Equity Fund
USA
+$9.55M

Sector Composition

Rank Sector Weight
1 Financials 5.18%
2 Technology 0.84%
3 Energy 0.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AGC
51
DELISTED
Advent Claymore Conv Sec & Incme
AGC
$7.71M 0.59%
1,236,956
-214,436
-15% -$1.33M
BLW icon
52
BlackRock Limited Duration Income Trust
BLW
$490M
$7.52M 0.58%
476,819
+62,166
+15% +$974K
GARS
53
DELISTED
Garrison Capital Inc.
GARS
$7.21M 0.55%
873,045
-45,493
-5% -$412K
MCR
54
DELISTED
MFS Charter Income Trust
MCR
$7.01M 0.54%
811,837
-6,114
-0.7% -$53K
NIE
55
Virtus Equity & Convertible Income Fund
NIE
$726M
$6.73M 0.52%
340,810
+35,755
+12% +$703K
DEX
56
DELISTED
DELAWARE ENHANCED GLOBAL DIVIDEND & INCOME FUND
DEX
$6.65M 0.51%
583,340
+118,130
+25% +$1.33M
AFB
57
AllianceBernstein National Municipal Income Fund
AFB
$314M
$6.64M 0.51%
485,104
-4,200
-0.9% -$57.1K
RMT
58
Royce Micro-Cap Trust
RMT
$751M
$6.63M 0.51%
767,098
-161,449
-17% -$1.39M
EVF
59
Eaton Vance Senior Income Trust
EVF
$90.5M
$6.56M 0.5%
986,170
+88,350
+10% +$596K
MSD
60
Morgan Stanley Emerging Markets Debt Fund
MSD
$148M
$6.45M 0.49%
652,520
+24,978
+4% +$246K
MMT
61
Aberdeen Multi-Market Income Fund
MMT
$239M
$6.42M 0.49%
1,035,979
-257,360
-20% -$1.59M
BHAC
62
DELISTED
Barington/Hilco Acquisition Corp.
BHAC
$6.42M 0.49%
622,740
– –
SWZ
63
Swiss Helvetia Fund
SWZ
$77.1M
$6.34M 0.49%
499,070
+377,235
+310% +$4.6M
PXH icon
64
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.95B
$6.11M 0.47%
307,565
-167,680
-35% -$3.34M
NHS
65
Neuberger High Yield Strategies Fund Inc
NHS
$254M
$6.1M 0.47%
512,883
+25,171
+5% +$300K
WIA
66
Western Asset Inflation-Linked Income Fund
WIA
$186M
$5.78M 0.44%
511,801
+800
+0.2% +$9.06K
CGBD icon
67
Carlyle Secured Lending
CGBD
$741M
$5.68M 0.43%
+315,143
New +$5.76M
KMM
68
DELISTED
Deutsche Multi-Market Incm Trust
KMM
$5.34M 0.41%
606,777
-34,532
-5% -$304K
EAD
69
Allspring Income Opportunities Fund
EAD
$377M
$5.33M 0.41%
622,705
+20,365
+3% +$175K
VLT icon
70
Invesco High Income Trust II
VLT
$65.4M
$5.3M 0.41%
355,355
+100,485
+39% +$1.48M
NIQ
71
DELISTED
NUVEEN INTERMEDIATE DURATION QUALITY MUNICIPAL TERM FUND
NIQ
$5.27M 0.4%
406,390
-7,282
-2% -$94.5K
VEA icon
72
Vanguard FTSE Developed Markets ETF
VEA
$234B
$5.22M 0.4%
126,277
-68,843
-35% -$2.81M
BRQS
73
DELISTED
Borqs Technologies, Inc. Ordinary Shares
BRQS
$4.99M 0.38%
+2,537
New +$5.06M
SPE.PRB
74
DELISTED
Special Opportunities Fund, Inc. 3.50% Convertible Preferred Stock, Series B
SPE.PRB
$4.88M 0.37%
191,280
– –
NVG icon
75
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.67B
$4.65M 0.36%
306,942
-421,881
-58% -$6.31M
1 2
3
4 5

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Rivernorth Capital Management's Q2 2017 Portfolio in Review

As of Q2 2017, Rivernorth Capital Management held 166 positions worth $1.31B, down 9.3% from $1.44B the previous quarter. Its ten largest holdings account for 33% of the portfolio.

Rivernorth Capital Management withdrew a net $154M in Q2 2017, closing 26 positions and reducing 63 holdings. Its most notable exit was PIMCO Dynamic Credit and Mortgage Income Fund, an estimated $15M position sold in full.

By sector, the portfolio is most concentrated in Financials at 5.2% of assets, up from 4% a quarter earlier, followed by Technology and Energy.

Against the trend, Rivernorth Capital Management opened a new position in Carlyle Secured Lending worth $5.68M.

  • Rivernorth Capital Management's largest Q2 2017 buy was Carlyle Secured Lending: 315,143 shares worth $5.68M.
  • Rivernorth Capital Management added most to Ares Capital in Q2 2017, an estimated $19.1M increase.
  • Rivernorth Capital Management's biggest Q2 2017 reduction was Allspring Multi-Sector Income Fund, cutting an estimated $17.4M.
  • Rivernorth Capital Management fully exited PIMCO Dynamic Credit and Mortgage Income Fund in Q2 2017, selling an estimated $15M.
  • Rivernorth Capital Management's ten largest holdings make up 33% of its $1.31B portfolio in Q2 2017.
  • Rivernorth Capital Management opened 25 new positions and closed 26 in Q2 2017.
  • Rivernorth Capital Management's portfolio value fell 9.3% quarter-over-quarter to $1.31B.

Based on Rivernorth Capital Management's 13F filing for Q2 2017, filed 14 Aug 2017.