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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
-1.01%
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
$2.47B
AUM Growth
+$588M
Cap. Flow
+$500M
Cap. Flow %
20.19%
Top 10 Hldgs %
24.56%
Holding
830
New
261
Increased
95
Reduced
55
Closed
112

Top Buys

Rank Stock Value
1
BCAT icon
BlackRock Capital Allocation Term Trust
BCAT
+$80.9M
2
BTX
BlackRock Technology and Private Equity Term Trust
BTX
+$59.5M
3
ECAT icon
BlackRock ESG Capital Allocation Term Trust
ECAT
+$51.9M
4
PTA icon
Cohen & Steers Tax-Advantaged Preferred Securities & Income Fund
PTA
+$45.7M
5
PDI icon
PIMCO Dynamic Income Fund
PDI
+$45.3M

Top Sells

Rank Stock Value
1
PXH icon
Invesco FTSE RAFI Emerging Markets ETF
PXH
+$43.9M
2
VTA
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
+$32.4M
3
GPM
Guggenheim Enhanced Equity Income Fund
GPM
+$30.1M
4
WIW
Western Asset Inflation-Linked Opportunities & Income Fund
WIW
+$25.4M
5
BACA.U
Berenson Acquisition Corp. I Units, each consisting of one share of Class A common stock and one-half of one redeemable warrant
BACA.U
+$24.4M

Sector Composition

Rank Sector Weight
1 Financials 18.77%
2 Technology 1.7%
3 Healthcare 1.36%
4 Industrials 1.31%
5 Consumer Discretionary 0.86%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ADF.WS
801
DELISTED
Aldel Financial Inc Warrants
ADF.WS
– –
-99,998
Closed -$202K
ADF
802
DELISTED
Aldel Financial Inc
ADF
– –
-199,996
Closed -$2.02M
DDMXW
803
DELISTED
DD3 Acquisition Corp. II Warrant
DDMXW
– –
-59,999
Closed -$72K
DDMX
804
DELISTED
DD3 Acquisition Corp. II Class A Common Stock
DDMX
– –
-119,998
Closed -$1.19M
ZGYHR
805
DELISTED
Yunhong International Right
ZGYHR
– –
-132,011
Closed -$26K
ZGYH
806
DELISTED
Yunhong International Class A Ordinary Shares
ZGYH
– –
-132,011
Closed -$1.36M
ZGYHW
807
DELISTED
Yunhong International Warrant
ZGYHW
– –
-66,005
Closed -$11K
BNIXU
808
DELISTED
Bannix Acquisition Corp. Unit
BNIXU
– –
-175,000
Closed -$1.79M
MCADR
809
DELISTED
Mountain Crest Acquisition Corp. II Right
MCADR
– –
-124,900
Closed -$94K
VTA
810
DELISTED
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
– –
-2,769,429
Closed -$32.4M
JHB
811
DELISTED
Nuveen Corporate Income November 2021 Target Term Fund
JHB
– –
-1,957,938
Closed -$18.4M
ITACW
812
DELISTED
Industrial Tech Acquisitions, Inc. Warrant
ITACW
– –
-150,000
Closed -$162K
ITAC
813
DELISTED
Industrial Tech Acquisitions, Inc. Class A common stock
ITAC
– –
-150,000
Closed -$1.49M
MAACW
814
DELISTED
Montes Archimedes Acquisition Corp. Warrant
MAACW
– –
-24,999
Closed -$37K
MAAC
815
DELISTED
Montes Archimedes Acquisition Corp. Class A Common Stock
MAAC
– –
-37,712
Closed -$353K
NOVVU
816
DELISTED
Nova Vision Acquisition Corp. Unit
NOVVU
– –
-165,000
Closed -$1.69M
TRONU
817
DELISTED
Corner Growth Acquisition Corp. 2 Units
TRONU
– –
-200,000
Closed -$1.99M
FICVU
818
DELISTED
Frontier Investment Corp Units
FICVU
– –
-200,000
Closed -$1.97M
PPHPU
819
DELISTED
PHP Ventures Acquisition Corp. Units
PPHPU
– –
-63,065
Closed -$646K
GSDWU
820
DELISTED
Global Systems Dynamics, Inc. Unit
GSDWU
– –
-200,000
Closed -$2.04M
CORS.U
821
DELISTED
Corsair Partnering Corporation Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
CORS.U
– –
-175,000
Closed -$1.7M
MEOAU
822
DELISTED
Minority Equality Opportunities Acquisition Inc. Units
MEOAU
– –
-200,000
Closed -$2.07M
SPKAU
823
DELISTED
SPK Acquisition Corp Unit
SPKAU
– –
-190,000
Closed -$1.93M
PKO
824
DELISTED
Pimco Income Opportunity Fund
PKO
– –
-16,117
Closed -$392K
GPM
825
DELISTED
Guggenheim Enhanced Equity Income Fund
GPM
– –
-3,244,620
Closed -$30.1M
30 31 32
33
34

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Rivernorth Capital Management's Q4 2021 Portfolio in Review

As of Q4 2021, Rivernorth Capital Management held 830 positions worth $2.47B, up 31% from $1.89B the previous quarter. Its ten largest holdings account for 25% of the portfolio.

Rivernorth Capital Management deployed $500M of net new capital in Q4 2021, opening 261 new positions and adding to 95 existing holdings. Its largest new stake was PIMCO Dynamic Income Fund: 1,732,468 shares worth $44.9M.

By sector, the portfolio is most concentrated in Financials at 19% of assets, up from 13% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was Invesco FTSE RAFI Emerging Markets ETF, an estimated $43.9M trimmed.

  • Rivernorth Capital Management's largest Q4 2021 buy was PIMCO Dynamic Income Fund: 1,732,468 shares worth $44.9M.
  • Rivernorth Capital Management added most to BlackRock Capital Allocation Term Trust in Q4 2021, an estimated $80.9M increase.
  • Rivernorth Capital Management's biggest Q4 2021 reduction was Invesco FTSE RAFI Emerging Markets ETF, cutting an estimated $43.9M.
  • Rivernorth Capital Management fully exited INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND in Q4 2021, selling an estimated $32.4M.
  • Rivernorth Capital Management's ten largest holdings make up 25% of its $2.47B portfolio in Q4 2021.
  • Rivernorth Capital Management opened 261 new positions and closed 112 in Q4 2021.
  • Rivernorth Capital Management's portfolio value rose 31% quarter-over-quarter to $2.47B.

Based on Rivernorth Capital Management's 13F filing for Q4 2021, filed 14 Feb 2022.