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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
-0.32%
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
$950M
AUM Growth
+$52M
Cap. Flow
+$50.3M
Cap. Flow %
5.29%
Top 10 Hldgs %
28.58%
Holding
211
New
46
Increased
83
Reduced
39
Closed
23

Top Buys

Rank Stock Value
1
NPM
NUVEEN PREMIUM INCM MUNI FD II
NPM
+$7.94M
2
VOO icon
Vanguard S&P 500 ETF
VOO
+$7.42M
3
BIT icon
BlackRock Multi-Sector Income Trust
BIT
+$7.01M
4
NID
NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND
NID
+$6.81M
5
NPP
NUVEEN PERFORMANCE+MUN FUND
NPP
+$5.28M

Top Sells

Rank Stock Value
1
EXG icon
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
+$8.99M
2
ETW
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
ETW
+$7.23M
3
USA icon
Liberty All-Star Equity Fund
USA
+$5.6M
4
GHY
PGIM Global High Yield Fund
GHY
+$5.6M
5
DNP icon
DNP Select Income Fund
DNP
+$5.42M

Sector Composition

Rank Sector Weight
1 Financials 4.04%
2 Technology 0.05%
3 Energy 0.04%
4 Materials 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MGU
76
DELISTED
Macquarie Global Infrastructure Total Return Fund, Inc.
MGU
$3.07M 0.32%
141,885
-21,571
-13% -$456K
PCN
77
PIMCO Corporate & Income Strategy Fund
PCN
$885M
$3.05M 0.32%
182,928
+11,626
+7% +$190K
JLS icon
78
Nuveen Mortgage and Income Fund
JLS
$94.7M
$2.93M 0.31%
123,415
+58,581
+90% +$1.4M
FTT
79
DELISTED
FEDERATED ENHANCED TREAS INCM FD COM BEN INTEREST
FTT
$2.74M 0.29%
213,125
– –
OFS icon
80
OFS Capital
OFS
$51.9M
$2.7M 0.28%
213,138
+5,350
+3% +$64.7K
SBW
81
DELISTED
Western Asset Worldwide Income
SBW
$2.68M 0.28%
213,513
+179,454
+527% +$2.24M
FSD
82
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
$2.65M 0.28%
+150,872
New +$2.62M
JGG
83
DELISTED
NUVEEN GLOBAL INCOME OPPORTUNITIES FUND
JGG
$2.63M 0.28%
224,288
+108,213
+93% +$1.3M
SVVC
84
DELISTED
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
$2.58M 0.27%
105,453
-51,386
-33% -$1.14M
JHP
85
DELISTED
NUVEEN QUALITY PREFERRED INCOME FUND 3
JHP
$2.56M 0.27%
324,718
+63,705
+24% +$510K
IMF
86
DELISTED
WESTERN ASSET INFLATION MTGMT FUND INC. COM
IMF
$2.56M 0.27%
155,798
-400
-0.3% -$6.5K
EIM
87
Eaton Vance Municipal Bond Fund
EIM
$499M
$2.52M 0.26%
217,672
+44,020
+25% +$493K
NIO
88
DELISTED
NUVEEN MUNICIPAL OPPORTUNITY FUND INC
NIO
$2.47M 0.26%
190,082
+34,201
+22% +$445K
DSU icon
89
BlackRock Debt Strategies Fund
DSU
$597M
$2.44M 0.26%
202,057
-2,819
-1% -$33.9K
FCO
90
DELISTED
abrdn Global Income Fund
FCO
$2.31M 0.24%
213,128
+90,378
+74% +$970K
AMG icon
91
Affiliated Managers Group
AMG
$9.76B
$2.21M 0.23%
12,100
– –
PMF
92
DELISTED
PIMCO Municipal Income Fund
PMF
$2.09M 0.22%
167,375
+150,996
+922% +$1.85M
MCR
93
DELISTED
MFS Charter Income Trust
MCR
$2.07M 0.22%
231,546
+118,471
+105% +$1.05M
XLK icon
94
State Street Technology Select Sector SPDR ETF
XLK
$123B
$2.04M 0.21%
+127,300
New +$2.03M
HIO
95
Western Asset High Income Opportunity Fund
HIO
$340M
$2.03M 0.21%
339,689
+157,128
+86% +$918K
IVH
96
DELISTED
Delaware Ivy High Income Opportunities Fund
IVH
$1.89M 0.2%
+105,933
New +$1.9M
SPE
97
Special Opportunities Fund
SPE
$144M
$1.87M 0.2%
111,157
-57,606
-34% -$958K
JTP
98
DELISTED
NUVEEN QUALITY PFD INCOME FD
JTP
$1.86M 0.2%
246,569
+49,500
+25% +$384K
PIM
99
Franklin Master Intermediate Income Trust
PIM
$151M
$1.86M 0.2%
380,809
+45,084
+13% +$222K
NHS
100
Neuberger High Yield Strategies Fund Inc
NHS
$255M
$1.77M 0.19%
135,677
+5,705
+4% +$73.5K
2 3
4
5 6

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Rivernorth Capital Management's Q3 2013 Portfolio in Review

As of Q3 2013, Rivernorth Capital Management held 211 positions worth $950M, up 5.8% from $898M the previous quarter. Its ten largest holdings account for 29% of the portfolio.

Rivernorth Capital Management deployed $50.3M of net new capital in Q3 2013, opening 46 new positions and adding to 83 existing holdings. Its largest new stake was CORNERSTONE PROGRESSIVE RETURN FD COM: 205,617 shares worth $4.22M.

By sector, the portfolio is most concentrated in Financials at 4% of assets, down from 4.1% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund, an estimated $7.23M trimmed.

  • Rivernorth Capital Management's largest Q3 2013 buy was CORNERSTONE PROGRESSIVE RETURN FD COM: 205,617 shares worth $4.22M.
  • Rivernorth Capital Management added most to NUVEEN PREMIUM INCM MUNI FD II in Q3 2013, an estimated $7.94M increase.
  • Rivernorth Capital Management's biggest Q3 2013 reduction was Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund, cutting an estimated $7.23M.
  • Rivernorth Capital Management fully exited Eaton Vance Tax-Managed Global Diversified Equity Income Fund in Q3 2013, selling an estimated $8.99M.
  • Rivernorth Capital Management's ten largest holdings make up 29% of its $950M portfolio in Q3 2013.
  • Rivernorth Capital Management opened 46 new positions and closed 23 in Q3 2013.
  • Rivernorth Capital Management's portfolio value rose 5.8% quarter-over-quarter to $950M.

Based on Rivernorth Capital Management's 13F filing for Q3 2013, filed 14 Nov 2013.