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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
+0.99%
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
$1.3B
AUM Growth
+$353M
Cap. Flow
+$331M
Cap. Flow %
25.4%
Top 10 Hldgs %
22.27%
Holding
261
New
73
Increased
81
Reduced
45
Closed
44

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$23.8M
2
VMO icon
Invesco Municipal Opportunity Trust
VMO
+$19.4M
3
JQC icon
Nuveen Credit Strategies Income Fund
JQC
+$17.3M
4
NMA
NUVEEN MUNI ADVANTAGE FUND
NMA
+$14.2M
5
DSU icon
BlackRock Debt Strategies Fund
DSU
+$12.6M

Top Sells

Rank Stock Value
1
VOO icon
Vanguard S&P 500 ETF
VOO
+$19.5M
2
OEF icon
iShares S&P 100 ETF
OEF
+$10.4M
3
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$9.35M
4
ETW
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
ETW
+$7.2M
5
CWB icon
State Street SPDR Bloomberg Convertible Securities ETF
CWB
+$5.02M

Sector Composition

Rank Sector Weight
1 Financials 4.29%
2 Technology 0.1%
3 Materials 0.04%
4 Communication Services 0.03%
5 Energy 0.01%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EMD
76
DELISTED
Western Asset Emerging Markets
EMD
$5.66M 0.43%
478,200
+405,598
+559% +$4.92M
VGI
77
Virtus Global Multi-Sector Income Fund
VGI
$83.7M
$5.64M 0.43%
333,610
+43,953
+15% +$744K
GDX icon
78
VanEck Gold Miners ETF
GDX
$27.4B
$5.58M 0.43%
264,584
+1,767
+0.7% +$40.8K
LDP icon
79
Cohen & Steers Duration Preferred & Income Fund
LDP
$600M
$5.48M 0.42%
+242,149
New +$5.43M
CEE
80
Central and Eastern Europe Fund
CEE
$139M
$5.24M 0.4%
180,002
– –
NKX icon
81
Nuveen California AMT-Free Quality Municipal Income Fund
NKX
$657M
$5.15M 0.4%
423,487
+351,555
+489% +$4.3M
VTA
82
DELISTED
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
$5.15M 0.4%
+399,125
New +$5.05M
JRO
83
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$5.12M 0.39%
+420,441
New +$5.06M
CBA
84
DELISTED
ClearBridge American Energy MLP
CBA
$4.91M 0.38%
+275,265
New +$5.03M
PML
85
PIMCO Municipal Income Fund II
PML
$493M
$4.87M 0.37%
456,468
+93,037
+26% +$1,000K
SBW
86
DELISTED
Western Asset Worldwide Income
SBW
$4.73M 0.36%
388,486
+174,973
+82% +$2.14M
FUND
87
Sprott Focus Trust
FUND
$308M
$4.68M 0.36%
623,394
+457
+0.1% +$3.37K
BDJ icon
88
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.73B
$4.67M 0.36%
588,188
+145,364
+33% +$1.13M
BOI
89
DELISTED
Brookfield Mtge Opportunity Fd
BOI
$4.46M 0.34%
+269,168
New +$4.45M
FTF
90
Franklin Limited Duration Income Trust
FTF
$233M
$4.45M 0.34%
342,462
+211,137
+161% +$2.73M
EDI
91
DELISTED
Virtus Stone Harbor Emerging Markets Total Income Fund
EDI
$4.37M 0.34%
230,045
+217,642
+1,755% +$4.18M
HTR
92
DELISTED
Brookfield Total Return Fund Inc
HTR
$4.24M 0.33%
178,397
+19,251
+12% +$451K
GDV icon
93
Gabelli Dividend & Income Trust
GDV
$2.66B
$4.16M 0.32%
197,852
-151,728
-43% -$3.02M
NBD
94
DELISTED
Nuveen Build Am Bond Opp Fd
NBD
$4.13M 0.32%
212,626
– –
LCM
95
DELISTED
Advent/Claymore Enhanced Gth & F
LCM
$4.12M 0.32%
406,996
– –
EFT
96
Eaton Vance Floating-Rate Income Trust
EFT
$288M
$4.04M 0.31%
+264,472
New +$4.08M
BGY icon
97
BlackRock Enhanced International Dividend Trust
BGY
$529M
$3.82M 0.29%
469,405
– –
EDF
98
Virtus Stone Harbor Emerging Markets Income Fund
EDF
$171M
$3.81M 0.29%
+207,776
New +$3.95M
TTF
99
DELISTED
Thai Fund
TTF
$3.67M 0.28%
202,169
-26,601
-12% -$532K
EMD
100
Western Asset Emerging Markets Debt Fund
EMD
$616M
$3.33M 0.26%
193,380
-3,849
-2% -$66.8K
2 3
4
5 6

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Rivernorth Capital Management's Q4 2013 Portfolio in Review

As of Q4 2013, Rivernorth Capital Management held 261 positions worth $1.3B, up 37% from $950M the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Rivernorth Capital Management deployed $331M of net new capital in Q4 2013, opening 73 new positions and adding to 81 existing holdings. Its largest new stake was Nuveen Credit Strategies Income Fund: 1,845,135 shares worth $18M.

By sector, the portfolio is most concentrated in Financials at 4.3% of assets, up from 4% a quarter earlier, followed by Technology and Materials.

On the sell side, the largest reduction was iShares S&P 100 ETF, an estimated $10.4M trimmed.

  • Rivernorth Capital Management's largest Q4 2013 buy was Nuveen Credit Strategies Income Fund: 1,845,135 shares worth $18M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q4 2013, an estimated $23.8M increase.
  • Rivernorth Capital Management's biggest Q4 2013 reduction was iShares S&P 100 ETF, cutting an estimated $10.4M.
  • Rivernorth Capital Management fully exited Vanguard S&P 500 ETF in Q4 2013, selling an estimated $19.5M.
  • Rivernorth Capital Management's ten largest holdings make up 22% of its $1.3B portfolio in Q4 2013.
  • Rivernorth Capital Management opened 73 new positions and closed 44 in Q4 2013.
  • Rivernorth Capital Management's portfolio value rose 37% quarter-over-quarter to $1.3B.

Based on Rivernorth Capital Management's 13F filing for Q4 2013, filed 14 Feb 2014.