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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
+1.84%
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
$1.23B
AUM Growth
-$74.8M
Cap. Flow
-$102M
Cap. Flow %
-8.3%
Top 10 Hldgs %
24.35%
Holding
232
New
15
Increased
72
Reduced
78
Closed
42

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$40.1M
2
JQC icon
Nuveen Credit Strategies Income Fund
JQC
+$7.81M
3
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$7.43M
4
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$6.98M
5
ELD icon
WisdomTree Emerging Markets Local Debt Fund
ELD
+$5.42M

Top Sells

Rank Stock Value
1
ACG
AllianceBernstein Income Fund Inc
ACG
+$22.9M
2
PTY icon
PIMCO Corporate & Income Opportunity Fund
PTY
+$21.9M
3
PDI icon
PIMCO Dynamic Income Fund
PDI
+$20.3M
4
ETY icon
Eaton Vance Tax-Managed Diversified Equity Income Fund
ETY
+$16.4M
5
ETJ
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
+$13M

Sector Composition

Rank Sector Weight
1 Financials 3.79%
2 Materials 0.04%
3 Technology 0.04%
4 Healthcare 0.04%
5 Energy 0.01%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FUND
76
Sprott Focus Trust
FUND
$307M
$4.89M 0.4%
623,394
– –
SBW
77
DELISTED
Western Asset Worldwide Income
SBW
$4.79M 0.39%
388,486
– –
PML
78
PIMCO Municipal Income Fund II
PML
$493M
$4.74M 0.39%
408,532
-47,936
-11% -$549K
BDJ icon
79
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.73B
$4.67M 0.38%
588,188
– –
AGC
80
DELISTED
Advent Claymore Conv Sec & Incme
AGC
$4.64M 0.38%
613,981
-303,394
-33% -$2.3M
NIQ
81
DELISTED
NUVEEN INTERMEDIATE DURATION QUALITY MUNICIPAL TERM FUND
NIQ
$4.57M 0.37%
377,067
+189,278
+101% +$2.27M
MCR
82
DELISTED
MFS Charter Income Trust
MCR
$4.37M 0.36%
478,484
+223,663
+88% +$2.03M
NBD
83
DELISTED
Nuveen Build Am Bond Opp Fd
NBD
$4.36M 0.35%
212,626
– –
CBA
84
DELISTED
ClearBridge American Energy MLP
CBA
$4.23M 0.34%
261,326
-13,939
-5% -$238K
CEE
85
Central and Eastern Europe Fund
CEE
$139M
$4.17M 0.34%
166,398
-13,604
-8% -$357K
LCM
86
DELISTED
Advent/Claymore Enhanced Gth & F
LCM
$4.15M 0.34%
406,996
– –
EMD
87
Western Asset Emerging Markets Debt Fund
EMD
$616M
$3.98M 0.32%
228,659
+35,279
+18% +$601K
PTY icon
88
PIMCO Corporate & Income Opportunity Fund
PTY
$2.51B
$3.9M 0.32%
215,937
-1,197,648
-85% -$21.9M
MMT
89
Aberdeen Multi-Market Income Fund
MMT
$243M
$3.88M 0.32%
594,453
+167,139
+39% +$1.08M
HTR
90
DELISTED
Brookfield Total Return Fund Inc
HTR
$3.81M 0.31%
157,232
-21,165
-12% -$508K
PIM
91
Franklin Master Intermediate Income Trust
PIM
$151M
$3.73M 0.3%
724,706
+97,814
+16% +$496K
EOI
92
Eaton Vance Enhanced Equity Income Fund
EOI
$826M
$3.73M 0.3%
285,032
-260,970
-48% -$3.4M
GHY
93
PGIM Global High Yield Fund
GHY
$483M
$3.68M 0.3%
209,200
-392,569
-65% -$6.92M
BGY icon
94
BlackRock Enhanced International Dividend Trust
BGY
$529M
$3.6M 0.29%
446,005
-23,400
-5% -$190K
BSP
95
DELISTED
AMERN STRATEGIC INCM PORTF II
BSP
$3.37M 0.27%
+405,383
New +$3.28M
EDI
96
DELISTED
Virtus Stone Harbor Emerging Markets Total Income Fund
EDI
$3.34M 0.27%
179,295
-50,750
-22% -$930K
JGG
97
DELISTED
NUVEEN GLOBAL INCOME OPPORTUNITIES FUND
JGG
$3.22M 0.26%
278,471
+17,172
+7% +$195K
KYE
98
DELISTED
Kayne Anderson Energy
KYE
$3.2M 0.26%
117,111
+12,166
+12% +$329K
FTT
99
DELISTED
FEDERATED ENHANCED TREAS INCM FD COM BEN INTEREST
FTT
$3.19M 0.26%
234,339
+21,214
+10% +$281K
IQI icon
100
Invesco Quality Municipal Securities
IQI
$534M
$3.1M 0.25%
262,723
– –
2 3
4
5 6

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Rivernorth Capital Management's Q1 2014 Portfolio in Review

As of Q1 2014, Rivernorth Capital Management held 232 positions worth $1.23B, down 5.7% from $1.3B the previous quarter. Its ten largest holdings account for 24% of the portfolio.

Rivernorth Capital Management withdrew a net $102M in Q1 2014, closing 42 positions and reducing 78 holdings. Its most notable exit was AllianceBernstein Income Fund Inc, an estimated $22.9M position sold in full.

By sector, the portfolio is most concentrated in Financials at 3.8% of assets, down from 4.3% a quarter earlier, followed by Materials and Technology.

Against the trend, Rivernorth Capital Management opened a new position in WisdomTree Emerging Markets Local Debt Fund worth $5.53M.

  • Rivernorth Capital Management's largest Q1 2014 buy was WisdomTree Emerging Markets Local Debt Fund: 120,635 shares worth $5.53M.
  • Rivernorth Capital Management added most to State Street SPDR S&P 500 ETF Trust in Q1 2014, an estimated $40.1M increase.
  • Rivernorth Capital Management's biggest Q1 2014 reduction was PIMCO Corporate & Income Opportunity Fund, cutting an estimated $21.9M.
  • Rivernorth Capital Management fully exited AllianceBernstein Income Fund Inc in Q1 2014, selling an estimated $22.9M.
  • Rivernorth Capital Management's ten largest holdings make up 24% of its $1.23B portfolio in Q1 2014.
  • Rivernorth Capital Management opened 15 new positions and closed 42 in Q1 2014.
  • Rivernorth Capital Management's portfolio value fell 5.7% quarter-over-quarter to $1.23B.

Based on Rivernorth Capital Management's 13F filing for Q1 2014, filed 15 May 2014.