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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
-3.42%
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
$1.25B
AUM Growth
+$4.13M
Cap. Flow
+$50.9M
Cap. Flow %
4.07%
Top 10 Hldgs %
25.52%
Holding
203
New
26
Increased
73
Reduced
52
Closed
28

Top Buys

Rank Stock Value
1
DRA
Diversified Real Asset Income Fd
DRA
+$11.1M
2
ACG
AllianceBernstein Income Fund Inc
ACG
+$10.1M
3
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$8.04M
4
NPT
NUVEEN PREM INSD MUNI FD-4 INC
NPT
+$6.87M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.62M

Top Sells

Rank Stock Value
1
NPI
NUVEEN PREMIUN INC MUN FUND
NPI
+$9.49M
2
NML
Neuberger Energy Infrastructure and Income Fund Inc
NML
+$8.89M
3
ETJ
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
+$6.56M
4
NMA
NUVEEN MUNI ADVANTAGE FUND
NMA
+$5.22M
5
BSP
AMERN STRATEGIC INCM PORTF II
BSP
+$4.4M

Sector Composition

Rank Sector Weight
1 Financials 3.96%
2 Technology 0.18%
3 Energy 0.05%
4 Consumer Discretionary 0.03%
5 Communication Services 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RNP icon
76
Cohen & Steers REIT and Preferred and Income Fund
RNP
$989M
$5.12M 0.41%
293,004
-8,400
-3% -$152K
BDJ icon
77
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.73B
$5M 0.4%
610,188
– –
FUND
78
Sprott Focus Trust
FUND
$308M
$4.99M 0.4%
642,761
+17,338
+3% +$142K
PFL
79
PIMCO Income Strategy Fund
PFL
$388M
$4.88M 0.39%
408,736
-23,434
-5% -$287K
NRO
80
Neuberger Real Estate Securities Income Fund Inc
NRO
$190M
$4.66M 0.37%
1,012,430
+120,520
+14% +$575K
SBW
81
DELISTED
Western Asset Worldwide Income
SBW
$4.63M 0.37%
378,039
-6,893
-2% -$87.9K
SGL
82
DELISTED
STRATEGIC GLOBAL INCOME FUND
SGL
$4.53M 0.36%
513,307
+27,368
+6% +$250K
IWM icon
83
iShares Russell 2000 ETF
IWM
$81.9B
$4.53M 0.36%
41,400
+21,400
+107% +$2.45M
NBD
84
DELISTED
Nuveen Build Am Bond Opp Fd
NBD
$4.46M 0.36%
210,615
-100
-0% -$2.15K
GLV
85
Clough Global Dividend & Income Fund
GLV
$78.1M
$4.36M 0.35%
304,696
+74,639
+32% +$1.13M
PIM
86
Franklin Master Intermediate Income Trust
PIM
$151M
$4.29M 0.34%
852,839
+117,093
+16% +$592K
EVG
87
Eaton Vance Short Duration Diversified Income Fund
EVG
$143M
$4.25M 0.34%
289,588
+13,200
+5% +$198K
PDI icon
88
PIMCO Dynamic Income Fund
PDI
$7.42B
$3.93M 0.31%
124,510
+34,439
+38% +$1.12M
VTA
89
DELISTED
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
$3.92M 0.31%
317,086
-73,886
-19% -$937K
EVV
90
Eaton Vance Limited Duration Income Fund
EVV
$1.07B
$3.82M 0.31%
262,148
-24,064
-8% -$363K
NIQ
91
DELISTED
NUVEEN INTERMEDIATE DURATION QUALITY MUNICIPAL TERM FUND
NIQ
$3.8M 0.3%
297,492
-33,072
-10% -$419K
MSD
92
Morgan Stanley Emerging Markets Debt Fund
MSD
$148M
$3.78M 0.3%
389,228
+109,986
+39% +$1.1M
CEE
93
Central and Eastern Europe Fund
CEE
$139M
$3.69M 0.3%
156,044
-10,354
-6% -$270K
RIT
94
DELISTED
LMP REAL ESTATE INCOME FUND INC. COM
RIT
$3.65M 0.29%
+325,000
New +$3.76M
HYB
95
DELISTED
New America High Income Fund, Inc.
HYB
$3.48M 0.28%
370,367
+12,875
+4% +$125K
IGR
96
CBRE Global Real Estate Income Fund
IGR
$713M
$3.45M 0.28%
412,224
+8,196
+2% +$73K
DCA
97
DELISTED
Virtus Total Return Fund
DCA
$3.45M 0.28%
742,801
-902,581
-55% -$4.28M
JGG
98
DELISTED
NUVEEN GLOBAL INCOME OPPORTUNITIES FUND
JGG
$3.42M 0.27%
277,050
– –
ACP
99
abrdn Income Credit Strategies Fund
ACP
$637M
$3.42M 0.27%
210,510
-4,769
-2% -$80.8K
FPF
100
First Trust Intermediate Duration Preferred & Income Fund
FPF
$1.08B
$3.42M 0.27%
+157,303
New +$3.47M
2 3
4
5 6

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Rivernorth Capital Management's Q3 2014 Portfolio in Review

As of Q3 2014, Rivernorth Capital Management held 203 positions worth $1.25B, up 0.33% from $1.25B the previous quarter. Its ten largest holdings account for 26% of the portfolio.

Rivernorth Capital Management deployed $50.9M of net new capital in Q3 2014, opening 26 new positions and adding to 73 existing holdings. Its largest new stake was Diversified Real Asset Income Fd: 626,697 shares worth $11.1M.

By sector, the portfolio is most concentrated in Financials at 4% of assets, up from 3.9% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was NUVEEN MUNI ADVANTAGE FUND, an estimated $5.22M trimmed.

  • Rivernorth Capital Management's largest Q3 2014 buy was Diversified Real Asset Income Fd: 626,697 shares worth $11.1M.
  • Rivernorth Capital Management added most to AllianceBernstein Income Fund Inc in Q3 2014, an estimated $10.1M increase.
  • Rivernorth Capital Management's biggest Q3 2014 reduction was NUVEEN MUNI ADVANTAGE FUND, cutting an estimated $5.22M.
  • Rivernorth Capital Management fully exited NUVEEN PREMIUN INC MUN FUND in Q3 2014, selling an estimated $9.49M.
  • Rivernorth Capital Management's ten largest holdings make up 26% of its $1.25B portfolio in Q3 2014.
  • Rivernorth Capital Management opened 26 new positions and closed 28 in Q3 2014.
  • Rivernorth Capital Management's portfolio value rose 0.33% quarter-over-quarter to $1.25B.

Based on Rivernorth Capital Management's 13F filing for Q3 2014, filed 14 Nov 2014.