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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
-3.21%
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
$1.51B
AUM Growth
+$257M
Cap. Flow
+$295M
Cap. Flow %
19.59%
Top 10 Hldgs %
21.45%
Holding
221
New
46
Increased
73
Reduced
39
Closed
21

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$26M
2
BDCL
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
+$22.4M
3
GER
Goldman Sachs MLP Energy Renaissance Fund
GER
+$19.1M
4
FAX
abrdn Asia-Pacific Income Fund
FAX
+$18.6M
5
CBA
ClearBridge American Energy MLP
CBA
+$18.3M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$22.2M
2
JGT
NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA)
JGT
+$14.9M
3
SVVC
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
+$7.88M
4
PFL
PIMCO Income Strategy Fund
PFL
+$4.88M
5
VEA icon
Vanguard FTSE Developed Markets ETF
VEA
+$4.88M

Sector Composition

Rank Sector Weight
1 Financials 5.47%
2 Technology 0.02%
3 Energy 0%
4 Communication Services 0%
5 Consumer Discretionary 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
STEW
76
SRH Total Return Fund
STEW
$1.81B
$6.91M 0.46%
763,862
– –
AIF
77
DELISTED
Apollo Tactical Income Fund Inc.
AIF
$6.85M 0.45%
429,431
+51,491
+14% +$869K
JPC icon
78
Nuveen Preferred & Income Opportunities Fund
JPC
$2.9B
$6.83M 0.45%
714,645
+2,200
+0.3% +$20.5K
NBB icon
79
Nuveen Taxable Municipal Income Fund
NBB
$453M
$6.83M 0.45%
322,279
– –
IWM icon
80
iShares Russell 2000 ETF
IWM
$81.9B
$6.74M 0.45%
56,350
+14,950
+36% +$1.71M
EHI
81
Western Asset Global High Income Fund
EHI
$178M
$6.36M 0.42%
+573,168
New +$6.67M
MSD
82
Morgan Stanley Emerging Markets Debt Fund
MSD
$148M
$6.11M 0.41%
672,087
+282,859
+73% +$2.68M
WIW
83
Western Asset Inflation-Linked Opportunities & Income Fund
WIW
$513M
$6.11M 0.41%
540,457
– –
BGX
84
Blackstone Long-Short Credit Income Fund
BGX
$138M
$5.87M 0.39%
378,034
+40,000
+12% +$647K
NVG icon
85
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.7B
$5.62M 0.37%
398,114
– –
NRO
86
Neuberger Real Estate Securities Income Fund Inc
NRO
$190M
$5.11M 0.34%
1,012,954
+524
+0.1% +$2.56K
VGI
87
Virtus Global Multi-Sector Income Fund
VGI
$83.7M
$5.1M 0.34%
321,675
– –
AWF
88
AllianceBernstein Global High Income Fund
AWF
$872M
$4.91M 0.33%
+394,732
New +$5.21M
VTA
89
DELISTED
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
$4.91M 0.33%
414,120
+97,034
+31% +$1.15M
EVG
90
Eaton Vance Short Duration Diversified Income Fund
EVG
$143M
$4.79M 0.32%
338,882
+49,294
+17% +$710K
GDX icon
91
VanEck Gold Miners ETF
GDX
$27.4B
$4.76M 0.32%
259,217
-11,811
-4% -$228K
ARDC
92
Are Dynamic Credit Allocation Fund
ARDC
$298M
$4.71M 0.31%
+297,983
New +$4.93M
NBD
93
DELISTED
Nuveen Build Am Bond Opp Fd
NBD
$4.62M 0.31%
210,615
– –
GLV
94
Clough Global Dividend & Income Fund
GLV
$78.1M
$4.61M 0.31%
312,704
+8,008
+3% +$115K
FUND
95
Sprott Focus Trust
FUND
$308M
$4.61M 0.31%
642,761
– –
SGL
96
DELISTED
STRATEGIC GLOBAL INCOME FUND
SGL
$4.49M 0.3%
529,162
+15,855
+3% +$138K
HIX
97
Western Asset High Income Fund II
HIX
$355M
$4.36M 0.29%
+524,698
New +$4.48M
SBW
98
DELISTED
Western Asset Worldwide Income
SBW
$4.31M 0.29%
378,039
– –
BBDC icon
99
Barings BDC
BBDC
$965M
$4.27M 0.28%
+210,428
New +$4.77M
NIO
100
DELISTED
NUVEEN MUNICIPAL OPPORTUNITY FUND INC
NIO
$4.15M 0.28%
282,842
-234,262
-45% -$3.39M
2 3
4
5 6

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Rivernorth Capital Management's Q4 2014 Portfolio in Review

As of Q4 2014, Rivernorth Capital Management held 221 positions worth $1.51B, up 21% from $1.25B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Rivernorth Capital Management deployed $295M of net new capital in Q4 2014, opening 46 new positions and adding to 73 existing holdings. Its largest new stake was 2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev: 990,320 shares worth $21.2M.

By sector, the portfolio is most concentrated in Financials at 5.5% of assets, up from 4% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was State Street SPDR S&P 500 ETF Trust, an estimated $22.2M trimmed.

  • Rivernorth Capital Management's largest Q4 2014 buy was 2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev: 990,320 shares worth $21.2M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q4 2014, an estimated $26M increase.
  • Rivernorth Capital Management's biggest Q4 2014 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $22.2M.
  • Rivernorth Capital Management fully exited NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA) in Q4 2014, selling an estimated $14.9M.
  • Rivernorth Capital Management's ten largest holdings make up 21% of its $1.51B portfolio in Q4 2014.
  • Rivernorth Capital Management opened 46 new positions and closed 21 in Q4 2014.
  • Rivernorth Capital Management's portfolio value rose 21% quarter-over-quarter to $1.51B.

Based on Rivernorth Capital Management's 13F filing for Q4 2014, filed 17 Feb 2015.