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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
-1.67%
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
$1.53B
AUM Growth
+$156M
Cap. Flow
+$159M
Cap. Flow %
10.35%
Top 10 Hldgs %
27.12%
Holding
179
New
40
Increased
50
Reduced
52
Closed
28

Top Buys

Rank Stock Value
1
RA
Brookfield Real Assets Income Fund
RA
+$42.3M
2
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$41.1M
3
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$26.7M
4
CHY
Calamos Convertible and High Income Fund
CHY
+$18.6M
5
NVG icon
Nuveen AMT-Free Municipal Credit Income Fund
NVG
+$16.5M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$23.9M
2
ACAS
American Capital Ltd
ACAS
+$18.6M
3
STEW
SRH Total Return Fund
STEW
+$14.6M
4
BOI
Brookfield Mtge Opportunity Fd
BOI
+$13.4M
5
VEA icon
Vanguard FTSE Developed Markets ETF
VEA
+$9.8M

Sector Composition

Rank Sector Weight
1 Financials 5.05%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PML
76
PIMCO Municipal Income Fund II
PML
$493M
$6.47M 0.42%
+529,308
New +$6.62M
FCRD
77
DELISTED
First Eagle Alternative Capital BDC, Inc. Common Stock
FCRD
$6.46M 0.42%
+645,212
New +$6.28M
KMM
78
DELISTED
Deutsche Multi-Market Incm Trust
KMM
$6.25M 0.41%
733,990
-22,765
-3% -$193K
EVF
79
Eaton Vance Senior Income Trust
EVF
$90.5M
$6.18M 0.4%
925,532
+62,280
+7% +$403K
VKQ icon
80
Invesco Municipal Trust
VKQ
$551M
$6.04M 0.39%
+493,039
New +$6.21M
NSLR
81
Neostellar Capital Corp
NSLR
$254M
$5.93M 0.39%
1,405,579
-185,658
-12% -$753K
MSD
82
Morgan Stanley Emerging Markets Debt Fund
MSD
$148M
$5.71M 0.37%
627,542
-9,000
-1% -$83.1K
NFJ
83
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.43B
$5.66M 0.37%
+449,123
New +$5.62M
FAM
84
DELISTED
First Trust/abrdn Global Opportunity Income Fund
FAM
$5.66M 0.37%
507,421
+38,972
+8% +$434K
LCM
85
DELISTED
Advent/Claymore Enhanced Gth & F
LCM
$5.66M 0.37%
681,375
+1,923
+0.3% +$15.7K
NHS
86
Neuberger High Yield Strategies Fund Inc
NHS
$255M
$5.5M 0.36%
471,412
-60,958
-11% -$703K
WIA
87
Western Asset Inflation-Linked Income Fund
WIA
$186M
$5.5M 0.36%
+478,979
New +$5.41M
SCD
88
LMP Capital and Income Fund
SCD
$358M
$5.5M 0.36%
413,480
-119,167
-22% -$1.55M
FSAM
89
DELISTED
Fifth Street Asset Management Inc. Class A
FSAM
$4.91M 0.32%
732,666
– –
SPE.PRB
90
DELISTED
Special Opportunities Fund, Inc. 3.50% Convertible Preferred Stock, Series B
SPE.PRB
$4.86M 0.32%
191,280
-16,150
-8% -$411K
NUV icon
91
Nuveen Municipal Value Fund
NUV
$1.91B
$4.73M 0.31%
+494,392
New +$4.85M
NIQ
92
DELISTED
NUVEEN INTERMEDIATE DURATION QUALITY MUNICIPAL TERM FUND
NIQ
$4.63M 0.3%
+376,671
New +$4.8M
EHI
93
Western Asset Global High Income Fund
EHI
$178M
$4.58M 0.3%
465,796
+132,341
+40% +$1.29M
GDX icon
94
VanEck Gold Miners ETF
GDX
$27.4B
$4.37M 0.29%
209,517
– –
ICB
95
DELISTED
Morgan Stanley Income Sec. Inc
ICB
$4.13M 0.27%
230,385
– –
BGH
96
Barings Global Short Duration High Yield Fund
BGH
$287M
$3.94M 0.26%
204,618
-49,401
-19% -$912K
GECC icon
97
Great Elm Capital Corp
GECC
$81.7M
$3.91M 0.26%
+55,836
New +$3.64M
GDO
98
Western Asset Global Corporate Defined Opportunity Fund
GDO
$77.4M
$3.88M 0.25%
226,484
-182,158
-45% -$3.11M
VGI
99
Virtus Global Multi-Sector Income Fund
VGI
$83.7M
$3.84M 0.25%
250,676
+55,922
+29% +$855K
GDL
100
GDL Fund
GDL
$92.1M
$3.79M 0.25%
385,272
+1,800
+0.5% +$17.6K
2 3
4
5 6

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Rivernorth Capital Management's Q4 2016 Portfolio in Review

As of Q4 2016, Rivernorth Capital Management held 179 positions worth $1.53B, up 11% from $1.38B the previous quarter. Its ten largest holdings account for 27% of the portfolio.

Rivernorth Capital Management deployed $159M of net new capital in Q4 2016, opening 40 new positions and adding to 50 existing holdings. Its largest new stake was Brookfield Real Assets Income Fund: 1,930,681 shares worth $43.1M.

By sector, the portfolio is most concentrated in Financials at 5% of assets, up from 3.5% a quarter earlier.

On the sell side, the largest reduction was American Capital Ltd, an estimated $18.6M trimmed.

  • Rivernorth Capital Management's largest Q4 2016 buy was Brookfield Real Assets Income Fund: 1,930,681 shares worth $43.1M.
  • Rivernorth Capital Management added most to Nuveen AMT-Free Quality Municipal Income Fund in Q4 2016, an estimated $41.1M increase.
  • Rivernorth Capital Management's biggest Q4 2016 reduction was American Capital Ltd, cutting an estimated $18.6M.
  • Rivernorth Capital Management fully exited State Street SPDR S&P 500 ETF Trust in Q4 2016, selling an estimated $23.9M.
  • Rivernorth Capital Management's ten largest holdings make up 27% of its $1.53B portfolio in Q4 2016.
  • Rivernorth Capital Management opened 40 new positions and closed 28 in Q4 2016.
  • Rivernorth Capital Management's portfolio value rose 11% quarter-over-quarter to $1.53B.

Based on Rivernorth Capital Management's 13F filing for Q4 2016, filed 14 Feb 2017.