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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
+1.27%
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
$1.31B
AUM Growth
-$135M
Cap. Flow
-$154M
Cap. Flow %
-11.81%
Top 10 Hldgs %
33.37%
Holding
166
New
25
Increased
37
Reduced
63
Closed
26

Top Buys

Rank Stock Value
1
ARCC icon
Ares Capital
ARCC
+$19.1M
2
BRW
Saba Capital Income & Opportunities Fund
BRW
+$10.4M
3
CGBD icon
Carlyle Secured Lending
CGBD
+$5.76M
4
LCM
Advent/Claymore Enhanced Gth & F
LCM
+$5.33M
5
BRQS
Borqs Technologies, Inc. Ordinary Shares
BRQS
+$5.06M

Top Sells

Rank Stock Value
1
ERC
Allspring Multi-Sector Income Fund
ERC
+$17.4M
2
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$15M
3
GLO
Clough Global Opportunities Fund
GLO
+$13M
4
RA
Brookfield Real Assets Income Fund
RA
+$11.6M
5
USA icon
Liberty All-Star Equity Fund
USA
+$9.55M

Sector Composition

Rank Sector Weight
1 Financials 5.18%
2 Technology 0.84%
3 Energy 0.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FAM
76
DELISTED
First Trust/abrdn Global Opportunity Income Fund
FAM
$4.65M 0.36%
399,086
-70,093
-15% -$831K
BCX icon
77
BlackRock Resources & Commodities Strategy Trust
BCX
$917M
$4.48M 0.34%
559,225
+39,077
+8% +$327K
GECC icon
78
Great Elm Capital Corp
GECC
$79.6M
$4.23M 0.32%
27,812
– –
ICB
79
DELISTED
Morgan Stanley Income Sec. Inc
ICB
$4.2M 0.32%
230,385
– –
FAX
80
abrdn Asia-Pacific Income Fund
FAX
$594M
$3.85M 0.29%
128,442
-148,699
-54% -$4.46M
SCD
81
LMP Capital and Income Fund
SCD
$360M
$3.83M 0.29%
269,021
-106,327
-28% -$1.52M
IGR
82
CBRE Global Real Estate Income Fund
IGR
$709M
$3.81M 0.29%
492,901
-934,434
-65% -$7.13M
EVG
83
Eaton Vance Short Duration Diversified Income Fund
EVG
$143M
$3.76M 0.29%
267,675
-59,624
-18% -$840K
FSAM
84
DELISTED
Fifth Street Asset Management Inc. Class A
FSAM
$3.52M 0.27%
+726,266
New +$3.03M
ACV
85
Virtus Diversified Income & Convertible Fund
ACV
$278M
$3.46M 0.26%
164,857
-227,537
-58% -$4.71M
AWF
86
AllianceBernstein Global High Income Fund
AWF
$872M
$3.39M 0.26%
262,115
+64,415
+33% +$822K
LGI
87
Lazard Global Total Return & Income Fund
LGI
$238M
$3.12M 0.24%
190,947
-339,818
-64% -$5.37M
JPC icon
88
Nuveen Preferred & Income Opportunities Fund
JPC
$2.9B
$3.02M 0.23%
290,354
-929,032
-76% -$9.44M
GDX icon
89
VanEck Gold Miners ETF
GDX
$25.6B
$2.99M 0.23%
135,594
-73,923
-35% -$1.68M
FSD
90
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
$2.96M 0.23%
171,784
-383,581
-69% -$6.55M
GDO
91
Western Asset Global Corporate Defined Opportunity Fund
GDO
$77.4M
$2.9M 0.22%
162,856
– –
OHAI
92
DELISTED
OHA Investment Corporation
OHAI
$2.9M 0.22%
2,283,394
+18,568
+0.8% +$26.7K
SPE
93
Special Opportunities Fund
SPE
$142M
$2.8M 0.21%
192,726
-37,441
-16% -$534K
PHF
94
DELISTED
Pacholder High Yield
PHF
$2.79M 0.21%
350,628
– –
ERC
95
Allspring Multi-Sector Income Fund
ERC
$258M
$2.56M 0.2%
191,588
-1,290,764
-87% -$17.4M
EIM
96
Eaton Vance Municipal Bond Fund
EIM
$493M
$2.49M 0.19%
196,503
-59,377
-23% -$751K
CPTAG
97
DELISTED
Capitala Finance Corp. 5.75% Convertible Notes Due 2022
CPTAG
$2.49M 0.19%
+98,300
New +$2.47M
LOR
98
DELISTED
Lazard World Dividend & Income Fund, Inc.
LOR
$2.45M 0.19%
221,974
-134,256
-38% -$1.46M
MMDMU
99
DELISTED
Modern Media Acquisition Corp. Unit
MMDMU
$2.36M 0.18%
+230,000
New +$2.35M
KBLMU
100
DELISTED
KBL Merger Corp. IV Unit
KBLMU
$2.35M 0.18%
+230,000
New +$2.31M
2 3
4
5 6

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Rivernorth Capital Management's Q2 2017 Portfolio in Review

As of Q2 2017, Rivernorth Capital Management held 166 positions worth $1.31B, down 9.3% from $1.44B the previous quarter. Its ten largest holdings account for 33% of the portfolio.

Rivernorth Capital Management withdrew a net $154M in Q2 2017, closing 26 positions and reducing 63 holdings. Its most notable exit was PIMCO Dynamic Credit and Mortgage Income Fund, an estimated $15M position sold in full.

By sector, the portfolio is most concentrated in Financials at 5.2% of assets, up from 4% a quarter earlier, followed by Technology and Energy.

Against the trend, Rivernorth Capital Management opened a new position in Carlyle Secured Lending worth $5.68M.

  • Rivernorth Capital Management's largest Q2 2017 buy was Carlyle Secured Lending: 315,143 shares worth $5.68M.
  • Rivernorth Capital Management added most to Ares Capital in Q2 2017, an estimated $19.1M increase.
  • Rivernorth Capital Management's biggest Q2 2017 reduction was Allspring Multi-Sector Income Fund, cutting an estimated $17.4M.
  • Rivernorth Capital Management fully exited PIMCO Dynamic Credit and Mortgage Income Fund in Q2 2017, selling an estimated $15M.
  • Rivernorth Capital Management's ten largest holdings make up 33% of its $1.31B portfolio in Q2 2017.
  • Rivernorth Capital Management opened 25 new positions and closed 26 in Q2 2017.
  • Rivernorth Capital Management's portfolio value fell 9.3% quarter-over-quarter to $1.31B.

Based on Rivernorth Capital Management's 13F filing for Q2 2017, filed 14 Aug 2017.