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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
-0.37%
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
$1.2B
AUM Growth
-$71.2M
Cap. Flow
-$66.9M
Cap. Flow %
-5.58%
Top 10 Hldgs %
30.99%
Holding
261
New
52
Increased
65
Reduced
44
Closed
48

Top Buys

Rank Stock Value
1
CLM icon
Cornerstone Strategic Value Fund
CLM
+$21.6M
2
NTG
Tortoise Midstream Energy Fund, Inc. Common Stock
NTG
+$17.5M
3
CRF
Cornerstone Total Return Fund
CRF
+$8.55M
4
PCF
High Income Securities Fund
PCF
+$6.75M
5
AVK
Advent Convertible and Income Fund
AVK
+$5.73M

Top Sells

Rank Stock Value
1
MZF
Managed Duration Inv Grd Muni Fd
MZF
+$14.8M
2
RA
Brookfield Real Assets Income Fund
RA
+$13.6M
3
USA icon
Liberty All-Star Equity Fund
USA
+$13M
4
HYT icon
BlackRock Corporate High Yield Fund
HYT
+$12.2M
5
AOD
abrdn Total Dynamic Dividend Fund
AOD
+$8.26M

Sector Composition

Rank Sector Weight
1 Financials 2.31%
2 Consumer Discretionary 1.27%
3 Technology 1.03%
4 Healthcare 0.65%
5 Communication Services 0.5%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BFZ
76
DELISTED
BlackRock CA Municipal Income Trust
BFZ
$3.31M 0.28%
268,204
+159,308
+146% +$2.03M
NIQ
77
DELISTED
NUVEEN INTERMEDIATE DURATION QUALITY MUNICIPAL TERM FUND
NIQ
$3.26M 0.27%
264,470
-257,627
-49% -$3.22M
OHAI
78
DELISTED
OHA Investment Corporation
OHAI
$3.25M 0.27%
2,132,087
– –
NRCG
79
DELISTED
NRC Group Holdings Corp.
NRCG
$3.17M 0.26%
310,904
– –
BGIO
80
DELISTED
BlackRock 2022 Global Income Opportunity Trust
BGIO
$3.13M 0.26%
350,086
+173,987
+99% +$1.56M
TKKSU
81
DELISTED
TKK Symphony Acquisition Corporation Unit
TKKSU
$3.03M 0.25%
+300,000
New +$3.02M
KXIN icon
82
Kaixin Holdings
KXIN
$8.75M
$3.02M 0.25%
1
– –
LACQ
83
DELISTED
Leisure Acquisition Corp.
LACQ
$2.99M 0.25%
306,594
+81,438
+36% +$790K
HYAC
84
DELISTED
Haymaker Acquisition Corp. Class A Common Stock
HYAC
$2.88M 0.24%
294,996
+75,392
+34% +$738K
EVM
85
DELISTED
Eaton Vance California Municipal Bond Fund
EVM
$2.88M 0.24%
288,880
+135,920
+89% +$1.39M
BSE
86
DELISTED
BLACKROCK NEW YORK MUNICIPAL INCOME QUALITY TRUST
BSE
$2.49M 0.21%
+200,228
New +$2.51M
BFI
87
DELISTED
BurgerFi International, Inc. Common Stock
BFI
$2.46M 0.21%
250,000
+5,323
+2% +$52.1K
GDO
88
Western Asset Global Corporate Defined Opportunity Fund
GDO
$77.3M
$2.41M 0.2%
148,770
+32,509
+28% +$535K
NRXP icon
89
NRX Pharmaceuticals
NRXP
$143M
$2.4M 0.2%
24,000
+5,992
+33% +$596K
MXE
90
Mexico Equity and Income Fund
MXE
$59.6M
$2.4M 0.2%
195,396
+8,128
+4% +$92.1K
IFN
91
Aberdeen India Fund
IFN
$504M
$2.35M 0.2%
106,050
-1,400
-1% -$34.4K
NBO
92
DELISTED
Neuberger Berman New York Municipal Fund Inc.
NBO
$2.35M 0.2%
+205,539
New +$2.38M
MMDM
93
DELISTED
Modern Media Acquisition Corp. Common Stock
MMDM
$2.3M 0.19%
228,000
– –
FRMM
94
Forum Markets
FRMM
$83.2M
$2.23M 0.19%
58
– –
HPK icon
95
HighPeak Energy
HPK
$1B
$2.18M 0.18%
224,996
+24,216
+12% +$234K
BROG
96
DELISTED
Brooge Energy
BROG
$2.16M 0.18%
+225,000
New +$2.15M
TYG
97
Tortoise Energy Infrastructure Corp
TYG
$1.08B
$1.99M 0.17%
18,460
-11,389
-38% -$1.27M
BIOX icon
98
Bioceres Crop Solutions
BIOX
$22.8M
$1.95M 0.16%
200,000
+4,994
+3% +$48.5K
ID
99
DELISTED
PARTS iD, Inc.
ID
$1.94M 0.16%
200,000
+49,701
+33% +$480K
HYMC icon
100
Hycroft Mining Holding Corp
HYMC
$2.54B
$1.94M 0.16%
20,000
+881
+5% +$85.2K
2 3
4
5 6

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Rivernorth Capital Management's Q3 2018 Portfolio in Review

As of Q3 2018, Rivernorth Capital Management held 261 positions worth $1.2B, down 5.6% from $1.27B the previous quarter. Its ten largest holdings account for 31% of the portfolio.

Rivernorth Capital Management withdrew a net $66.9M in Q3 2018, closing 48 positions and reducing 44 holdings. Its most notable exit was Managed Duration Inv Grd Muni Fd, an estimated $14.8M position sold in full.

By sector, the portfolio is most concentrated in Financials at 2.3% of assets, down from 2.7% a quarter earlier, followed by Consumer Discretionary and Technology.

Against the trend, Rivernorth Capital Management opened a new position in Cornerstone Strategic Value Fund worth $21.5M.

  • Rivernorth Capital Management's largest Q3 2018 buy was Cornerstone Strategic Value Fund: 1,558,375 shares worth $21.5M.
  • Rivernorth Capital Management added most to High Income Securities Fund in Q3 2018, an estimated $6.75M increase.
  • Rivernorth Capital Management's biggest Q3 2018 reduction was Liberty All-Star Equity Fund, cutting an estimated $13M.
  • Rivernorth Capital Management fully exited Managed Duration Inv Grd Muni Fd in Q3 2018, selling an estimated $14.8M.
  • Rivernorth Capital Management's ten largest holdings make up 31% of its $1.2B portfolio in Q3 2018.
  • Rivernorth Capital Management opened 52 new positions and closed 48 in Q3 2018.
  • Rivernorth Capital Management's portfolio value fell 5.6% quarter-over-quarter to $1.2B.

Based on Rivernorth Capital Management's 13F filing for Q3 2018, filed 15 Nov 2018.