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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
-0.32%
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
$950M
AUM Growth
+$52M
Cap. Flow
+$50.3M
Cap. Flow %
5.29%
Top 10 Hldgs %
28.58%
Holding
211
New
46
Increased
83
Reduced
39
Closed
23

Top Buys

Rank Stock Value
1
NPM
NUVEEN PREMIUM INCM MUNI FD II
NPM
+$7.94M
2
VOO icon
Vanguard S&P 500 ETF
VOO
+$7.42M
3
BIT icon
BlackRock Multi-Sector Income Trust
BIT
+$7.01M
4
NID
NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND
NID
+$6.81M
5
NPP
NUVEEN PERFORMANCE+MUN FUND
NPP
+$5.28M

Top Sells

Rank Stock Value
1
EXG icon
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
+$8.99M
2
ETW
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
ETW
+$7.23M
3
USA icon
Liberty All-Star Equity Fund
USA
+$5.6M
4
GHY
PGIM Global High Yield Fund
GHY
+$5.6M
5
DNP icon
DNP Select Income Fund
DNP
+$5.42M

Sector Composition

Rank Sector Weight
1 Financials 4.04%
2 Technology 0.05%
3 Energy 0.04%
4 Materials 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AVK
101
Advent Convertible and Income Fund
AVK
$563M
$1.74M 0.18%
101,552
-141,532
-58% -$2.4M
NRO
102
Neuberger Real Estate Securities Income Fund Inc
NRO
$190M
$1.73M 0.18%
400,406
+189,369
+90% +$833K
FHY
103
DELISTED
First Trust Strategic High
FHY
$1.73M 0.18%
108,545
+13,000
+14% +$202K
FTF
104
Franklin Limited Duration Income Trust
FTF
$233M
$1.71M 0.18%
+131,325
New +$1.68M
RNP icon
105
Cohen & Steers REIT and Preferred and Income Fund
RNP
$989M
$1.7M 0.18%
+109,526
New +$1.78M
JMT
106
DELISTED
Nuveen Mortgage Opportunity Term Fund 2
JMT
$1.67M 0.18%
+69,682
New +$1.67M
LBF
107
DELISTED
Deutsche Global High Incm Fund
LBF
$1.65M 0.17%
205,534
– –
GUT
108
Gabelli Utility Trust
GUT
$559M
$1.55M 0.16%
251,056
-242,298
-49% -$1.54M
CHW
109
Calamos Global Dynamic Income Fund
CHW
$545M
$1.55M 0.16%
+182,081
New +$1.53M
BGB
110
Blackstone Strategic Credit 2027 Term Fund
BGB
$503M
$1.49M 0.16%
+84,176
New +$1.53M
ABE
111
DELISTED
Aberdeen Emerging Markets Smaller Company Opportunities Fund
ABE
$1.48M 0.16%
76,239
– –
RNE
112
DELISTED
MORGAN STLY EASTEURO FD
RNE
$1.45M 0.15%
77,812
-90,036
-54% -$1.56M
MQT
113
DELISTED
BlackRock MuniYield Quality Fund II
MQT
$1.42M 0.15%
114,705
+73,685
+180% +$879K
BNA
114
DELISTED
BLACKROCK INCOME OPPORTUNITY TRUST INC
BNA
$1.34M 0.14%
135,034
+62,508
+86% +$612K
NIQ
115
DELISTED
NUVEEN INTERMEDIATE DURATION QUALITY MUNICIPAL TERM FUND
NIQ
$1.34M 0.14%
116,238
+74,598
+179% +$862K
MSD
116
Morgan Stanley Emerging Markets Debt Fund
MSD
$148M
$1.33M 0.14%
133,359
+22,157
+20% +$220K
SGL
117
DELISTED
STRATEGIC GLOBAL INCOME FUND
SGL
$1.28M 0.13%
137,633
+78,118
+131% +$715K
SPY icon
118
State Street SPDR S&P 500 ETF Trust
SPY
$810B
$1.26M 0.13%
7,500
-8,000
-52% -$1.34M
MMT
119
Aberdeen Multi-Market Income Fund
MMT
$243M
$1.22M 0.13%
+184,506
New +$1.19M
GT.PRA
120
DELISTED
GOODYEAR TIRE & RUBR CO PFD CONV (OH)
GT.PRA
$1.2M 0.13%
18,900
– –
NPF
121
DELISTED
NUVEEN PREMIER MUNI INCOME FD
NPF
$1.18M 0.12%
+91,400
New +$1.15M
MUS
122
DELISTED
BLACKROCK MUNIHOLDINGS QUALITY FUND, INC.
MUS
$1.16M 0.12%
+93,295
New +$1.12M
HSA
123
DELISTED
HELIOS STRATEGIC INCOME FD, INC
HSA
$1.13M 0.12%
177,271
– –
DMO
124
Western Asset Mortgage Opportunity Fund
DMO
$120M
$1.06M 0.11%
47,050
-28,907
-38% -$641K
PCF
125
High Income Securities Fund
PCF
$99.9M
$1.04M 0.11%
132,648
+2,094
+2% +$16.3K
3 4
5
6 7

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Rivernorth Capital Management's Q3 2013 Portfolio in Review

As of Q3 2013, Rivernorth Capital Management held 211 positions worth $950M, up 5.8% from $898M the previous quarter. Its ten largest holdings account for 29% of the portfolio.

Rivernorth Capital Management deployed $50.3M of net new capital in Q3 2013, opening 46 new positions and adding to 83 existing holdings. Its largest new stake was CORNERSTONE PROGRESSIVE RETURN FD COM: 205,617 shares worth $4.22M.

By sector, the portfolio is most concentrated in Financials at 4% of assets, down from 4.1% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund, an estimated $7.23M trimmed.

  • Rivernorth Capital Management's largest Q3 2013 buy was CORNERSTONE PROGRESSIVE RETURN FD COM: 205,617 shares worth $4.22M.
  • Rivernorth Capital Management added most to NUVEEN PREMIUM INCM MUNI FD II in Q3 2013, an estimated $7.94M increase.
  • Rivernorth Capital Management's biggest Q3 2013 reduction was Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund, cutting an estimated $7.23M.
  • Rivernorth Capital Management fully exited Eaton Vance Tax-Managed Global Diversified Equity Income Fund in Q3 2013, selling an estimated $8.99M.
  • Rivernorth Capital Management's ten largest holdings make up 29% of its $950M portfolio in Q3 2013.
  • Rivernorth Capital Management opened 46 new positions and closed 23 in Q3 2013.
  • Rivernorth Capital Management's portfolio value rose 5.8% quarter-over-quarter to $950M.

Based on Rivernorth Capital Management's 13F filing for Q3 2013, filed 14 Nov 2013.