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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
RIT
101
DELISTED
LMP REAL ESTATE INCOME FUND INC. COM
RIT
$4.08M 0.27%
325,000
– –
PIM
102
Franklin Master Intermediate Income Trust
PIM
$151M
$4.03M 0.27%
837,741
-15,098
-2% -$75K
CTR
103
DELISTED
ClearBridge MLP and Midstream Total Return Fund Inc.
CTR
$3.95M 0.26%
36,961
+26,166
+242% +$2.85M
NSLR
104
Neostellar Capital Corp
NSLR
$254M
$3.84M 0.26%
685,658
+302,664
+79% +$1.87M
ACP
105
abrdn Income Credit Strategies Fund
ACP
$637M
$3.84M 0.25%
262,370
+51,860
+25% +$803K
DSE
106
DELISTED
Duff & Phelps Select MLP and Midstream Energy Fund Inc.
DSE
$3.82M 0.25%
+26,933
New +$4.29M
BDJ icon
107
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.73B
$3.8M 0.25%
467,994
-142,194
-23% -$1.17M
NIQ
108
DELISTED
NUVEEN INTERMEDIATE DURATION QUALITY MUNICIPAL TERM FUND
NIQ
$3.69M 0.24%
291,453
-6,039
-2% -$76.9K
HYB
109
DELISTED
New America High Income Fund, Inc.
HYB
$3.68M 0.24%
411,832
+41,465
+11% +$386K
NQS
110
DELISTED
NUVEEN SELECT QUALITY MUNI FD
NQS
$3.63M 0.24%
260,407
+24,200
+10% +$335K
NZF icon
111
Nuveen Municipal Credit Income Fund
NZF
$2.45B
$3.52M 0.23%
255,186
+23,319
+10% +$320K
LCM
112
DELISTED
Advent/Claymore Enhanced Gth & F
LCM
$3.48M 0.23%
391,499
+73,292
+23% +$672K
MFIC icon
113
MidCap Financial Investment
MFIC
$804M
$3.48M 0.23%
+156,382
New +$3.74M
IGR
114
CBRE Global Real Estate Income Fund
IGR
$713M
$3.48M 0.23%
386,524
-25,700
-6% -$224K
JMT
115
DELISTED
Nuveen Mortgage Opportunity Term Fund 2
JMT
$3.38M 0.22%
145,788
– –
AGC
116
DELISTED
Advent Claymore Conv Sec & Incme
AGC
$3.37M 0.22%
535,237
+201,569
+60% +$1.31M
FTT
117
DELISTED
FEDERATED ENHANCED TREAS INCM FD COM BEN INTEREST
FTT
$3.31M 0.22%
248,309
– –
MVC
118
DELISTED
MVC Capital, Inc.
MVC
$3.31M 0.22%
+336,347
New +$3.63M
IQI icon
119
Invesco Quality Municipal Securities
IQI
$534M
$3.24M 0.21%
259,173
– –
PMO
120
Franklin Municipal Opportunities Trust
PMO
$285M
$3.2M 0.21%
267,201
+17,201
+7% +$204K
EFF
121
DELISTED
EATON VANCE FLOATING-RATE INCOME PLUS FUND
EFF
$3.2M 0.21%
198,206
+3,044
+2% +$51.3K
KMF
122
DELISTED
Kayne Anderson NextGen Energy & Infrastructure, Inc.
KMF
$3.13M 0.21%
+91,855
New +$3.3M
GHI
123
DELISTED
GLOBAL HIGH INCOME FUND INC.
GHI
$3.12M 0.21%
353,655
+34,454
+11% +$322K
ABE
124
DELISTED
Aberdeen Emerging Markets Smaller Company Opportunities Fund
ABE
$3.11M 0.21%
237,987
– –
EVF
125
Eaton Vance Senior Income Trust
EVF
$90.5M
$3.05M 0.2%
488,157
+254,081
+109% +$1.62M
3 4
5
6 7

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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.