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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
-8.89%
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
$1.63B
AUM Growth
+$14.2M
Cap. Flow
+$169M
Cap. Flow %
10.42%
Top 10 Hldgs %
26.02%
Holding
212
New
32
Increased
101
Reduced
30
Closed
14

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$32.2M
2
FAX
abrdn Asia-Pacific Income Fund
FAX
+$13.8M
3
ACAS
American Capital Ltd
ACAS
+$10.5M
4
OCSL icon
Oaktree Specialty Lending
OCSL
+$9.41M
5
GHY
PGIM Global High Yield Fund
GHY
+$7.85M

Top Sells

Rank Stock Value
1
PPT
Franklin Premier Income Trust
PPT
+$14.3M
2
OEF icon
iShares S&P 100 ETF
OEF
+$14M
3
BTT icon
BlackRock Municipal 2030 Target Term Trust
BTT
+$9.34M
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$7.07M
5
CTF
Nuveen Long/Short Commodity Fd
CTF
+$7.06M

Sector Composition

Rank Sector Weight
1 Financials 7.4%
2 Real Estate 0.16%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PNNT
101
Pennant Park Investment Corp
PNNT
$242M
$4.85M 0.3%
+750,123
New +$5.77M
VGI
102
Virtus Global Multi-Sector Income Fund
VGI
$83.9M
$4.81M 0.3%
336,675
– –
ARCC icon
103
Ares Capital
ARCC
$14.2B
$4.69M 0.29%
+323,598
New +$5.08M
KMM
104
DELISTED
Deutsche Multi-Market Incm Trust
KMM
$4.46M 0.27%
604,145
+413,085
+216% +$3.18M
SGL
105
DELISTED
STRATEGIC GLOBAL INCOME FUND
SGL
$4.22M 0.26%
531,762
– –
ACP
106
abrdn Income Credit Strategies Fund
ACP
$637M
$4.15M 0.26%
333,952
+57,894
+21% +$765K
RIT
107
DELISTED
LMP REAL ESTATE INCOME FUND INC. COM
RIT
$4.14M 0.25%
337,321
– –
NBD
108
DELISTED
Nuveen Build Am Bond Opp Fd
NBD
$4.09M 0.25%
210,615
– –
ICB
109
DELISTED
Morgan Stanley Income Sec. Inc
ICB
$4M 0.25%
230,385
+9,687
+4% +$168K
FRA icon
110
BlackRock Floating Rate Income Strategies Fund
FRA
$386M
$4M 0.25%
309,285
+73,159
+31% +$967K
BSL
111
Blackstone Senior Floating Rate 2027 Term Fund
BSL
$170M
$3.93M 0.24%
247,539
+123,293
+99% +$2.04M
BTT icon
112
BlackRock Municipal 2030 Target Term Trust
BTT
$1.44B
$3.89M 0.24%
190,956
-455,443
-70% -$9.34M
RNP icon
113
Cohen & Steers REIT and Preferred and Income Fund
RNP
$979M
$3.86M 0.24%
222,939
+110,449
+98% +$1.94M
KHI
114
DELISTED
Deutsche High Income Trust
KHI
$3.83M 0.24%
487,764
+4,000
+0.8% +$32.9K
SBW
115
DELISTED
Western Asset Worldwide Income
SBW
$3.8M 0.23%
386,959
+8,920
+2% +$91.8K
FUND
116
Sprott Focus Trust
FUND
$312M
$3.79M 0.23%
642,169
+8,590
+1% +$55.5K
GDL
117
GDL Fund
GDL
$92.3M
$3.79M 0.23%
386,464
+6,975
+2% +$70.4K
GFY
118
DELISTED
Western Asset Variable Rate Strategic Fund, Inc
GFY
$3.65M 0.22%
234,971
+82,836
+54% +$1.34M
VVR icon
119
Invesco Senior Income Trust
VVR
$456M
$3.55M 0.22%
849,889
+218,241
+35% +$951K
SAR icon
120
Saratoga Investment
SAR
$320M
$3.51M 0.22%
217,215
+82,511
+61% +$1.37M
SLRC icon
121
SLR Investment Corp
SLRC
$704M
$3.5M 0.22%
+221,150
New +$3.9M
NQS
122
DELISTED
NUVEEN SELECT QUALITY MUNI FD
NQS
$3.48M 0.21%
260,407
– –
NZF icon
123
Nuveen Municipal Credit Income Fund
NZF
$2.44B
$3.46M 0.21%
255,186
– –
PHD
124
DELISTED
Pioneer Floating Rate Fund
PHD
$3.4M 0.21%
300,113
+37,242
+14% +$426K
LCM
125
DELISTED
Advent/Claymore Enhanced Gth & F
LCM
$3.35M 0.21%
408,091
+16,592
+4% +$145K
3 4
5
6 7

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Rivernorth Capital Management's Q3 2015 Portfolio in Review

As of Q3 2015, Rivernorth Capital Management held 212 positions worth $1.63B, up 0.88% from $1.61B the previous quarter. Its ten largest holdings account for 26% of the portfolio.

Rivernorth Capital Management deployed $169M of net new capital in Q3 2015, opening 32 new positions and adding to 101 existing holdings. Its largest new stake was JP Morgan Alerian MLP Index ETN 5/24/24: 211,452 shares worth $6.43M.

By sector, the portfolio is most concentrated in Financials at 7.4% of assets, up from 5.5% a quarter earlier, followed by Real Estate.

On the sell side, the largest reduction was iShares S&P 100 ETF, an estimated $14M trimmed.

  • Rivernorth Capital Management's largest Q3 2015 buy was JP Morgan Alerian MLP Index ETN 5/24/24: 211,452 shares worth $6.43M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q3 2015, an estimated $32.2M increase.
  • Rivernorth Capital Management's biggest Q3 2015 reduction was iShares S&P 100 ETF, cutting an estimated $14M.
  • Rivernorth Capital Management fully exited Franklin Premier Income Trust in Q3 2015, selling an estimated $14.3M.
  • Rivernorth Capital Management's ten largest holdings make up 26% of its $1.63B portfolio in Q3 2015.
  • Rivernorth Capital Management opened 32 new positions and closed 14 in Q3 2015.
  • Rivernorth Capital Management's portfolio value rose 0.88% quarter-over-quarter to $1.63B.

Based on Rivernorth Capital Management's 13F filing for Q3 2015, filed 16 Nov 2015.