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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
+0.75%
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
$1.76B
AUM Growth
+$131M
Cap. Flow
+$95.5M
Cap. Flow %
5.44%
Top 10 Hldgs %
28.21%
Holding
219
New
21
Increased
90
Reduced
49
Closed
21

Top Buys

Rank Stock Value
1
ACAS
American Capital Ltd
ACAS
+$29.3M
2
OCSL icon
Oaktree Specialty Lending
OCSL
+$21.2M
3
KYN icon
Kayne Anderson Energy Infrastructure Fund
KYN
+$16.2M
4
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$14.6M
5
NCZ
Virtus Convertible & Income Fund II
NCZ
+$13.3M

Top Sells

Rank Stock Value
1
HCF
NEXPOINT CREDIT STRATEGIES FUND
HCF
+$29.4M
2
NPM
NUVEEN PREMIUM INCM MUNI FD II
NPM
+$16.5M
3
VMO icon
Invesco Municipal Opportunity Trust
VMO
+$7.57M
4
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$5.56M
5
NBB icon
Nuveen Taxable Municipal Income Fund
NBB
+$5.46M

Sector Composition

Rank Sector Weight
1 Financials 8.56%
2 Real Estate 0.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GLV
101
Clough Global Dividend & Income Fund
GLV
$78.1M
$4.94M 0.28%
367,361
-31,827
-8% -$421K
VGI
102
Virtus Global Multi-Sector Income Fund
VGI
$83.7M
$4.76M 0.27%
336,675
– –
SGL
103
DELISTED
STRATEGIC GLOBAL INCOME FUND
SGL
$4.66M 0.27%
531,762
– –
IGR
104
CBRE Global Real Estate Income Fund
IGR
$713M
$4.62M 0.26%
605,151
+179,927
+42% +$1.38M
OHAI
105
DELISTED
OHA Investment Corporation
OHAI
$4.58M 0.26%
1,204,774
+759,321
+170% +$3.2M
NTG
106
DELISTED
Tortoise Midstream Energy Fund, Inc. Common Stock
NTG
$4.53M 0.26%
26,102
+14,001
+116% +$2.35M
CBA
107
DELISTED
ClearBridge American Energy MLP
CBA
$4.39M 0.25%
535,704
-40,749
-7% -$404K
SLRC icon
108
SLR Investment Corp
SLRC
$715M
$4.34M 0.25%
263,952
+42,802
+19% +$737K
RNP icon
109
Cohen & Steers REIT and Preferred and Income Fund
RNP
$989M
$4.33M 0.25%
235,070
+12,131
+5% +$217K
AVK
110
Advent Convertible and Income Fund
AVK
$563M
$4.33M 0.25%
328,602
+215,297
+190% +$2.88M
NBD
111
DELISTED
Nuveen Build Am Bond Opp Fd
NBD
$4.27M 0.24%
210,615
– –
SAR icon
112
Saratoga Investment
SAR
$322M
$4.22M 0.24%
273,860
+56,645
+26% +$887K
RIT
113
DELISTED
LMP REAL ESTATE INCOME FUND INC. COM
RIT
$4.21M 0.24%
322,866
-14,455
-4% -$185K
FULL
114
DELISTED
Full Circle Capital Corporation
FULL
$4.19M 0.24%
1,694,623
+104,783
+7% +$307K
ACP
115
abrdn Income Credit Strategies Fund
ACP
$637M
$4.16M 0.24%
378,622
+44,670
+13% +$533K
FRA icon
116
BlackRock Floating Rate Income Strategies Fund
FRA
$385M
$4.14M 0.24%
321,085
+11,800
+4% +$151K
SBW
117
DELISTED
Western Asset Worldwide Income
SBW
$3.9M 0.22%
386,959
– –
ICB
118
DELISTED
Morgan Stanley Income Sec. Inc
ICB
$3.89M 0.22%
230,385
– –
KHI
119
DELISTED
Deutsche High Income Trust
KHI
$3.88M 0.22%
487,764
– –
GDL
120
GDL Fund
GDL
$92.1M
$3.87M 0.22%
386,464
– –
BSL
121
Blackstone Senior Floating Rate 2027 Term Fund
BSL
$170M
$3.8M 0.22%
255,658
+8,119
+3% +$126K
NZF icon
122
Nuveen Municipal Credit Income Fund
NZF
$2.45B
$3.66M 0.21%
255,186
– –
NQS
123
DELISTED
NUVEEN SELECT QUALITY MUNI FD
NQS
$3.66M 0.21%
260,407
– –
PHD
124
DELISTED
Pioneer Floating Rate Fund
PHD
$3.57M 0.2%
329,169
+29,056
+10% +$316K
BLW icon
125
BlackRock Limited Duration Income Trust
BLW
$493M
$3.46M 0.2%
237,198
+61,080
+35% +$884K
3 4
5
6 7

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Rivernorth Capital Management's Q4 2015 Portfolio in Review

As of Q4 2015, Rivernorth Capital Management held 219 positions worth $1.76B, up 8% from $1.63B the previous quarter. Its ten largest holdings account for 28% of the portfolio.

Rivernorth Capital Management deployed $95.5M of net new capital in Q4 2015, opening 21 new positions and adding to 90 existing holdings. Its largest new stake was Kayne Anderson Energy Infrastructure Fund: 814,633 shares worth $14.1M.

By sector, the portfolio is most concentrated in Financials at 8.6% of assets, up from 7.4% a quarter earlier, followed by Real Estate.

On the sell side, the largest reduction was NEXPOINT CREDIT STRATEGIES FUND, an estimated $29.4M trimmed.

  • Rivernorth Capital Management's largest Q4 2015 buy was Kayne Anderson Energy Infrastructure Fund: 814,633 shares worth $14.1M.
  • Rivernorth Capital Management added most to American Capital Ltd in Q4 2015, an estimated $29.3M increase.
  • Rivernorth Capital Management's biggest Q4 2015 reduction was NEXPOINT CREDIT STRATEGIES FUND, cutting an estimated $29.4M.
  • Rivernorth Capital Management fully exited Invesco Municipal Opportunity Trust in Q4 2015, selling an estimated $7.57M.
  • Rivernorth Capital Management's ten largest holdings make up 28% of its $1.76B portfolio in Q4 2015.
  • Rivernorth Capital Management opened 21 new positions and closed 21 in Q4 2015.
  • Rivernorth Capital Management's portfolio value rose 8% quarter-over-quarter to $1.76B.

Based on Rivernorth Capital Management's 13F filing for Q4 2015, filed 16 Feb 2016.