RCM

Rivernorth Capital Management Portfolio holdings

AUM $1.81B
This Quarter Return
+3.4%
1 Year Return
-0.33%
3 Year Return
+6.11%
5 Year Return
+5.61%
10 Year Return
+4.07%
AUM
$1.55B
AUM Growth
+$1.55B
Cap. Flow
-$132M
Cap. Flow %
-8.51%
Top 10 Hldgs %
28.65%
Holding
179
New
8
Increased
63
Reduced
56
Closed
30

Top Buys

1
ZF
Virtus Total Return Fund Inc.
ZF
$7.12M
2
BRW
Saba Capital Income & Opportunities Fund
BRW
$6.77M
3
EMD
Western Asset Emerging Markets
EMD
$5.03M
4
AVK
Advent Convertible and Income Fund
AVK
$5.02M
5
RVT icon
Royce Value Trust
RVT
$4.74M

Top Sells

1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
$21.2M
2
ACAS
American Capital Ltd
ACAS
$19.5M
3
PCEF icon
Invesco CEF Income Composite ETF
PCEF
$14.9M
4
AWF
AllianceBernstein Global High Income Fund
AWF
$10.7M
5
NMA
NUVEEN MUNI ADVANTAGE FUND
NMA
$9.22M

Sector Composition

1 Financials 3.18%
2 Real Estate 0%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
GDF
101
DELISTED
WESTERN ASSET GLB PARTNERS INCM FUND INC. COM
GDF
$3.74M 0.24% 437,094 +39,351 +10% +$337K
CIF
102
MFS Intermediate High Income Fund
CIF
$31.3M
$3.68M 0.24% 1,490,293 +234,894 +19% +$580K
BLW icon
103
BlackRock Limited Duration Income Trust
BLW
$549M
$3.65M 0.24% 239,545 – –
JSD
104
DELISTED
NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND
JSD
$3.64M 0.24% 231,649 -7,365 -3% -$116K
AFT
105
DELISTED
Apollo Senior Floating Rate Fund Inc.
AFT
$3.64M 0.24% 230,426 +43,307 +23% +$684K
CBA
106
DELISTED
ClearBridge American Energy MLP
CBA
$3.6M 0.23% 415,634 -119,470 -22% -$1.03M
IWM icon
107
iShares Russell 2000 ETF
IWM
$67B
$3.45M 0.22% 30,000 – –
HHY
108
DELISTED
Brookfield High Income Fund Inc.
HHY
$3.43M 0.22% 475,368 +189,056 +66% +$1.36M
CHY
109
Calamos Convertible and High Income Fund
CHY
$869M
$3.33M 0.22% 313,808 +13,222 +4% +$140K
PHD
110
Pioneer Floating Rate Fund
PHD
$123M
$3.3M 0.21% 293,106 -2,400 -0.8% -$27K
EHI
111
Western Asset Global High Income Fund
EHI
$201M
$3.27M 0.21% 337,019 -373,489 -53% -$3.63M
JMT
112
DELISTED
Nuveen Mortgage Opportunity Term Fund 2
JMT
$3.25M 0.21% 145,812 +1,499 +1% +$33.4K
ABE
113
DELISTED
Aberdeen Emerging Markets Smaller Company Opportunities Fund, Inc.
ABE
$3.24M 0.21% 268,587 +21,100 +9% +$254K
GARS
114
DELISTED
Garrison Capital Inc.
GARS
$2.97M 0.19% 293,839 +186,987 +175% +$1.89M
FHY
115
DELISTED
First Trust Strategic High
FHY
$2.91M 0.19% 243,641 – –
PHF
116
DELISTED
Pacholder High Yield
PHF
$2.91M 0.19% +411,366 New +$2.91M
CHW
117
Calamos Global Dynamic Income Fund
CHW
$467M
$2.69M 0.17% 382,637 -58,474 -13% -$410K
JRO
118
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$2.59M 0.17% 252,601 -250,891 -50% -$2.57M
VLT icon
119
Invesco High Income Trust II
VLT
$72.5M
$2.51M 0.16% 182,186 +46,909 +35% +$645K
NMO
120
DELISTED
NUVEEN MUNI MARKET OPPORT FUND
NMO
$2.43M 0.16% 160,857 -244,213 -60% -$3.68M
JGV
121
DELISTED
NUVEEN GLOBAL EQUITY INCOME FUND
JGV
$2.41M 0.16% +206,386 New +$2.41M
SPE
122
Special Opportunities Fund
SPE
$167M
$2.37M 0.15% 172,332 +12,700 +8% +$175K
EDI
123
DELISTED
Virtus Stone Harbor Emerging Markets Total Income Fund
EDI
$2.35M 0.15% 178,074 -363,953 -67% -$4.81M
TLI
124
DELISTED
Western Asset Corporate Loan Fund Inc.
TLI
$2.25M 0.15% 217,228 +17,744 +9% +$184K
CEE
125
Central and Eastern Europe Fund
CEE
$105M
$2.24M 0.14% 122,057 -10,394 -8% -$190K
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5
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