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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
+1.27%
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
$1.31B
AUM Growth
-$135M
Cap. Flow
-$154M
Cap. Flow %
-11.81%
Top 10 Hldgs %
33.37%
Holding
166
New
25
Increased
37
Reduced
63
Closed
26

Top Buys

Rank Stock Value
1
ARCC icon
Ares Capital
ARCC
+$19.1M
2
BRW
Saba Capital Income & Opportunities Fund
BRW
+$10.4M
3
CGBD icon
Carlyle Secured Lending
CGBD
+$5.76M
4
LCM
Advent/Claymore Enhanced Gth & F
LCM
+$5.33M
5
BRQS
Borqs Technologies, Inc. Ordinary Shares
BRQS
+$5.06M

Top Sells

Rank Stock Value
1
ERC
Allspring Multi-Sector Income Fund
ERC
+$17.4M
2
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$15M
3
GLO
Clough Global Opportunities Fund
GLO
+$13M
4
RA
Brookfield Real Assets Income Fund
RA
+$11.6M
5
USA icon
Liberty All-Star Equity Fund
USA
+$9.55M

Sector Composition

Rank Sector Weight
1 Financials 5.18%
2 Technology 0.84%
3 Energy 0.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HCAC.U
101
DELISTED
Hennessy Capital Acquisition Corp. III Units, each consisting of one share of Common Stock and one-h
HCAC.U
$2.26M 0.17%
+225,000
New +$2.26M
NESR
102
National Energy Services Reunited Corp
NESR
$2.91B
$2.2M 0.17%
+230,000
New +$2.19M
BGX
103
Blackstone Long-Short Credit Income Fund
BGX
$137M
$2.16M 0.17%
134,093
-235,143
-64% -$3.84M
PHUN icon
104
Phunware
PHUN
$44.6M
$2.01M 0.15%
4,000
– –
CVON
105
DELISTED
ConvergeOne Holdings, Inc. Class A Common Stock
CVON
$1.94M 0.15%
+200,000
New +$1.95M
MCN
106
Madison Covered Call & Equity Strategy Fund
MCN
$118M
$1.78M 0.14%
226,829
+118,152
+109% +$941K
ISD
107
PGIM High Yield Bond Fund
ISD
$418M
$1.65M 0.13%
+107,810
New +$1.66M
HUNTU
108
DELISTED
Hunter Maritime Acquisition Corp. Unit
HUNTU
$1.48M 0.11%
150,002
– –
USWS
109
DELISTED
U.S. Well Services, Inc. Class A Common Stock
USWS
$1.45M 0.11%
+7,143
New +$1.45M
GDL
110
GDL Fund
GDL
$92.2M
$1.39M 0.11%
135,242
-250,030
-65% -$2.51M
AGD
111
abrdn Global Dynamic Dividend Fund
AGD
$318M
$1.29M 0.1%
126,490
-530,364
-81% -$5.34M
BCACU
112
DELISTED
Bison Capital Acquisition Corp. Unit
BCACU
$1.27M 0.1%
+125,000
New +$1.27M
LBF
113
DELISTED
Deutsche Global High Incm Fund
LBF
$1.23M 0.09%
140,895
– –
IMXI icon
114
International Money Express
IMXI
$367M
$1.23M 0.09%
+125,002
New +$1.23M
CNACU
115
DELISTED
Constellation Alpha Capital Corp. Unit
CNACU
$1.22M 0.09%
+120,000
New +$1.21M
SGF
116
DELISTED
Aberdeen Singapore Fund
SGF
$1.2M 0.09%
+107,904
New +$1.19M
CXH
117
DELISTED
MFS Investment Grade Municipal Trust
CXH
$1.18M 0.09%
116,646
+6,201
+6% +$62K
FHY
118
DELISTED
First Trust Strategic High
FHY
$1.18M 0.09%
86,179
-39,324
-31% -$528K
GLV
119
Clough Global Dividend & Income Fund
GLV
$78.4M
$1.07M 0.08%
+80,353
New +$1.09M
GTYH
120
DELISTED
GTY Technology Holdings, Inc. Common Stock
GTYH
$808K 0.06%
80,001
– –
MSP
121
DELISTED
Madison Strategic Sector
MSP
$722K 0.06%
59,946
+39,025
+187% +$470K
LAQ
122
DELISTED
Aberdeen Latin America Equity Fund
LAQ
$692K 0.05%
29,892
+14,906
+99% +$352K
SOR
123
Source Capital
SOR
$383M
$683K 0.05%
+17,663
New +$674K
IF
124
DELISTED
Aberdeen Indonesia Fund
IF
$664K 0.05%
87,325
+72,425
+486% +$536K
FPT
125
DELISTED
Federated Premier Intermediate M
FPT
$597K 0.05%
43,699
-84,207
-66% -$1.13M
3 4
5
6 7

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Rivernorth Capital Management's Q2 2017 Portfolio in Review

As of Q2 2017, Rivernorth Capital Management held 166 positions worth $1.31B, down 9.3% from $1.44B the previous quarter. Its ten largest holdings account for 33% of the portfolio.

Rivernorth Capital Management withdrew a net $154M in Q2 2017, closing 26 positions and reducing 63 holdings. Its most notable exit was PIMCO Dynamic Credit and Mortgage Income Fund, an estimated $15M position sold in full.

By sector, the portfolio is most concentrated in Financials at 5.2% of assets, up from 4% a quarter earlier, followed by Technology and Energy.

Against the trend, Rivernorth Capital Management opened a new position in Carlyle Secured Lending worth $5.68M.

  • Rivernorth Capital Management's largest Q2 2017 buy was Carlyle Secured Lending: 315,143 shares worth $5.68M.
  • Rivernorth Capital Management added most to Ares Capital in Q2 2017, an estimated $19.1M increase.
  • Rivernorth Capital Management's biggest Q2 2017 reduction was Allspring Multi-Sector Income Fund, cutting an estimated $17.4M.
  • Rivernorth Capital Management fully exited PIMCO Dynamic Credit and Mortgage Income Fund in Q2 2017, selling an estimated $15M.
  • Rivernorth Capital Management's ten largest holdings make up 33% of its $1.31B portfolio in Q2 2017.
  • Rivernorth Capital Management opened 25 new positions and closed 26 in Q2 2017.
  • Rivernorth Capital Management's portfolio value fell 9.3% quarter-over-quarter to $1.31B.

Based on Rivernorth Capital Management's 13F filing for Q2 2017, filed 14 Aug 2017.