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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
+0.99%
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
$1.3B
AUM Growth
+$353M
Cap. Flow
+$331M
Cap. Flow %
25.4%
Top 10 Hldgs %
22.27%
Holding
261
New
73
Increased
81
Reduced
45
Closed
44

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$23.8M
2
VMO icon
Invesco Municipal Opportunity Trust
VMO
+$19.4M
3
JQC icon
Nuveen Credit Strategies Income Fund
JQC
+$17.3M
4
NMA
NUVEEN MUNI ADVANTAGE FUND
NMA
+$14.2M
5
DSU icon
BlackRock Debt Strategies Fund
DSU
+$12.6M

Top Sells

Rank Stock Value
1
VOO icon
Vanguard S&P 500 ETF
VOO
+$19.5M
2
OEF icon
iShares S&P 100 ETF
OEF
+$10.4M
3
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$9.35M
4
ETW
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
ETW
+$7.2M
5
CWB icon
State Street SPDR Bloomberg Convertible Securities ETF
CWB
+$5.02M

Sector Composition

Rank Sector Weight
1 Financials 4.29%
2 Technology 0.1%
3 Materials 0.04%
4 Communication Services 0.03%
5 Energy 0.01%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EIM
126
Eaton Vance Municipal Bond Fund
EIM
$499M
$2.31M 0.18%
203,972
-13,700
-6% -$153K
NRO
127
Neuberger Real Estate Securities Income Fund Inc
NRO
$190M
$2.23M 0.17%
538,309
+137,903
+34% +$590K
NIQ
128
DELISTED
NUVEEN INTERMEDIATE DURATION QUALITY MUNICIPAL TERM FUND
NIQ
$2.16M 0.17%
187,789
+71,551
+62% +$813K
EVG
129
Eaton Vance Short Duration Diversified Income Fund
EVG
$143M
$2.15M 0.16%
140,645
+123,129
+703% +$1.88M
SGL
130
DELISTED
STRATEGIC GLOBAL INCOME FUND
SGL
$2.13M 0.16%
236,148
+98,515
+72% +$892K
RNP icon
131
Cohen & Steers REIT and Preferred and Income Fund
RNP
$989M
$2.08M 0.16%
132,576
+23,050
+21% +$365K
FCO
132
DELISTED
abrdn Global Income Fund
FCO
$2.08M 0.16%
199,788
-13,340
-6% -$144K
GGN
133
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$819M
$2.06M 0.16%
+228,100
New +$2.26M
JPS
134
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
$2.05M 0.16%
252,252
-522,260
-67% -$4.22M
EVF
135
Eaton Vance Senior Income Trust
EVF
$90.5M
$2.04M 0.16%
+295,124
New +$2.06M
OFS icon
136
OFS Capital
OFS
$51.9M
$2.04M 0.16%
158,741
-54,397
-26% -$665K
FRA icon
137
BlackRock Floating Rate Income Strategies Fund
FRA
$385M
$1.99M 0.15%
+136,396
New +$1.99M
PCN
138
PIMCO Corporate & Income Strategy Fund
PCN
$885M
$1.95M 0.15%
123,672
-59,256
-32% -$979K
HYI
139
Western Asset High Yield Opportunity Fund Inc
HYI
$135M
$1.95M 0.15%
+109,964
New +$1.95M
JHP
140
DELISTED
NUVEEN QUALITY PREFERRED INCOME FUND 3
JHP
$1.85M 0.14%
236,233
-88,485
-27% -$694K
RQI icon
141
Cohen & Steers Quality Income Realty Fund
RQI
$1.69B
$1.85M 0.14%
+194,706
New +$1.9M
GHI
142
DELISTED
GLOBAL HIGH INCOME FUND INC.
GHI
$1.83M 0.14%
184,244
+94,283
+105% +$956K
MSD
143
Morgan Stanley Emerging Markets Debt Fund
MSD
$148M
$1.8M 0.14%
188,734
+55,375
+42% +$544K
PKO
144
DELISTED
Pimco Income Opportunity Fund
PKO
$1.78M 0.14%
62,859
-120,773
-66% -$3.39M
MHY
145
DELISTED
WESTERN ASSET MANAGED HIGH INCOM FD INC. COM
MHY
$1.75M 0.13%
310,158
+127,504
+70% +$722K
CET
146
Central Securities Corp
CET
$1.65B
$1.75M 0.13%
+80,395
New +$1.82M
CFD
147
DELISTED
Nuveen Diversified Commodity Fnd
CFD
$1.72M 0.13%
+113,444
New +$1.77M
SVVC
148
DELISTED
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
$1.68M 0.13%
72,540
-32,913
-31% -$767K
LBF
149
DELISTED
Deutsche Global High Incm Fund
LBF
$1.65M 0.13%
205,534
– –
ABE
150
DELISTED
Aberdeen Emerging Markets Smaller Company Opportunities Fund
ABE
$1.59M 0.12%
115,510
+39,271
+52% +$749K
4 5
6
7 8

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Rivernorth Capital Management's Q4 2013 Portfolio in Review

As of Q4 2013, Rivernorth Capital Management held 261 positions worth $1.3B, up 37% from $950M the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Rivernorth Capital Management deployed $331M of net new capital in Q4 2013, opening 73 new positions and adding to 81 existing holdings. Its largest new stake was Nuveen Credit Strategies Income Fund: 1,845,135 shares worth $18M.

By sector, the portfolio is most concentrated in Financials at 4.3% of assets, up from 4% a quarter earlier, followed by Technology and Materials.

On the sell side, the largest reduction was iShares S&P 100 ETF, an estimated $10.4M trimmed.

  • Rivernorth Capital Management's largest Q4 2013 buy was Nuveen Credit Strategies Income Fund: 1,845,135 shares worth $18M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q4 2013, an estimated $23.8M increase.
  • Rivernorth Capital Management's biggest Q4 2013 reduction was iShares S&P 100 ETF, cutting an estimated $10.4M.
  • Rivernorth Capital Management fully exited Vanguard S&P 500 ETF in Q4 2013, selling an estimated $19.5M.
  • Rivernorth Capital Management's ten largest holdings make up 22% of its $1.3B portfolio in Q4 2013.
  • Rivernorth Capital Management opened 73 new positions and closed 44 in Q4 2013.
  • Rivernorth Capital Management's portfolio value rose 37% quarter-over-quarter to $1.3B.

Based on Rivernorth Capital Management's 13F filing for Q4 2013, filed 14 Feb 2014.