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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
+1.84%
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
$1.23B
AUM Growth
-$74.8M
Cap. Flow
-$102M
Cap. Flow %
-8.3%
Top 10 Hldgs %
24.35%
Holding
232
New
15
Increased
72
Reduced
78
Closed
42

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$40.1M
2
JQC icon
Nuveen Credit Strategies Income Fund
JQC
+$7.81M
3
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$7.43M
4
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$6.98M
5
ELD icon
WisdomTree Emerging Markets Local Debt Fund
ELD
+$5.42M

Top Sells

Rank Stock Value
1
ACG
AllianceBernstein Income Fund Inc
ACG
+$22.9M
2
PTY icon
PIMCO Corporate & Income Opportunity Fund
PTY
+$21.9M
3
PDI icon
PIMCO Dynamic Income Fund
PDI
+$20.3M
4
ETY icon
Eaton Vance Tax-Managed Diversified Equity Income Fund
ETY
+$16.4M
5
ETJ
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
+$13M

Sector Composition

Rank Sector Weight
1 Financials 3.79%
2 Materials 0.04%
3 Technology 0.04%
4 Healthcare 0.04%
5 Energy 0.01%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FPF
126
First Trust Intermediate Duration Preferred & Income Fund
FPF
$1.08B
$2.15M 0.18%
97,105
-195,147
-67% -$4.21M
GLV
127
Clough Global Dividend & Income Fund
GLV
$78.1M
$2.1M 0.17%
138,741
+70,218
+102% +$1.08M
FHY
128
DELISTED
First Trust Strategic High
FHY
$2.08M 0.17%
130,663
-40,343
-24% -$636K
JHP
129
DELISTED
NUVEEN QUALITY PREFERRED INCOME FUND 3
JHP
$2.07M 0.17%
247,245
+11,012
+5% +$89.6K
CFD
130
DELISTED
Nuveen Diversified Commodity Fnd
CFD
$2.05M 0.17%
129,215
+15,771
+14% +$249K
EIM
131
Eaton Vance Municipal Bond Fund
EIM
$498M
$2.01M 0.16%
168,972
-35,000
-17% -$412K
IWD icon
132
iShares Russell 1000 Value ETF
IWD
$84.1B
$1.99M 0.16%
20,575
+15,175
+281% +$1.42M
MHY
133
DELISTED
WESTERN ASSET MANAGED HIGH INCOM FD INC. COM
MHY
$1.98M 0.16%
346,040
+35,882
+12% +$206K
SPE
134
Special Opportunities Fund
SPE
$144M
$1.94M 0.16%
+124,694
New +$1.95M
IHD
135
Voya Emerging Markets High Income Dividend Equity Fund
IHD
$131M
$1.9M 0.15%
158,557
+55,360
+54% +$635K
TTF
136
DELISTED
Thai Fund
TTF
$1.89M 0.15%
174,585
-27,584
-14% -$357K
EVG
137
Eaton Vance Short Duration Diversified Income Fund
EVG
$143M
$1.86M 0.15%
122,573
-18,072
-13% -$277K
HIO
138
Western Asset High Income Opportunity Fund
HIO
$339M
$1.86M 0.15%
307,550
+230,110
+297% +$1.38M
FCO
139
DELISTED
abrdn Global Income Fund
FCO
$1.85M 0.15%
170,965
-28,823
-14% -$305K
KHI
140
DELISTED
Deutsche High Income Trust
KHI
$1.81M 0.15%
192,234
+45,262
+31% +$421K
CET
141
Central Securities Corp
CET
$1.64B
$1.8M 0.15%
80,395
– –
CHW
142
Calamos Global Dynamic Income Fund
CHW
$553M
$1.75M 0.14%
194,191
+20,459
+12% +$183K
LBF
143
DELISTED
Deutsche Global High Incm Fund
LBF
$1.67M 0.14%
205,534
– –
BBN icon
144
BlackRock Taxable Municipal Bond Trust
BBN
$984M
$1.62M 0.13%
80,053
+11,225
+16% +$221K
SVVC
145
DELISTED
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
$1.55M 0.13%
72,540
– –
NQS
146
DELISTED
NUVEEN SELECT QUALITY MUNI FD
NQS
$1.45M 0.12%
109,220
-4,462
-4% -$58.9K
GLD icon
147
SPDR Gold Trust
GLD
$142B
$1.41M 0.12%
+11,433
New +$1.43M
DMB
148
BNY Mellon Municipal Bond Infrastructure Fund
DMB
$196M
$1.24M 0.1%
110,099
+30,120
+38% +$331K
FOF icon
149
Cohen & Steers Closed End Opportunity Fund
FOF
$384M
$1.22M 0.1%
95,255
+3,500
+4% +$44.6K
HSA
150
DELISTED
HELIOS STRATEGIC INCOME FD, INC
HSA
$1.19M 0.1%
174,771
-2,500
-1% -$16.9K
4 5
6
7 8

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Rivernorth Capital Management's Q1 2014 Portfolio in Review

As of Q1 2014, Rivernorth Capital Management held 232 positions worth $1.23B, down 5.7% from $1.3B the previous quarter. Its ten largest holdings account for 24% of the portfolio.

Rivernorth Capital Management withdrew a net $102M in Q1 2014, closing 42 positions and reducing 78 holdings. Its most notable exit was AllianceBernstein Income Fund Inc, an estimated $22.9M position sold in full.

By sector, the portfolio is most concentrated in Financials at 3.8% of assets, down from 4.3% a quarter earlier, followed by Materials and Technology.

Against the trend, Rivernorth Capital Management opened a new position in WisdomTree Emerging Markets Local Debt Fund worth $5.53M.

  • Rivernorth Capital Management's largest Q1 2014 buy was WisdomTree Emerging Markets Local Debt Fund: 120,635 shares worth $5.53M.
  • Rivernorth Capital Management added most to State Street SPDR S&P 500 ETF Trust in Q1 2014, an estimated $40.1M increase.
  • Rivernorth Capital Management's biggest Q1 2014 reduction was PIMCO Corporate & Income Opportunity Fund, cutting an estimated $21.9M.
  • Rivernorth Capital Management fully exited AllianceBernstein Income Fund Inc in Q1 2014, selling an estimated $22.9M.
  • Rivernorth Capital Management's ten largest holdings make up 24% of its $1.23B portfolio in Q1 2014.
  • Rivernorth Capital Management opened 15 new positions and closed 42 in Q1 2014.
  • Rivernorth Capital Management's portfolio value fell 5.7% quarter-over-quarter to $1.23B.

Based on Rivernorth Capital Management's 13F filing for Q1 2014, filed 15 May 2014.