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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
-3.42%
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
$1.25B
AUM Growth
+$4.13M
Cap. Flow
+$50.9M
Cap. Flow %
4.07%
Top 10 Hldgs %
25.52%
Holding
203
New
26
Increased
73
Reduced
52
Closed
28

Top Buys

Rank Stock Value
1
DRA
Diversified Real Asset Income Fd
DRA
+$11.1M
2
ACG
AllianceBernstein Income Fund Inc
ACG
+$10.1M
3
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$8.04M
4
NPT
NUVEEN PREM INSD MUNI FD-4 INC
NPT
+$6.87M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.62M

Top Sells

Rank Stock Value
1
NPI
NUVEEN PREMIUN INC MUN FUND
NPI
+$9.49M
2
NML
Neuberger Energy Infrastructure and Income Fund Inc
NML
+$8.89M
3
ETJ
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
+$6.56M
4
NMA
NUVEEN MUNI ADVANTAGE FUND
NMA
+$5.22M
5
BSP
AMERN STRATEGIC INCM PORTF II
BSP
+$4.4M

Sector Composition

Rank Sector Weight
1 Financials 3.96%
2 Technology 0.18%
3 Energy 0.05%
4 Consumer Discretionary 0.03%
5 Communication Services 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NHS
126
Neuberger High Yield Strategies Fund Inc
NHS
$255M
$1.82M 0.15%
140,938
-14,978
-10% -$201K
IWD icon
127
iShares Russell 1000 Value ETF
IWD
$84.2B
$1.74M 0.14%
17,375
– –
TSLX icon
128
Sixth Street Specialty
TSLX
$1.78B
$1.74M 0.14%
+108,530
New +$2.02M
VKI icon
129
Invesco Advantage Municipal Income Trust II
VKI
$399M
$1.69M 0.14%
148,336
-47,717
-24% -$536K
LBF
130
DELISTED
Deutsche Global High Incm Fund
LBF
$1.67M 0.13%
205,534
– –
IBM icon
131
IBM
IBM
$225B
$1.63M 0.13%
+9,006
New +$1.64M
KHI
132
DELISTED
Deutsche High Income Trust
KHI
$1.6M 0.13%
179,427
+6,898
+4% +$63.1K
EVF
133
Eaton Vance Senior Income Trust
EVF
$91.4M
$1.52M 0.12%
234,076
+19,724
+9% +$132K
MHY
134
DELISTED
WESTERN ASSET MANAGED HIGH INCOM FD INC. COM
MHY
$1.5M 0.12%
270,312
+6,600
+3% +$37.1K
ETX
135
Eaton Vance Municipal Income 2028 Term Trust
ETX
$199M
$1.27M 0.1%
72,943
-15,259
-17% -$260K
CTR
136
DELISTED
ClearBridge MLP and Midstream Total Return Fund Inc.
CTR
$1.24M 0.1%
+10,795
New +$1.27M
JPI
137
DELISTED
Nuveen Preferred Securities & Income Opportunities Fund
JPI
$1.06M 0.08%
46,329
+29,579
+177% +$688K
PML
138
PIMCO Municipal Income Fund II
PML
$491M
$1.05M 0.08%
90,506
-286,449
-76% -$3.36M
CFD
139
DELISTED
Nuveen Diversified Commodity Fnd
CFD
$1.05M 0.08%
75,915
-56,004
-42% -$854K
BSL
140
Blackstone Senior Floating Rate 2027 Term Fund
BSL
$170M
$1.02M 0.08%
59,485
+22,698
+62% +$401K
HHY
141
DELISTED
Brookfield High Income Fund Inc.
HHY
$905K 0.07%
+96,614
New +$965K
BCV
142
Bancroft Fund
BCV
$141M
$826K 0.07%
41,798
+398
+1% +$8.02K
NAC icon
143
Nuveen California Quality Municipal Income Fund
NAC
$1.85B
$775K 0.06%
54,400
+41,567
+324% +$584K
DNY
144
DELISTED
DENALI FUND INC (THE) COM STK
DNY
$716K 0.06%
32,999
+4,600
+16% +$100K
CMK
145
DELISTED
MFS HIGH INCOME MUNI TR I
CMK
$715K 0.06%
+85,638
New +$720K
MSP
146
DELISTED
Madison Strategic Sector
MSP
$707K 0.06%
57,100
+42,236
+284% +$539K
NQU
147
DELISTED
NUVEEN QUALITY INCOME MUNI FD
NQU
$664K 0.05%
48,480
-13,699
-22% -$190K
RGT
148
Royce Global Value Trust
RGT
$102M
$635K 0.05%
72,902
– –
XLE icon
149
State Street Energy Select Sector SPDR ETF
XLE
$38.7B
$535K 0.04%
+11,800
New +$572K
OHAI
150
DELISTED
OHA Investment Corporation
OHAI
$509K 0.04%
+82,420
New +$524K
4 5
6
7 8

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Rivernorth Capital Management's Q3 2014 Portfolio in Review

As of Q3 2014, Rivernorth Capital Management held 203 positions worth $1.25B, up 0.33% from $1.25B the previous quarter. Its ten largest holdings account for 26% of the portfolio.

Rivernorth Capital Management deployed $50.9M of net new capital in Q3 2014, opening 26 new positions and adding to 73 existing holdings. Its largest new stake was Diversified Real Asset Income Fd: 626,697 shares worth $11.1M.

By sector, the portfolio is most concentrated in Financials at 4% of assets, up from 3.9% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was NUVEEN MUNI ADVANTAGE FUND, an estimated $5.22M trimmed.

  • Rivernorth Capital Management's largest Q3 2014 buy was Diversified Real Asset Income Fd: 626,697 shares worth $11.1M.
  • Rivernorth Capital Management added most to AllianceBernstein Income Fund Inc in Q3 2014, an estimated $10.1M increase.
  • Rivernorth Capital Management's biggest Q3 2014 reduction was NUVEEN MUNI ADVANTAGE FUND, cutting an estimated $5.22M.
  • Rivernorth Capital Management fully exited NUVEEN PREMIUN INC MUN FUND in Q3 2014, selling an estimated $9.49M.
  • Rivernorth Capital Management's ten largest holdings make up 26% of its $1.25B portfolio in Q3 2014.
  • Rivernorth Capital Management opened 26 new positions and closed 28 in Q3 2014.
  • Rivernorth Capital Management's portfolio value rose 0.33% quarter-over-quarter to $1.25B.

Based on Rivernorth Capital Management's 13F filing for Q3 2014, filed 14 Nov 2014.