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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
-3.21%
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
$1.51B
AUM Growth
+$257M
Cap. Flow
+$295M
Cap. Flow %
19.59%
Top 10 Hldgs %
21.45%
Holding
221
New
46
Increased
73
Reduced
39
Closed
21

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$26M
2
BDCL
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
+$22.4M
3
GER
Goldman Sachs MLP Energy Renaissance Fund
GER
+$19.1M
4
FAX
abrdn Asia-Pacific Income Fund
FAX
+$18.6M
5
CBA
ClearBridge American Energy MLP
CBA
+$18.3M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$22.2M
2
JGT
NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA)
JGT
+$14.9M
3
SVVC
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
+$7.88M
4
PFL
PIMCO Income Strategy Fund
PFL
+$4.88M
5
VEA icon
Vanguard FTSE Developed Markets ETF
VEA
+$4.88M

Sector Composition

Rank Sector Weight
1 Financials 5.47%
2 Technology 0.02%
3 Energy 0%
4 Communication Services 0%
5 Consumer Discretionary 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HIO
126
Western Asset High Income Opportunity Fund
HIO
$340M
$3.03M 0.2%
+564,506
New +$3.15M
GGN
127
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$819M
$3.03M 0.2%
+432,674
New +$3.43M
CLM icon
128
Cornerstone Strategic Value Fund
CLM
$2.25B
$2.98M 0.2%
+151,372
New +$3.06M
GDL
129
GDL Fund
GDL
$92.1M
$2.98M 0.2%
290,915
+3,500
+1% +$36K
DMB
130
BNY Mellon Municipal Bond Infrastructure Fund
DMB
$196M
$2.97M 0.2%
243,915
-42,300
-15% -$512K
CEE
131
Central and Eastern Europe Fund
CEE
$139M
$2.94M 0.2%
148,802
-7,242
-5% -$161K
NHS
132
Neuberger High Yield Strategies Fund Inc
NHS
$255M
$2.94M 0.19%
238,738
+97,800
+69% +$1.24M
TYG
133
Tortoise Energy Infrastructure Corp
TYG
$1.08B
$2.79M 0.19%
15,955
-20,037
-56% -$3.64M
RNP icon
134
Cohen & Steers REIT and Preferred and Income Fund
RNP
$989M
$2.67M 0.18%
140,704
-152,300
-52% -$2.83M
NPF
135
DELISTED
NUVEEN PREMIER MUNI INCOME FD
NPF
$2.67M 0.18%
191,222
– –
NML
136
Neuberger Energy Infrastructure and Income Fund Inc
NML
$576M
$2.64M 0.18%
+150,243
New +$2.94M
JMLP
137
DELISTED
NUVEEN ALL CAP ENERGY MLP OPPORTUNITIES FUND
JMLP
$2.52M 0.17%
+165,299
New +$2.77M
MHY
138
DELISTED
WESTERN ASSET MANAGED HIGH INCOM FD INC. COM
MHY
$2.44M 0.16%
477,577
+207,265
+77% +$1.1M
BKCC
139
DELISTED
BlackRock Capital Investment Corporation
BKCC
$2.3M 0.15%
+280,608
New +$2.42M
NSL
140
DELISTED
NUVEEN SENIOR INCM FD
NSL
$2.25M 0.15%
343,306
+44,105
+15% +$292K
FPL
141
DELISTED
FIRST TRUST NEW OPPORTUNITIES MLP & ENERGY FUND
FPL
$2.2M 0.15%
+123,078
New +$2.19M
NPP
142
DELISTED
NUVEEN PERFORMANCE+MUN FUND
NPP
$2.16M 0.14%
146,744
– –
VGM icon
143
Invesco Trust Investment Grade Municipals
VGM
$564M
$2.14M 0.14%
161,255
-8,629
-5% -$114K
OHAI
144
DELISTED
OHA Investment Corporation
OHAI
$2.13M 0.14%
454,232
+371,812
+451% +$2.2M
JHP
145
DELISTED
NUVEEN QUALITY PREFERRED INCOME FUND 3
JHP
$2.09M 0.14%
251,345
– –
VVR icon
146
Invesco Senior Income Trust
VVR
$454M
$2.09M 0.14%
458,343
+374,843
+449% +$1.73M
MTS
147
DELISTED
MONTGOMERY STR INCOME SECS
MTS
$2.04M 0.14%
123,780
-4,359
-3% -$72.1K
OCSI
148
DELISTED
Oaktree Strategic Income Corporation
OCSI
$2.01M 0.13%
+196,916
New +$2.13M
CMK
149
DELISTED
MFS HIGH INCOME MUNI TR I
CMK
$1.93M 0.13%
231,189
+145,551
+170% +$1.21M
VBF icon
150
Invesco Bond Fund
VBF
$169M
$1.84M 0.12%
+100,000
New +$1.85M
4 5
6
7 8

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Rivernorth Capital Management's Q4 2014 Portfolio in Review

As of Q4 2014, Rivernorth Capital Management held 221 positions worth $1.51B, up 21% from $1.25B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Rivernorth Capital Management deployed $295M of net new capital in Q4 2014, opening 46 new positions and adding to 73 existing holdings. Its largest new stake was 2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev: 990,320 shares worth $21.2M.

By sector, the portfolio is most concentrated in Financials at 5.5% of assets, up from 4% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was State Street SPDR S&P 500 ETF Trust, an estimated $22.2M trimmed.

  • Rivernorth Capital Management's largest Q4 2014 buy was 2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev: 990,320 shares worth $21.2M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q4 2014, an estimated $26M increase.
  • Rivernorth Capital Management's biggest Q4 2014 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $22.2M.
  • Rivernorth Capital Management fully exited NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA) in Q4 2014, selling an estimated $14.9M.
  • Rivernorth Capital Management's ten largest holdings make up 21% of its $1.51B portfolio in Q4 2014.
  • Rivernorth Capital Management opened 46 new positions and closed 21 in Q4 2014.
  • Rivernorth Capital Management's portfolio value rose 21% quarter-over-quarter to $1.51B.

Based on Rivernorth Capital Management's 13F filing for Q4 2014, filed 17 Feb 2015.