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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
-1.67%
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
$1.53B
AUM Growth
+$156M
Cap. Flow
+$159M
Cap. Flow %
10.35%
Top 10 Hldgs %
27.12%
Holding
179
New
40
Increased
50
Reduced
52
Closed
28

Top Buys

Rank Stock Value
1
RA
Brookfield Real Assets Income Fund
RA
+$42.3M
2
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$41.1M
3
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$26.7M
4
CHY
Calamos Convertible and High Income Fund
CHY
+$18.6M
5
NVG icon
Nuveen AMT-Free Municipal Credit Income Fund
NVG
+$16.5M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$23.9M
2
ACAS
American Capital Ltd
ACAS
+$18.6M
3
STEW
SRH Total Return Fund
STEW
+$14.6M
4
BOI
Brookfield Mtge Opportunity Fd
BOI
+$13.4M
5
VEA icon
Vanguard FTSE Developed Markets ETF
VEA
+$9.8M

Sector Composition

Rank Sector Weight
1 Financials 5.05%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CIK
126
Credit Suisse Asset Management Income Fund
CIK
$134M
$1.85M 0.12%
586,218
-946,545
-62% -$2.93M
DEX
127
DELISTED
DELAWARE ENHANCED GLOBAL DIVIDEND & INCOME FUND
DEX
$1.81M 0.12%
+179,275
New +$1.75M
NMZ icon
128
Nuveen Municipal High Income Opportunity Fund
NMZ
$2.22B
$1.79M 0.12%
+139,506
New +$1.85M
JPC icon
129
Nuveen Preferred & Income Opportunities Fund
JPC
$2.9B
$1.74M 0.11%
+176,687
New +$1.69M
PHD
130
DELISTED
Pioneer Floating Rate Fund
PHD
$1.71M 0.11%
144,118
-91,375
-39% -$1.07M
BCX icon
131
BlackRock Resources & Commodities Strategy Trust
BCX
$923M
$1.56M 0.1%
188,423
+159,631
+554% +$1.29M
HUNTU
132
DELISTED
Hunter Maritime Acquisition Corp. Unit
HUNTU
$1.52M 0.1%
+150,000
New +$1.5M
XRDC
133
DELISTED
Crossroads Capital, Inc
XRDC
$1.32M 0.09%
620,907
+35,065
+6% +$62.5K
ECC
134
Eagle Point Credit Company
ECC
$513M
$1.3M 0.08%
+77,920
New +$1.34M
LBF
135
DELISTED
Deutsche Global High Incm Fund
LBF
$1.29M 0.08%
155,394
-27,519
-15% -$228K
KIO
136
KKR Income Opportunities Fund
KIO
$457M
$1.28M 0.08%
79,825
+31,593
+66% +$495K
AGD
137
abrdn Global Dynamic Dividend Fund
AGD
$320M
$1.27M 0.08%
144,649
-23,625
-14% -$202K
SWZ
138
Swiss Helvetia Fund
SWZ
$77.5M
$1.24M 0.08%
+121,835
New +$1.25M
NAC icon
139
Nuveen California Quality Municipal Income Fund
NAC
$1.85B
$1.12M 0.07%
+79,113
New +$1.16M
MFIC icon
140
MidCap Financial Investment
MFIC
$804M
$1.03M 0.07%
+58,469
New +$1.05M
VKI icon
141
Invesco Advantage Municipal Income Trust II
VKI
$401M
$858K 0.06%
+76,786
New +$871K
MZF
142
DELISTED
Managed Duration Inv Grd Muni Fd
MZF
$851K 0.06%
64,861
+50,551
+353% +$683K
GTYHU
143
DELISTED
GTY Technology Holdings, Inc. Units
GTYHU
$840K 0.05%
+80,000
New +$817K
KST
144
DELISTED
Deutsche Strategic Income Trust
KST
$760K 0.05%
63,903
-17,626
-22% -$208K
EACQ
145
DELISTED
Easterly Acquisition Corp
EACQ
$720K 0.05%
73,058
– –
HQH
146
abrdn Healthcare Investors
HQH
$1.32B
$719K 0.05%
+34,004
New +$757K
PHK
147
PIMCO High Income Fund
PHK
$880M
$592K 0.04%
+64,600
New +$594K
JPI
148
DELISTED
Nuveen Preferred Securities & Income Opportunities Fund
JPI
$514K 0.03%
+22,427
New +$525K
TLI
149
DELISTED
Western Asset Corporate Loan Fund Inc.
TLI
$508K 0.03%
45,154
-147,378
-77% -$1.59M
JPW
150
DELISTED
Nuveen Flexible Invstment Fd
JPW
$423K 0.03%
+25,400
New +$415K
4 5
6
7 8

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Rivernorth Capital Management's Q4 2016 Portfolio in Review

As of Q4 2016, Rivernorth Capital Management held 179 positions worth $1.53B, up 11% from $1.38B the previous quarter. Its ten largest holdings account for 27% of the portfolio.

Rivernorth Capital Management deployed $159M of net new capital in Q4 2016, opening 40 new positions and adding to 50 existing holdings. Its largest new stake was Brookfield Real Assets Income Fund: 1,930,681 shares worth $43.1M.

By sector, the portfolio is most concentrated in Financials at 5% of assets, up from 3.5% a quarter earlier.

On the sell side, the largest reduction was American Capital Ltd, an estimated $18.6M trimmed.

  • Rivernorth Capital Management's largest Q4 2016 buy was Brookfield Real Assets Income Fund: 1,930,681 shares worth $43.1M.
  • Rivernorth Capital Management added most to Nuveen AMT-Free Quality Municipal Income Fund in Q4 2016, an estimated $41.1M increase.
  • Rivernorth Capital Management's biggest Q4 2016 reduction was American Capital Ltd, cutting an estimated $18.6M.
  • Rivernorth Capital Management fully exited State Street SPDR S&P 500 ETF Trust in Q4 2016, selling an estimated $23.9M.
  • Rivernorth Capital Management's ten largest holdings make up 27% of its $1.53B portfolio in Q4 2016.
  • Rivernorth Capital Management opened 40 new positions and closed 28 in Q4 2016.
  • Rivernorth Capital Management's portfolio value rose 11% quarter-over-quarter to $1.53B.

Based on Rivernorth Capital Management's 13F filing for Q4 2016, filed 14 Feb 2017.