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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
+1.87%
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
-$81.4M
Cap. Flow
-$106M
Cap. Flow %
-8.66%
Top 10 Hldgs %
35.14%
Holding
152
New
12
Increased
30
Reduced
56
Closed
23

Top Buys

Rank Stock Value
1
CLM icon
Cornerstone Strategic Value Fund
CLM
+$21.6M
2
USA icon
Liberty All-Star Equity Fund
USA
+$16.3M
3
AOD
abrdn Total Dynamic Dividend Fund
AOD
+$6.52M
4
SNAX
Stryve Foods, Inc. Class A Common Stock
SNAX
+$6.05M
5
BRW
Saba Capital Income & Opportunities Fund
BRW
+$5.52M

Top Sells

Rank Stock Value
1
RA
Brookfield Real Assets Income Fund
RA
+$27M
2
BOE icon
BlackRock Enhanced Global Dividend Trust
BOE
+$12.7M
3
AVK
Advent Convertible and Income Fund
AVK
+$8.92M
4
LCM
Advent/Claymore Enhanced Gth & F
LCM
+$8.08M
5
RVT icon
Royce Value Trust
RVT
+$6.47M

Sector Composition

Rank Sector Weight
1 Financials 4.22%
2 Consumer Staples 0.5%
3 Technology 0.49%
4 Energy 0.3%
5 Industrials 0.12%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MPACW
126
DELISTED
Matlin & Partners Acquisition Corporation
MPACW
$53K ﹤0.01%
150,000
– –
HUNTW
127
DELISTED
Hunter Maritime Acquisition Corp. Warrant
HUNTW
$44K ﹤0.01%
75,001
– –
GTYHW
128
DELISTED
GTY Technology Holdings, Inc. Warrants
GTYHW
$31K ﹤0.01%
26,667
– –
FMCIW
129
DELISTED
Forum Merger Corporation Warrant
FMCIW
$31K ﹤0.01%
100,000
– –
ACV
130
Virtus Diversified Income & Convertible Fund
ACV
$282M
– –
-164,857
Closed -$3.46M
AGD
131
abrdn Global Dynamic Dividend Fund
AGD
$320M
– –
-126,490
Closed -$1.29M
AWF
132
AllianceBernstein Global High Income Fund
AWF
$872M
– –
-262,115
Closed -$3.39M
EIM
133
Eaton Vance Municipal Bond Fund
EIM
$499M
– –
-196,503
Closed -$2.49M
FAX
134
abrdn Asia-Pacific Income Fund
FAX
$600M
– –
-128,442
Closed -$3.85M
GDL
135
GDL Fund
GDL
$92.1M
– –
-135,242
Closed -$1.39M
IGR
136
CBRE Global Real Estate Income Fund
IGR
$713M
– –
-492,901
Closed -$3.81M
JPC icon
137
Nuveen Preferred & Income Opportunities Fund
JPC
$2.9B
– –
-290,354
Closed -$3.02M
NVG icon
138
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.7B
– –
-306,942
Closed -$4.65M
SOR
139
Source Capital
SOR
$385M
– –
-17,663
Closed -$683K
SWZ
140
Swiss Helvetia Fund
SWZ
$77.5M
– –
-499,070
Closed -$6.34M
FSD
141
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
– –
-171,784
Closed -$2.96M
BRQS
142
DELISTED
Borqs Technologies, Inc. Ordinary Shares
BRQS
– –
-2,537
Closed -$4.99M
DDF
143
DELISTED
Delaware Investments Dividend & Income Fund, Inc.
DDF
– –
-31,905
Closed -$334K
EACQW
144
DELISTED
Easterly Acquisition Corp.
EACQW
– –
-36,529
Closed -$31K
LBF
145
DELISTED
Deutsche Global High Incm Fund
LBF
– –
-140,895
Closed -$1.23M
KEF
146
DELISTED
Korea Equity Fund
KEF
– –
-48,903
Closed -$344K
HUNTU
147
DELISTED
Hunter Maritime Acquisition Corp. Unit
HUNTU
– –
-150,002
Closed -$1.48M
EACQ
148
DELISTED
Easterly Acquisition Corp
EACQ
– –
-21,058
Closed -$212K
SGF
149
DELISTED
Aberdeen Singapore Fund
SGF
– –
-107,904
Closed -$1.2M
FPT
150
DELISTED
Federated Premier Intermediate M
FPT
– –
-43,699
Closed -$597K
3 4 5
6
7

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Rivernorth Capital Management's Q3 2017 Portfolio in Review

As of Q3 2017, Rivernorth Capital Management held 152 positions worth $1.23B, down 6.2% from $1.31B the previous quarter. Its ten largest holdings account for 35% of the portfolio.

Rivernorth Capital Management withdrew a net $106M in Q3 2017, closing 23 positions and reducing 56 holdings. Its most notable exit was Barington/Hilco Acquisition Corp., an estimated $6.42M position sold in full.

By sector, the portfolio is most concentrated in Financials at 4.2% of assets, down from 5.2% a quarter earlier, followed by Consumer Staples and Technology.

Against the trend, Rivernorth Capital Management opened a new position in Cornerstone Strategic Value Fund worth $21.6M.

  • Rivernorth Capital Management's largest Q3 2017 buy was Cornerstone Strategic Value Fund: 1,479,892 shares worth $21.6M.
  • Rivernorth Capital Management added most to Liberty All-Star Equity Fund in Q3 2017, an estimated $16.3M increase.
  • Rivernorth Capital Management's biggest Q3 2017 reduction was Brookfield Real Assets Income Fund, cutting an estimated $27M.
  • Rivernorth Capital Management fully exited Barington/Hilco Acquisition Corp. in Q3 2017, selling an estimated $6.42M.
  • Rivernorth Capital Management's ten largest holdings make up 35% of its $1.23B portfolio in Q3 2017.
  • Rivernorth Capital Management opened 12 new positions and closed 23 in Q3 2017.
  • Rivernorth Capital Management's portfolio value fell 6.2% quarter-over-quarter to $1.23B.

Based on Rivernorth Capital Management's 13F filing for Q3 2017, filed 14 Nov 2017.