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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
-1.35%
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
$1.44B
AUM Growth
+$213M
Cap. Flow
+$227M
Cap. Flow %
15.78%
Top 10 Hldgs %
29.86%
Holding
197
New
68
Increased
48
Reduced
28
Closed
27

Top Buys

Rank Stock Value
1
CCT
Corporate Capital Trust, Inc.
CCT
+$25.2M
2
PHK
PIMCO High Income Fund
PHK
+$20.9M
3
HFRO
Highland Opportunities and Income Fund
HFRO
+$19.5M
4
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$17.7M
5
FIV
First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest
FIV
+$17.5M

Top Sells

Rank Stock Value
1
GLO
Clough Global Opportunities Fund
GLO
+$22.4M
2
GLQ
Clough Global Equity Fund
GLQ
+$17.8M
3
ADX icon
Adams Diversified Equity Fund
ADX
+$12.2M
4
RVT icon
Royce Value Trust
RVT
+$8.6M
5
BOE icon
BlackRock Enhanced Global Dividend Trust
BOE
+$4.64M

Sector Composition

Rank Sector Weight
1 Financials 3.89%
2 Technology 0.98%
3 Consumer Staples 0.52%
4 Energy 0.38%
5 Industrials 0.32%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DOTA
126
DELISTED
Draper Oakwood Technology Acquisition, Inc. Class A Common Stock
DOTA
$1.17M 0.08%
+120,000
New +$1.17M
DMTK
127
DELISTED
DermTech, Inc. Common Stock
DMTK
$1.17M 0.08%
+60,000
New +$1.17M
BDCS
128
DELISTED
UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com
BDCS
$1.14M 0.08%
+55,000
New +$1.16M
BGIO
129
DELISTED
BlackRock 2022 Global Income Opportunity Trust
BGIO
$1.12M 0.08%
+114,301
New +$1.12M
MSF
130
DELISTED
Morgan Stanley Emerging Mkts Fd
MSF
$1.11M 0.08%
+62,328
New +$1.09M
BDCL
131
DELISTED
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
$855K 0.06%
+52,000
New +$879K
GTYH
132
DELISTED
GTY Technology Holdings, Inc. Common Stock
GTYH
$794K 0.06%
80,001
– –
GMZ
133
DELISTED
Goldman Sachs MLP Income Opportunities Fund
GMZ
$777K 0.05%
+12,412
New +$753K
STEW
134
SRH Total Return Fund
STEW
$1.81B
$724K 0.05%
65,326
-405,004
-86% -$4.3M
BGX
135
Blackstone Long-Short Credit Income Fund
BGX
$138M
$707K 0.05%
44,430
-27,419
-38% -$440K
CXH
136
DELISTED
MFS Investment Grade Municipal Trust
CXH
$705K 0.05%
72,618
– –
DDF
137
DELISTED
Delaware Investments Dividend & Income Fund, Inc.
DDF
$685K 0.05%
+63,861
New +$687K
PHT
138
DELISTED
Pioneer High Income Fund
PHT
$463K 0.03%
+47,635
New +$470K
CPTAG
139
DELISTED
Capitala Finance Corp. 5.75% Convertible Notes Due 2022
CPTAG
$349K 0.02%
14,047
-38,393
-73% -$956K
ABE
140
DELISTED
Aberdeen Emerging Markets Smaller Company Opportunities Fund
ABE
$344K 0.02%
23,680
-51,396
-68% -$739K
NESRW
141
DELISTED
National Energy Services Reunited Corp. Warrant
NESRW
$189K 0.01%
230,000
– –
WRLSR
142
DELISTED
Pensare Acquisition Corp. Right to purchase 1/10 of common stock
WRLSR
$175K 0.01%
+349,994
New +$150K
HCAC.WS
143
DELISTED
Hennessy Capital Acquisition Corp. III
HCAC.WS
$143K 0.01%
+168,750
New +$132K
FMCIR
144
DELISTED
Forum Merger Corporation Right
FMCIR
$132K 0.01%
200,000
– –
ROSEW
145
DELISTED
Rosehill Resources Inc.
ROSEW
$119K 0.01%
119,700
– –
BRACW
146
DELISTED
Black Ridge Acquisition Corp. Warrant
BRACW
$99K 0.01%
+300,000
New +$85.9K
WRLSW
147
DELISTED
Pensare Acquisition Corp. Warrant
WRLSW
$96K 0.01%
+174,997
New +$90.9K
CMSSR
148
DELISTED
CM Seven Star Acquisition Corporation Right
CMSSR
$96K 0.01%
+300,000
New +$86.6K
MMDMR
149
DELISTED
Modern Media Acquisition Corp. Right
MMDMR
$90K 0.01%
+230,000
New +$89.5K
ATACR
150
DELISTED
Atlantic Acquisition Corp. Right
ATACR
$90K 0.01%
+150,000
New +$82.8K
4 5
6
7 8

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Rivernorth Capital Management's Q4 2017 Portfolio in Review

As of Q4 2017, Rivernorth Capital Management held 197 positions worth $1.44B, up 17% from $1.23B the previous quarter. Its ten largest holdings account for 30% of the portfolio.

Rivernorth Capital Management deployed $227M of net new capital in Q4 2017, opening 68 new positions and adding to 48 existing holdings. Its largest new stake was Corporate Capital Trust, Inc.: 1,436,616 shares worth $23M.

By sector, the portfolio is most concentrated in Financials at 3.9% of assets, down from 4.2% a quarter earlier, followed by Technology and Consumer Staples.

On the sell side, the largest reduction was Clough Global Opportunities Fund, an estimated $22.4M trimmed.

  • Rivernorth Capital Management's largest Q4 2017 buy was Corporate Capital Trust, Inc.: 1,436,616 shares worth $23M.
  • Rivernorth Capital Management added most to Liberty All-Star Equity Fund in Q4 2017, an estimated $10.4M increase.
  • Rivernorth Capital Management's biggest Q4 2017 reduction was Clough Global Opportunities Fund, cutting an estimated $22.4M.
  • Rivernorth Capital Management fully exited BlackRock Enhanced Global Dividend Trust in Q4 2017, selling an estimated $4.64M.
  • Rivernorth Capital Management's ten largest holdings make up 30% of its $1.44B portfolio in Q4 2017.
  • Rivernorth Capital Management opened 68 new positions and closed 27 in Q4 2017.
  • Rivernorth Capital Management's portfolio value rose 17% quarter-over-quarter to $1.44B.

Based on Rivernorth Capital Management's 13F filing for Q4 2017, filed 14 Feb 2018.