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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
-0.32%
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
$950M
AUM Growth
+$52M
Cap. Flow
+$50.3M
Cap. Flow %
5.29%
Top 10 Hldgs %
28.58%
Holding
211
New
46
Increased
83
Reduced
39
Closed
23

Top Buys

Rank Stock Value
1
NPM
NUVEEN PREMIUM INCM MUNI FD II
NPM
+$7.94M
2
VOO icon
Vanguard S&P 500 ETF
VOO
+$7.42M
3
BIT icon
BlackRock Multi-Sector Income Trust
BIT
+$7.01M
4
NID
NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND
NID
+$6.81M
5
NPP
NUVEEN PERFORMANCE+MUN FUND
NPP
+$5.28M

Top Sells

Rank Stock Value
1
EXG icon
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
+$8.99M
2
ETW
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
ETW
+$7.23M
3
USA icon
Liberty All-Star Equity Fund
USA
+$5.6M
4
GHY
PGIM Global High Yield Fund
GHY
+$5.6M
5
DNP icon
DNP Select Income Fund
DNP
+$5.42M

Sector Composition

Rank Sector Weight
1 Financials 4.04%
2 Technology 0.05%
3 Energy 0.04%
4 Materials 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CXE
151
DELISTED
MFS High Income Municipal Trust
CXE
$557K 0.06%
120,141
+42,453
+55% +$193K
XLF icon
152
State Street Financial Select Sector SPDR ETF
XLF
$58.8B
$539K 0.06%
+30,871
New +$547K
HYV
153
DELISTED
BALCKROCK CORP HG YLD FD V INC
HYV
$490K 0.05%
+40,433
New +$482K
EAD
154
Allspring Income Opportunities Fund
EAD
$379M
$489K 0.05%
+54,302
New +$486K
MFL
155
DELISTED
BLACKROCK MUNIHOLDINGS INVESTMENT QUALITY FUND
MFL
$448K 0.05%
+34,167
New +$437K
HPQ icon
156
HP
HPQ
$27.5B
$441K 0.05%
+46,242
New +$511K
BCIC
157
BCP Investment Corp
BCIC
$92.9M
$403K 0.04%
+4,502
New +$428K
PCM
158
PCM Fund
PCM
$70.1M
$401K 0.04%
35,027
+17,227
+97% +$196K
OCSI
159
DELISTED
Oaktree Strategic Income Corporation
OCSI
$385K 0.04%
+28,400
New +$396K
NPT
160
DELISTED
NUVEEN PREM INSD MUNI FD-4 INC
NPT
$377K 0.04%
+31,700
New +$373K
MYF
161
DELISTED
Blackrock Muni Yield Investment Fund, Inc.
MYF
$368K 0.04%
+26,647
New +$358K
VMO icon
162
Invesco Municipal Opportunity Trust
VMO
$663M
$359K 0.04%
+30,470
New +$355K
BHL
163
DELISTED
Blackrock Defined Opp Crt Tr
BHL
$351K 0.04%
+25,086
New +$346K
HAV
164
DELISTED
HELIOS ADVANTAGE INCOME FD, INC
HAV
$349K 0.04%
40,911
-12,777
-24% -$105K
CMU
165
DELISTED
MFS High Yield Municipal Trust
CMU
$344K 0.04%
+82,979
New +$341K
TEI
166
Templeton Emerging Markets Income Fund
TEI
$321M
$330K 0.03%
23,125
-50,872
-69% -$723K
XLP icon
167
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.7B
$322K 0.03%
+8,100
New +$330K
KHI
168
DELISTED
Deutsche High Income Trust
KHI
$322K 0.03%
+35,528
New +$323K
CCJ icon
169
Cameco
CCJ
$42.4B
$320K 0.03%
+17,711
New +$355K
PMX
170
DELISTED
PIMCO Municipal Income Fund III
PMX
$302K 0.03%
28,891
-32,139
-53% -$332K
BYM
171
DELISTED
BlackRock Municipal Income Quality Trust
BYM
$282K 0.03%
20,745
-600
-3% -$7.8K
JHS
172
John Hancock Income Securities Trust
JHS
$127M
$281K 0.03%
+19,899
New +$283K
WEA
173
Western Asset Premier Bond Fund
WEA
$124M
$274K 0.03%
+19,338
New +$273K
EVG
174
Eaton Vance Short Duration Diversified Income Fund
EVG
$143M
$271K 0.03%
+17,516
New +$270K
BHD
175
DELISTED
BLACKROCK STRATEGIC BOND TRUST
BHD
$262K 0.03%
+20,233
New +$262K
5 6
7
8 9

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Rivernorth Capital Management's Q3 2013 Portfolio in Review

As of Q3 2013, Rivernorth Capital Management held 211 positions worth $950M, up 5.8% from $898M the previous quarter. Its ten largest holdings account for 29% of the portfolio.

Rivernorth Capital Management deployed $50.3M of net new capital in Q3 2013, opening 46 new positions and adding to 83 existing holdings. Its largest new stake was CORNERSTONE PROGRESSIVE RETURN FD COM: 205,617 shares worth $4.22M.

By sector, the portfolio is most concentrated in Financials at 4% of assets, down from 4.1% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund, an estimated $7.23M trimmed.

  • Rivernorth Capital Management's largest Q3 2013 buy was CORNERSTONE PROGRESSIVE RETURN FD COM: 205,617 shares worth $4.22M.
  • Rivernorth Capital Management added most to NUVEEN PREMIUM INCM MUNI FD II in Q3 2013, an estimated $7.94M increase.
  • Rivernorth Capital Management's biggest Q3 2013 reduction was Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund, cutting an estimated $7.23M.
  • Rivernorth Capital Management fully exited Eaton Vance Tax-Managed Global Diversified Equity Income Fund in Q3 2013, selling an estimated $8.99M.
  • Rivernorth Capital Management's ten largest holdings make up 29% of its $950M portfolio in Q3 2013.
  • Rivernorth Capital Management opened 46 new positions and closed 23 in Q3 2013.
  • Rivernorth Capital Management's portfolio value rose 5.8% quarter-over-quarter to $950M.

Based on Rivernorth Capital Management's 13F filing for Q3 2013, filed 14 Nov 2013.