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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
-3.42%
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
$1.25B
AUM Growth
+$4.13M
Cap. Flow
+$50.9M
Cap. Flow %
4.07%
Top 10 Hldgs %
25.52%
Holding
203
New
26
Increased
73
Reduced
52
Closed
28

Top Buys

Rank Stock Value
1
DRA
Diversified Real Asset Income Fd
DRA
+$11.1M
2
ACG
AllianceBernstein Income Fund Inc
ACG
+$10.1M
3
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$8.04M
4
NPT
NUVEEN PREM INSD MUNI FD-4 INC
NPT
+$6.87M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.62M

Top Sells

Rank Stock Value
1
NPI
NUVEEN PREMIUN INC MUN FUND
NPI
+$9.49M
2
NML
Neuberger Energy Infrastructure and Income Fund Inc
NML
+$8.89M
3
ETJ
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
+$6.56M
4
NMA
NUVEEN MUNI ADVANTAGE FUND
NMA
+$5.22M
5
BSP
AMERN STRATEGIC INCM PORTF II
BSP
+$4.4M

Sector Composition

Rank Sector Weight
1 Financials 3.96%
2 Technology 0.18%
3 Energy 0.05%
4 Consumer Discretionary 0.03%
5 Communication Services 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ARMF
151
DELISTED
ARES MULTI-STRATEGY CR FD INC COM STK (MD)
ARMF
$496K 0.04%
23,849
-15,357
-39% -$333K
FRA icon
152
BlackRock Floating Rate Income Strategies Fund
FRA
$385M
$487K 0.04%
34,661
-139,471
-80% -$1.99M
KRE icon
153
State Street SPDR S&P Regional Banking ETF
KRE
$4.57B
$479K 0.04%
+12,648
New +$493K
TEI
154
Templeton Emerging Markets Income Fund
TEI
$321M
$433K 0.03%
+34,016
New +$457K
SAR icon
155
Saratoga Investment
SAR
$322M
$415K 0.03%
+25,876
New +$412K
AAPL icon
156
Apple
AAPL
$4.57T
$413K 0.03%
+16,400
New +$402K
VCV icon
157
Invesco California Value Municipal Income Trust
VCV
$522M
$404K 0.03%
33,073
-19,616
-37% -$240K
VVR icon
158
Invesco Senior Income Trust
VVR
$454M
$397K 0.03%
+83,500
New +$406K
EIM
159
Eaton Vance Municipal Bond Fund
EIM
$499M
$388K 0.03%
31,021
-11,900
-28% -$148K
ACSF
160
DELISTED
American Capital Senior Floating, Ltd.
ACSF
$383K 0.03%
29,449
-28,218
-49% -$392K
PSEC icon
161
Prospect Capital
PSEC
$1.17B
$368K 0.03%
+37,200
New +$392K
FOSL icon
162
Fossil Group
FOSL
$318M
$347K 0.03%
+3,700
New +$373K
FDI
163
DELISTED
FORT DEARBORN INCOME SECS
FDI
$300K 0.02%
+20,700
New +$302K
XLF icon
164
State Street Financial Select Sector SPDR ETF
XLF
$58.8B
$299K 0.02%
14,695
-17,087
-54% -$345K
YHOO
165
DELISTED
Yahoo Inc
YHOO
$295K 0.02%
7,242
-1,658
-19% -$62.2K
VXX
166
PUT
DELISTED
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
$275K 0.02%
59
+6
+11% +$2.78K
NFLX icon
167
Netflix
NFLX
$309B
$245K 0.02%
+37,940
New +$246K
JSD
168
DELISTED
NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND
JSD
$245K 0.02%
14,338
+3,800
+36% +$68.1K
AMAT icon
169
Applied Materials
AMAT
$428B
$244K 0.02%
+11,300
New +$250K
PBR icon
170
Petrobras
PBR
$116B
$243K 0.02%
+17,100
New +$286K
XLI icon
171
State Street Industrial Select Sector SPDR ETF
XLI
$34.6B
$216K 0.02%
+4,056
New +$218K
SLV icon
172
iShares Silver Trust
SLV
$30.9B
$208K 0.02%
+12,700
New +$240K
GDV icon
173
Gabelli Dividend & Income Trust
GDV
$2.66B
$205K 0.02%
9,618
-9,368
-49% -$204K
NXZ
174
DELISTED
NUVEEN DIV ADV MUNI FD-2
NXZ
$204K 0.02%
+14,654
New +$202K
ACI
175
DELISTED
ARCH COAL, INC.
ACI
$35K ﹤0.01%
1,669
+160
+11% +$4.79K
5 6
7
8 9

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Rivernorth Capital Management's Q3 2014 Portfolio in Review

As of Q3 2014, Rivernorth Capital Management held 203 positions worth $1.25B, up 0.33% from $1.25B the previous quarter. Its ten largest holdings account for 26% of the portfolio.

Rivernorth Capital Management deployed $50.9M of net new capital in Q3 2014, opening 26 new positions and adding to 73 existing holdings. Its largest new stake was Diversified Real Asset Income Fd: 626,697 shares worth $11.1M.

By sector, the portfolio is most concentrated in Financials at 4% of assets, up from 3.9% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was NUVEEN MUNI ADVANTAGE FUND, an estimated $5.22M trimmed.

  • Rivernorth Capital Management's largest Q3 2014 buy was Diversified Real Asset Income Fd: 626,697 shares worth $11.1M.
  • Rivernorth Capital Management added most to AllianceBernstein Income Fund Inc in Q3 2014, an estimated $10.1M increase.
  • Rivernorth Capital Management's biggest Q3 2014 reduction was NUVEEN MUNI ADVANTAGE FUND, cutting an estimated $5.22M.
  • Rivernorth Capital Management fully exited NUVEEN PREMIUN INC MUN FUND in Q3 2014, selling an estimated $9.49M.
  • Rivernorth Capital Management's ten largest holdings make up 26% of its $1.25B portfolio in Q3 2014.
  • Rivernorth Capital Management opened 26 new positions and closed 28 in Q3 2014.
  • Rivernorth Capital Management's portfolio value rose 0.33% quarter-over-quarter to $1.25B.

Based on Rivernorth Capital Management's 13F filing for Q3 2014, filed 14 Nov 2014.