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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
-3.21%
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
$1.51B
AUM Growth
+$257M
Cap. Flow
+$295M
Cap. Flow %
19.59%
Top 10 Hldgs %
21.45%
Holding
221
New
46
Increased
73
Reduced
39
Closed
21

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$26M
2
BDCL
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
+$22.4M
3
GER
Goldman Sachs MLP Energy Renaissance Fund
GER
+$19.1M
4
FAX
abrdn Asia-Pacific Income Fund
FAX
+$18.6M
5
CBA
ClearBridge American Energy MLP
CBA
+$18.3M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$22.2M
2
JGT
NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA)
JGT
+$14.9M
3
SVVC
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
+$7.88M
4
PFL
PIMCO Income Strategy Fund
PFL
+$4.88M
5
VEA icon
Vanguard FTSE Developed Markets ETF
VEA
+$4.88M

Sector Composition

Rank Sector Weight
1 Financials 5.47%
2 Technology 0.02%
3 Energy 0%
4 Communication Services 0%
5 Consumer Discretionary 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPE
151
Special Opportunities Fund
SPE
$144M
$1.83M 0.12%
124,694
– –
ARMF
152
DELISTED
ARES MULTI-STRATEGY CR FD INC COM STK (MD)
ARMF
$1.78M 0.12%
91,281
+67,432
+283% +$1.36M
CET
153
Central Securities Corp
CET
$1.65B
$1.77M 0.12%
80,395
– –
SAR icon
154
Saratoga Investment
SAR
$322M
$1.62M 0.11%
109,064
+83,188
+321% +$1.26M
LBF
155
DELISTED
Deutsche Global High Incm Fund
LBF
$1.61M 0.11%
205,534
– –
KHI
156
DELISTED
Deutsche High Income Trust
KHI
$1.57M 0.1%
179,727
+300
+0.2% +$2.65K
ISD
157
PGIM High Yield Bond Fund
ISD
$419M
$1.56M 0.1%
+93,669
New +$1.54M
CFD
158
DELISTED
Nuveen Diversified Commodity Fnd
CFD
$1.51M 0.1%
117,378
+41,463
+55% +$532K
BSL
159
Blackstone Senior Floating Rate 2027 Term Fund
BSL
$170M
$1.46M 0.1%
87,370
+27,885
+47% +$474K
EDF
160
Virtus Stone Harbor Emerging Markets Income Fund
EDF
$171M
$1.36M 0.09%
+87,960
New +$1.54M
OIH icon
161
VanEck Oil Services ETF
OIH
$1.84B
$1.36M 0.09%
+1,895
New +$1.57M
VKI icon
162
Invesco Advantage Municipal Income Trust II
VKI
$401M
$1.3M 0.09%
111,941
-36,395
-25% -$419K
ICMB icon
163
Investcorp Credit Management BDC
ICMB
$12.1M
$1.26M 0.08%
+115,430
New +$1.39M
IWD icon
164
iShares Russell 1000 Value ETF
IWD
$83.9B
$1.25M 0.08%
11,960
-5,415
-31% -$552K
MGU
165
DELISTED
Macquarie Global Infrastructure Total Return Fund, Inc.
MGU
$1.2M 0.08%
48,419
-49,625
-51% -$1.24M
ABDC
166
DELISTED
Alcentra Capital Corp
ABDC
$1.08M 0.07%
+86,476
New +$1.09M
ETX
167
Eaton Vance Municipal Income 2028 Term Trust
ETX
$199M
$1.05M 0.07%
60,184
-12,759
-17% -$224K
FRA icon
168
BlackRock Floating Rate Income Strategies Fund
FRA
$385M
$1.04M 0.07%
77,739
+43,078
+124% +$586K
JPI
169
DELISTED
Nuveen Preferred Securities & Income Opportunities Fund
JPI
$1.02M 0.07%
45,303
-1,026
-2% -$23.6K
JFR icon
170
Nuveen Floating Rate Income Fund
JFR
$1.25B
$943K 0.06%
+85,802
New +$945K
SLRC icon
171
SLR Investment Corp
SLRC
$715M
$866K 0.06%
+48,088
New +$884K
HHY
172
DELISTED
Brookfield High Income Fund Inc.
HHY
$861K 0.06%
96,614
– –
JSD
173
DELISTED
NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND
JSD
$819K 0.05%
49,180
+34,842
+243% +$593K
NXZ
174
DELISTED
NUVEEN DIV ADV MUNI FD-2
NXZ
$804K 0.05%
56,957
+42,303
+289% +$595K
DNY
175
DELISTED
DENALI FUND INC (THE) COM STK
DNY
$745K 0.05%
32,999
– –
5 6
7
8 9

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Rivernorth Capital Management's Q4 2014 Portfolio in Review

As of Q4 2014, Rivernorth Capital Management held 221 positions worth $1.51B, up 21% from $1.25B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Rivernorth Capital Management deployed $295M of net new capital in Q4 2014, opening 46 new positions and adding to 73 existing holdings. Its largest new stake was 2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev: 990,320 shares worth $21.2M.

By sector, the portfolio is most concentrated in Financials at 5.5% of assets, up from 4% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was State Street SPDR S&P 500 ETF Trust, an estimated $22.2M trimmed.

  • Rivernorth Capital Management's largest Q4 2014 buy was 2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev: 990,320 shares worth $21.2M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q4 2014, an estimated $26M increase.
  • Rivernorth Capital Management's biggest Q4 2014 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $22.2M.
  • Rivernorth Capital Management fully exited NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA) in Q4 2014, selling an estimated $14.9M.
  • Rivernorth Capital Management's ten largest holdings make up 21% of its $1.51B portfolio in Q4 2014.
  • Rivernorth Capital Management opened 46 new positions and closed 21 in Q4 2014.
  • Rivernorth Capital Management's portfolio value rose 21% quarter-over-quarter to $1.51B.

Based on Rivernorth Capital Management's 13F filing for Q4 2014, filed 17 Feb 2015.