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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
+0.49%
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
$1.49B
AUM Growth
-$14.6M
Cap. Flow
-$16.5M
Cap. Flow %
-1.11%
Top 10 Hldgs %
24.24%
Holding
211
New
11
Increased
68
Reduced
54
Closed
39

Top Buys

Rank Stock Value
1
STEW
SRH Total Return Fund
STEW
+$27.2M
2
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$17.2M
3
ACG
AllianceBernstein Income Fund Inc
ACG
+$14M
4
ACAS
American Capital Ltd
ACAS
+$8.16M
5
NPI
NUVEEN PREMIUN INC MUN FUND
NPI
+$7.58M

Top Sells

Rank Stock Value
1
GER
Goldman Sachs MLP Energy Renaissance Fund
GER
+$15.5M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$10.3M
3
BTF
BOULDER TOTAL RETURN FD INC
BTF
+$10.1M
4
BGH
Barings Global Short Duration High Yield Fund
BGH
+$9.53M
5
PSEC icon
Prospect Capital
PSEC
+$8.66M

Sector Composition

Rank Sector Weight
1 Financials 4.74%
2 Energy 0%
3 Technology 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BLW icon
151
BlackRock Limited Duration Income Trust
BLW
$492M
$1.06M 0.07%
+67,128
New +$1.06M
FDI
152
DELISTED
FORT DEARBORN INCOME SECS
FDI
$1.05M 0.07%
72,827
+52,127
+252% +$746K
IHD
153
Voya Emerging Markets High Income Dividend Equity Fund
IHD
$131M
$1M 0.07%
+99,406
New +$1.02M
ISD
154
PGIM High Yield Bond Fund
ISD
$419M
$997K 0.07%
61,255
-32,414
-35% -$532K
MSP
155
DELISTED
Madison Strategic Sector
MSP
$961K 0.06%
79,800
+22,700
+40% +$274K
HHY
156
DELISTED
Brookfield High Income Fund Inc.
HHY
$852K 0.06%
96,614
– –
PHD
157
DELISTED
Pioneer Floating Rate Fund
PHD
$840K 0.06%
72,206
+59,499
+468% +$679K
JSD
158
DELISTED
NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND
JSD
$818K 0.05%
47,703
-1,477
-3% -$25.1K
NXZ
159
DELISTED
NUVEEN DIV ADV MUNI FD-2
NXZ
$808K 0.05%
56,957
– –
PSEC icon
160
Prospect Capital
PSEC
$1.14B
$705K 0.05%
83,428
-1,014,063
-92% -$8.66M
RGT
161
Royce Global Value Trust
RGT
$102M
$585K 0.04%
72,702
-200
-0.3% -$1.6K
NQU
162
DELISTED
NUVEEN QUALITY INCOME MUNI FD
NQU
$550K 0.04%
39,145
-1,058
-3% -$14.9K
CIK
163
Credit Suisse Asset Management Income Fund
CIK
$134M
$512K 0.03%
+159,590
New +$516K
EAD
164
Allspring Income Opportunities Fund
EAD
$379M
$461K 0.03%
52,342
– –
EIM
165
Eaton Vance Municipal Bond Fund
EIM
$498M
$400K 0.03%
31,021
– –
SCM icon
166
Stellus Capital Investment Corp
SCM
$244M
$370K 0.02%
+30,682
New +$375K
VGM icon
167
Invesco Trust Investment Grade Municipals
VGM
$565M
$364K 0.02%
27,052
-134,203
-83% -$1.81M
GSBD icon
168
Goldman Sachs BDC
GSBD
$1.09B
$327K 0.02%
+15,830
New +$328K
FCRD
169
DELISTED
First Eagle Alternative Capital BDC, Inc. Common Stock
FCRD
$255K 0.02%
+20,788
New +$243K
BST icon
170
BlackRock Science and Technology Trust
BST
$1.71B
$180K 0.01%
+10,221
New +$181K
NQI
171
DELISTED
NUVEEN QUALITY MUNICIPAL FUND INC
NQI
$173K 0.01%
12,909
– –
TLI
172
DELISTED
Western Asset Corporate Loan Fund Inc.
TLI
$114K 0.01%
+10,229
New +$113K
AAPL icon
173
Apple
AAPL
$4.48T
– –
-8,400
Closed -$232K
BBDC icon
174
Barings BDC
BBDC
$970M
– –
-210,428
Closed -$4.27M
BCV
175
Bancroft Fund
BCV
$141M
– –
-33,057
Closed -$663K
5 6
7
8 9

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Rivernorth Capital Management's Q1 2015 Portfolio in Review

As of Q1 2015, Rivernorth Capital Management held 211 positions worth $1.49B, down 0.97% from $1.51B the previous quarter. Its ten largest holdings account for 24% of the portfolio.

Rivernorth Capital Management's Q1 2015 filing shows 11 new, 68 increased, 54 reduced and 39 closed positions. Its largest new stake was NUVEEN PREMIUN INC MUN FUND: 540,821 shares worth $7.58M. The largest sale was Goldman Sachs MLP Energy Renaissance Fund, an estimated $15.5M.

By sector, the portfolio is most concentrated in Financials at 4.7% of assets, down from 5.5% a quarter earlier, followed by Energy and Technology.

  • Rivernorth Capital Management's largest Q1 2015 buy was NUVEEN PREMIUN INC MUN FUND: 540,821 shares worth $7.58M.
  • Rivernorth Capital Management added most to SRH Total Return Fund in Q1 2015, an estimated $27.2M increase.
  • Rivernorth Capital Management's biggest Q1 2015 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $10.3M.
  • Rivernorth Capital Management fully exited Goldman Sachs MLP Energy Renaissance Fund in Q1 2015, selling an estimated $15.5M.
  • Rivernorth Capital Management's ten largest holdings make up 24% of its $1.49B portfolio in Q1 2015.
  • Rivernorth Capital Management opened 11 new positions and closed 39 in Q1 2015.
  • Rivernorth Capital Management's portfolio value fell 0.97% quarter-over-quarter to $1.49B.

Based on Rivernorth Capital Management's 13F filing for Q1 2015, filed 15 May 2015.