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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
-8.89%
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
$1.63B
AUM Growth
+$14.2M
Cap. Flow
+$169M
Cap. Flow %
10.42%
Top 10 Hldgs %
26.02%
Holding
212
New
32
Increased
101
Reduced
30
Closed
14

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$32.2M
2
FAX
abrdn Asia-Pacific Income Fund
FAX
+$13.8M
3
ACAS
American Capital Ltd
ACAS
+$10.5M
4
OCSL icon
Oaktree Specialty Lending
OCSL
+$9.41M
5
GHY
PGIM Global High Yield Fund
GHY
+$7.85M

Top Sells

Rank Stock Value
1
PPT
Franklin Premier Income Trust
PPT
+$14.3M
2
OEF icon
iShares S&P 100 ETF
OEF
+$14M
3
BTT icon
BlackRock Municipal 2030 Target Term Trust
BTT
+$9.34M
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$7.07M
5
CTF
Nuveen Long/Short Commodity Fd
CTF
+$7.06M

Sector Composition

Rank Sector Weight
1 Financials 7.4%
2 Real Estate 0.16%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CIK
151
Credit Suisse Asset Management Income Fund
CIK
$134M
$2.13M 0.13%
751,457
+475,318
+172% +$1.41M
JHP
152
DELISTED
NUVEEN QUALITY PREFERRED INCOME FUND 3
JHP
$2.11M 0.13%
262,745
-2,500
-0.9% -$20.7K
GDF
153
DELISTED
WESTERN ASSET GLB PARTNERS INCM FUND INC. COM
GDF
$2.11M 0.13%
+263,858
New +$2.27M
HHY
154
DELISTED
Brookfield High Income Fund Inc.
HHY
$2.09M 0.13%
286,312
+189,698
+196% +$1.46M
NPF
155
DELISTED
NUVEEN PREMIER MUNI INCOME FD
NPF
$2.08M 0.13%
159,602
-17,210
-10% -$224K
IHD
156
Voya Emerging Markets High Income Dividend Equity Fund
IHD
$131M
$1.99M 0.12%
258,024
+69,648
+37% +$587K
PFN
157
PIMCO Income Strategy Fund II
PFN
$704M
$1.98M 0.12%
223,982
+139,822
+166% +$1.29M
SPE
158
Special Opportunities Fund
SPE
$143M
$1.91M 0.12%
142,415
+8,719
+7% +$123K
OHAI
159
DELISTED
OHA Investment Corporation
OHAI
$1.88M 0.12%
445,453
+155,034
+53% +$765K
EAD
160
Allspring Income Opportunities Fund
EAD
$379M
$1.87M 0.11%
246,791
+167,649
+212% +$1.34M
IQI icon
161
Invesco Quality Municipal Securities
IQI
$534M
$1.86M 0.11%
153,363
– –
TLI
162
DELISTED
Western Asset Corporate Loan Fund Inc.
TLI
$1.86M 0.11%
180,604
+3,368
+2% +$36.1K
VBF icon
163
Invesco Bond Fund
VBF
$168M
$1.76M 0.11%
99,781
+61,993
+164% +$1.09M
XRDC
164
DELISTED
Crossroads Capital, Inc
XRDC
$1.65M 0.1%
+350,961
New +$1.7M
CET
165
Central Securities Corp
CET
$1.64B
$1.59M 0.1%
80,395
– –
LBF
166
DELISTED
Deutsche Global High Incm Fund
LBF
$1.55M 0.1%
205,534
– –
PMO
167
Franklin Municipal Opportunities Trust
PMO
$286M
$1.47M 0.09%
122,543
-144,658
-54% -$1.71M
AVK
168
Advent Convertible and Income Fund
AVK
$563M
$1.45M 0.09%
+113,305
New +$1.67M
CXE
169
DELISTED
MFS High Income Municipal Trust
CXE
$1.44M 0.09%
+302,697
New +$1.4M
KIO
170
KKR Income Opportunities Fund
KIO
$457M
$1.43M 0.09%
+98,404
New +$1.49M
CHY
171
Calamos Convertible and High Income Fund
CHY
$1.06B
$1.24M 0.08%
+114,066
New +$1.36M
PFL
172
PIMCO Income Strategy Fund
PFL
$388M
$1.21M 0.07%
124,564
+114,164
+1,098% +$1.17M
NXZ
173
DELISTED
NUVEEN DIV ADV MUNI FD-2
NXZ
$1.2M 0.07%
87,744
+30,787
+54% +$415K
MSP
174
DELISTED
Madison Strategic Sector
MSP
$1.11M 0.07%
104,522
+15,507
+17% +$175K
SCD
175
LMP Capital and Income Fund
SCD
$360M
$948K 0.06%
+77,932
New +$1.08M
5 6
7
8 9

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Rivernorth Capital Management's Q3 2015 Portfolio in Review

As of Q3 2015, Rivernorth Capital Management held 212 positions worth $1.63B, up 0.88% from $1.61B the previous quarter. Its ten largest holdings account for 26% of the portfolio.

Rivernorth Capital Management deployed $169M of net new capital in Q3 2015, opening 32 new positions and adding to 101 existing holdings. Its largest new stake was JP Morgan Alerian MLP Index ETN 5/24/24: 211,452 shares worth $6.43M.

By sector, the portfolio is most concentrated in Financials at 7.4% of assets, up from 5.5% a quarter earlier, followed by Real Estate.

On the sell side, the largest reduction was iShares S&P 100 ETF, an estimated $14M trimmed.

  • Rivernorth Capital Management's largest Q3 2015 buy was JP Morgan Alerian MLP Index ETN 5/24/24: 211,452 shares worth $6.43M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q3 2015, an estimated $32.2M increase.
  • Rivernorth Capital Management's biggest Q3 2015 reduction was iShares S&P 100 ETF, cutting an estimated $14M.
  • Rivernorth Capital Management fully exited Franklin Premier Income Trust in Q3 2015, selling an estimated $14.3M.
  • Rivernorth Capital Management's ten largest holdings make up 26% of its $1.63B portfolio in Q3 2015.
  • Rivernorth Capital Management opened 32 new positions and closed 14 in Q3 2015.
  • Rivernorth Capital Management's portfolio value rose 0.88% quarter-over-quarter to $1.63B.

Based on Rivernorth Capital Management's 13F filing for Q3 2015, filed 16 Nov 2015.