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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
+0.75%
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
$1.76B
AUM Growth
+$131M
Cap. Flow
+$95.5M
Cap. Flow %
5.44%
Top 10 Hldgs %
28.21%
Holding
219
New
21
Increased
90
Reduced
49
Closed
21

Top Buys

Rank Stock Value
1
ACAS
American Capital Ltd
ACAS
+$29.3M
2
OCSL icon
Oaktree Specialty Lending
OCSL
+$21.2M
3
KYN icon
Kayne Anderson Energy Infrastructure Fund
KYN
+$16.2M
4
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$14.6M
5
NCZ
Virtus Convertible & Income Fund II
NCZ
+$13.3M

Top Sells

Rank Stock Value
1
HCF
NEXPOINT CREDIT STRATEGIES FUND
HCF
+$29.4M
2
NPM
NUVEEN PREMIUM INCM MUNI FD II
NPM
+$16.5M
3
VMO icon
Invesco Municipal Opportunity Trust
VMO
+$7.57M
4
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$5.56M
5
NBB icon
Nuveen Taxable Municipal Income Fund
NBB
+$5.46M

Sector Composition

Rank Sector Weight
1 Financials 8.56%
2 Real Estate 0.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TLI
151
DELISTED
Western Asset Corporate Loan Fund Inc.
TLI
$1.83M 0.1%
184,876
+4,272
+2% +$42.7K
SPE
152
Special Opportunities Fund
SPE
$144M
$1.82M 0.1%
144,234
+1,819
+1% +$24.7K
BCX icon
153
BlackRock Resources & Commodities Strategy Trust
BCX
$923M
$1.81M 0.1%
+254,446
New +$1.86M
XRDC
154
DELISTED
Crossroads Capital, Inc
XRDC
$1.77M 0.1%
553,048
+202,087
+58% +$803K
DPG
155
Duff & Phelps Utility and Infrastructure Fund
DPG
$524M
$1.66M 0.09%
+112,550
New +$1.73M
AMJ
156
DELISTED
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
$1.64M 0.09%
56,597
-154,855
-73% -$4.75M
NXZ
157
DELISTED
NUVEEN DIV ADV MUNI FD-2
NXZ
$1.64M 0.09%
115,708
+27,964
+32% +$385K
VLT icon
158
Invesco High Income Trust II
VLT
$65.7M
$1.61M 0.09%
125,377
+65,246
+109% +$859K
BTT icon
159
BlackRock Municipal 2030 Target Term Trust
BTT
$1.44B
$1.6M 0.09%
74,349
-116,607
-61% -$2.44M
HIX
160
Western Asset High Income Fund II
HIX
$355M
$1.6M 0.09%
253,725
-154,923
-38% -$1.03M
LBF
161
DELISTED
Deutsche Global High Incm Fund
LBF
$1.55M 0.09%
205,534
– –
CET
162
Central Securities Corp
CET
$1.65B
$1.53M 0.09%
80,395
– –
CCD
163
Calamos Dynamic Convertible & Income Fund
CCD
$742M
$1.53M 0.09%
+84,627
New +$1.57M
DMB
164
BNY Mellon Municipal Bond Infrastructure Fund
DMB
$196M
$1.43M 0.08%
115,691
-66,111
-36% -$804K
PIM
165
Franklin Master Intermediate Income Trust
PIM
$151M
$1.31M 0.07%
287,879
-232,368
-45% -$1.06M
MSP
166
DELISTED
Madison Strategic Sector
MSP
$1.26M 0.07%
117,484
+12,962
+12% +$143K
NQU
167
DELISTED
NUVEEN QUALITY INCOME MUNI FD
NQU
$1.16M 0.07%
81,451
+42,306
+108% +$581K
KST
168
DELISTED
Deutsche Strategic Income Trust
KST
$1.1M 0.06%
105,015
+53,671
+105% +$559K
PCF
169
High Income Securities Fund
PCF
$99.9M
$1.1M 0.06%
150,105
+17,461
+13% +$128K
GMZ
170
DELISTED
Goldman Sachs MLP Income Opportunities Fund
GMZ
$1.08M 0.06%
+18,721
New +$1.35M
CHY
171
Calamos Convertible and High Income Fund
CHY
$1.06B
$1.08M 0.06%
102,481
-11,585
-10% -$128K
SOR
172
Source Capital
SOR
$385M
$975K 0.06%
+14,720
New +$1M
NPM
173
DELISTED
NUVEEN PREMIUM INCM MUNI FD II
NPM
$905K 0.05%
62,555
-1,191,517
-95% -$16.5M
JPC icon
174
Nuveen Preferred & Income Opportunities Fund
JPC
$2.9B
$893K 0.05%
97,465
-233,697
-71% -$2.14M
CEFL
175
DELISTED
ETRACS Monthly Pay 2xLeveraged Closed-End Fund ETN
CEFL
$862K 0.05%
56,148
-122,102
-69% -$1.99M
5 6
7
8 9

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Rivernorth Capital Management's Q4 2015 Portfolio in Review

As of Q4 2015, Rivernorth Capital Management held 219 positions worth $1.76B, up 8% from $1.63B the previous quarter. Its ten largest holdings account for 28% of the portfolio.

Rivernorth Capital Management deployed $95.5M of net new capital in Q4 2015, opening 21 new positions and adding to 90 existing holdings. Its largest new stake was Kayne Anderson Energy Infrastructure Fund: 814,633 shares worth $14.1M.

By sector, the portfolio is most concentrated in Financials at 8.6% of assets, up from 7.4% a quarter earlier, followed by Real Estate.

On the sell side, the largest reduction was NEXPOINT CREDIT STRATEGIES FUND, an estimated $29.4M trimmed.

  • Rivernorth Capital Management's largest Q4 2015 buy was Kayne Anderson Energy Infrastructure Fund: 814,633 shares worth $14.1M.
  • Rivernorth Capital Management added most to American Capital Ltd in Q4 2015, an estimated $29.3M increase.
  • Rivernorth Capital Management's biggest Q4 2015 reduction was NEXPOINT CREDIT STRATEGIES FUND, cutting an estimated $29.4M.
  • Rivernorth Capital Management fully exited Invesco Municipal Opportunity Trust in Q4 2015, selling an estimated $7.57M.
  • Rivernorth Capital Management's ten largest holdings make up 28% of its $1.76B portfolio in Q4 2015.
  • Rivernorth Capital Management opened 21 new positions and closed 21 in Q4 2015.
  • Rivernorth Capital Management's portfolio value rose 8% quarter-over-quarter to $1.76B.

Based on Rivernorth Capital Management's 13F filing for Q4 2015, filed 16 Feb 2016.