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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
+1.27%
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
$1.31B
AUM Growth
-$135M
Cap. Flow
-$154M
Cap. Flow %
-11.81%
Top 10 Hldgs %
33.37%
Holding
166
New
25
Increased
37
Reduced
63
Closed
26

Top Buys

Rank Stock Value
1
ARCC icon
Ares Capital
ARCC
+$19.1M
2
BRW
Saba Capital Income & Opportunities Fund
BRW
+$10.4M
3
CGBD icon
Carlyle Secured Lending
CGBD
+$5.76M
4
LCM
Advent/Claymore Enhanced Gth & F
LCM
+$5.33M
5
BRQS
Borqs Technologies, Inc. Ordinary Shares
BRQS
+$5.06M

Top Sells

Rank Stock Value
1
ERC
Allspring Multi-Sector Income Fund
ERC
+$17.4M
2
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$15M
3
GLO
Clough Global Opportunities Fund
GLO
+$13M
4
RA
Brookfield Real Assets Income Fund
RA
+$11.6M
5
USA icon
Liberty All-Star Equity Fund
USA
+$9.55M

Sector Composition

Rank Sector Weight
1 Financials 5.18%
2 Technology 0.84%
3 Energy 0.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MUC icon
151
BlackRock MuniHoldings California Quality Fund
MUC
$1B
– –
-164,303
Closed -$2.33M
NRO
152
Neuberger Real Estate Securities Income Fund Inc
NRO
$188M
– –
-1,397,631
Closed -$7.09M
NZF icon
153
Nuveen Municipal Credit Income Fund
NZF
$2.43B
– –
-368,594
Closed -$5.3M
OFS icon
154
OFS Capital
OFS
$50.8M
– –
-101,699
Closed -$1.44M
PCF
155
High Income Securities Fund
PCF
$100M
– –
-40,009
Closed -$347K
PGZ
156
Principal Real Estate Income Fund
PGZ
$68.5M
– –
-57,928
Closed -$1.02M
PPT
157
Franklin Premier Income Trust
PPT
$329M
– –
-710,418
Closed -$3.74M
VKQ icon
158
Invesco Municipal Trust
VKQ
$547M
– –
-270,076
Closed -$3.38M
PCI
159
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
– –
-700,196
Closed -$15M
FNTEU
160
DELISTED
FinTech Acquisition Corp. II Unit
FNTEU
– –
-125,000
Closed -$1.27M
XRDC
161
DELISTED
Crossroads Capital, Inc
XRDC
– –
-585,219
Closed -$1.34M
KLREW
162
DELISTED
KLR Energy Acquisition Corp.
KLREW
– –
-185,800
Closed -$219K
KLRE
163
DELISTED
KLR Energy Acquisition Corp
KLRE
– –
-200,000
Closed -$2.07M
JPW
164
DELISTED
Nuveen Flexible Invstment Fd
JPW
– –
-24,200
Closed -$410K
DCA
165
DELISTED
Virtus Total Return Fund
DCA
– –
-73,870
Closed -$323K
MPACU
166
DELISTED
Matlin & Partners Acquisition Corporation Units
MPACU
– –
-150,000
Closed -$1.5M
3 4 5 6
7

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Rivernorth Capital Management's Q2 2017 Portfolio in Review

As of Q2 2017, Rivernorth Capital Management held 166 positions worth $1.31B, down 9.3% from $1.44B the previous quarter. Its ten largest holdings account for 33% of the portfolio.

Rivernorth Capital Management withdrew a net $154M in Q2 2017, closing 26 positions and reducing 63 holdings. Its most notable exit was PIMCO Dynamic Credit and Mortgage Income Fund, an estimated $15M position sold in full.

By sector, the portfolio is most concentrated in Financials at 5.2% of assets, up from 4% a quarter earlier, followed by Technology and Energy.

Against the trend, Rivernorth Capital Management opened a new position in Carlyle Secured Lending worth $5.68M.

  • Rivernorth Capital Management's largest Q2 2017 buy was Carlyle Secured Lending: 315,143 shares worth $5.68M.
  • Rivernorth Capital Management added most to Ares Capital in Q2 2017, an estimated $19.1M increase.
  • Rivernorth Capital Management's biggest Q2 2017 reduction was Allspring Multi-Sector Income Fund, cutting an estimated $17.4M.
  • Rivernorth Capital Management fully exited PIMCO Dynamic Credit and Mortgage Income Fund in Q2 2017, selling an estimated $15M.
  • Rivernorth Capital Management's ten largest holdings make up 33% of its $1.31B portfolio in Q2 2017.
  • Rivernorth Capital Management opened 25 new positions and closed 26 in Q2 2017.
  • Rivernorth Capital Management's portfolio value fell 9.3% quarter-over-quarter to $1.31B.

Based on Rivernorth Capital Management's 13F filing for Q2 2017, filed 14 Aug 2017.