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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
+2.65%
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
$1.62B
AUM Growth
-$143M
Cap. Flow
-$274M
Cap. Flow %
-16.98%
Top 10 Hldgs %
30.32%
Holding
425
New
161
Increased
45
Reduced
86
Closed
91

Top Buys

Rank Stock Value
1
HIX
Western Asset High Income Fund II
HIX
+$16.6M
2
OCSL icon
Oaktree Specialty Lending
OCSL
+$13.7M
3
BCSF icon
Bain Capital Specialty
BCSF
+$11M
4
FIV
First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest
FIV
+$9.21M
5
CPZ
Calamos Long/Short Equity & Dynamic Income Trust
CPZ
+$8.1M

Top Sells

Rank Stock Value
1
GBDC icon
Golub Capital BDC
GBDC
+$31.3M
2
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$26M
3
HFRO
Highland Opportunities and Income Fund
HFRO
+$17.9M
4
EIM
Eaton Vance Municipal Bond Fund
EIM
+$17.2M
5
SABA
Saba Capital Income & Opportunities Fund II
SABA
+$14.9M

Sector Composition

Rank Sector Weight
1 Financials 8.07%
2 Technology 1.29%
3 Consumer Discretionary 1%
4 Industrials 0.91%
5 Healthcare 0.66%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RVT icon
151
Royce Value Trust
RVT
$2.3B
$1.78M 0.11%
140,940
-20,865
-13% -$273K
FGNA.U
152
DELISTED
FG New America Acquisition Corp. Units, each consisting of one share of Class A common stock and one
FGNA.U
$1.75M 0.11%
+175,000
New +$1.75M
TLI
153
DELISTED
Western Asset Corporate Loan Fund Inc.
TLI
$1.71M 0.11%
+184,864
New +$1.68M
WIA
154
Western Asset Inflation-Linked Income Fund
WIA
$187M
$1.65M 0.1%
135,541
-320,320
-70% -$4.04M
UPH
155
DELISTED
UpHealth, Inc.
UPH
$1.65M 0.1%
+16,188
New +$1.65M
UK icon
156
Ucommune International Ltd Class A Ordinary Shares
UK
$1.52M
$1.63M 0.1%
+67
New +$1.64M
ESSC
157
DELISTED
East Stone Acquisition Corporation Ordinary Shares
ESSC
$1.63M 0.1%
+165,000
New +$1.63M
FPL
158
DELISTED
FIRST TRUST NEW OPPORTUNITIES MLP & ENERGY FUND
FPL
$1.61M 0.1%
447,285
+375,056
+519% +$1.49M
CTR
159
DELISTED
ClearBridge MLP and Midstream Total Return Fund Inc.
CTR
$1.54M 0.1%
154,197
-63,660
-29% -$794K
MUS
160
DELISTED
BLACKROCK MUNIHOLDINGS QUALITY FUND, INC.
MUS
$1.51M 0.09%
116,953
-2,210
-2% -$28.3K
ITACU
161
DELISTED
Industrial Tech Acquisitions, Inc. Unit
ITACU
$1.5M 0.09%
+150,000
New +$1.5M
LATN
162
DELISTED
Union Acquisition Corp. II Ordinary Shares
LATN
$1.49M 0.09%
+150,000
New +$1.5M
RPLA
163
DELISTED
Replay Acquisition Corp. Ordinary Shares
RPLA
$1.49M 0.09%
+145,910
New +$1.49M
FIRY
164
Firy Inc
FIRY
$160M
$1.46M 0.09%
+6,000
New +$1.38M
NVVE
165
DELISTED
Nuvve Holding Corp
NVVE
$1.45M 0.09%
+1
New +$2.86M
BXMX
166
DELISTED
Nuveen S&P 500 Buy-Write Income Fund
BXMX
$1.42M 0.09%
+125,982
New +$1.44M
KTF
167
DWS Municipal Income Trust
KTF
$353M
$1.39M 0.09%
125,699
– –
ASTS icon
168
AST SpaceMobile
ASTS
$21.4B
$1.36M 0.08%
+134,999
New +$1.37M
EVY
169
DELISTED
Eaton Vance New York Municipal Income Trust
EVY
$1.31M 0.08%
102,186
+3,500
+4% +$45.7K
MP icon
170
MP Materials
MP
$9.84B
$1.29M 0.08%
+94,979
New +$1.2M
VINC
171
DELISTED
Vincerx Pharma, Inc. Common Stock
VINC
$1.24M 0.08%
+5,000
New +$1.02M
BGH
172
Barings Global Short Duration High Yield Fund
BGH
$286M
$1.22M 0.08%
91,188
-118,039
-56% -$1.55M
SFT
173
DELISTED
Shift Technologies, Inc. Class A Common Stock
SFT
$1.17M 0.07%
+9,879
New +$1.19M
QS icon
174
QuantumScape Corp
QS
$3.9B
$1.16M 0.07%
+69,371
New +$1.03M
PRCH icon
175
Porch Group
PRCH
$1.79B
$1.07M 0.07%
+96,600
New +$1.02M
5 6
7
8 9

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Rivernorth Capital Management's Q3 2020 Portfolio in Review

As of Q3 2020, Rivernorth Capital Management held 425 positions worth $1.62B, down 8.2% from $1.76B the previous quarter. Its ten largest holdings account for 30% of the portfolio.

Rivernorth Capital Management withdrew a net $274M in Q3 2020, closing 91 positions and reducing 86 holdings. Its most notable exit was Virtus Dividend, Interest & Premium Strategy Fund, an estimated $8.76M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8.1% of assets, up from 5.7% a quarter earlier, followed by Technology and Consumer Discretionary.

Against the trend, Rivernorth Capital Management opened a new position in First Eagle Senior Loan Fund worth $4.55M.

  • Rivernorth Capital Management's largest Q3 2020 buy was First Eagle Senior Loan Fund: 367,079 shares worth $4.55M.
  • Rivernorth Capital Management added most to Western Asset High Income Fund II in Q3 2020, an estimated $16.6M increase.
  • Rivernorth Capital Management's biggest Q3 2020 reduction was Golub Capital BDC, cutting an estimated $31.3M.
  • Rivernorth Capital Management fully exited Virtus Dividend, Interest & Premium Strategy Fund in Q3 2020, selling an estimated $8.76M.
  • Rivernorth Capital Management's ten largest holdings make up 30% of its $1.62B portfolio in Q3 2020.
  • Rivernorth Capital Management opened 161 new positions and closed 91 in Q3 2020.
  • Rivernorth Capital Management's portfolio value fell 8.2% quarter-over-quarter to $1.62B.

Based on Rivernorth Capital Management's 13F filing for Q3 2020, filed 16 Nov 2020.