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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
+0.99%
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
$1.3B
AUM Growth
+$353M
Cap. Flow
+$331M
Cap. Flow %
25.4%
Top 10 Hldgs %
22.27%
Holding
261
New
73
Increased
81
Reduced
45
Closed
44

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$23.8M
2
VMO icon
Invesco Municipal Opportunity Trust
VMO
+$19.4M
3
JQC icon
Nuveen Credit Strategies Income Fund
JQC
+$17.3M
4
NMA
NUVEEN MUNI ADVANTAGE FUND
NMA
+$14.2M
5
DSU icon
BlackRock Debt Strategies Fund
DSU
+$12.6M

Top Sells

Rank Stock Value
1
VOO icon
Vanguard S&P 500 ETF
VOO
+$19.5M
2
OEF icon
iShares S&P 100 ETF
OEF
+$10.4M
3
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$9.35M
4
ETW
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
ETW
+$7.2M
5
CWB icon
State Street SPDR Bloomberg Convertible Securities ETF
CWB
+$5.02M

Sector Composition

Rank Sector Weight
1 Financials 4.29%
2 Technology 0.1%
3 Materials 0.04%
4 Communication Services 0.03%
5 Energy 0.01%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HMH
176
DELISTED
HELIOS MULTI-SECTOR HIGH INCOME FD, INC
HMH
$813K 0.06%
135,222
+109,347
+423% +$646K
TLI
177
DELISTED
Western Asset Corporate Loan Fund Inc.
TLI
$799K 0.06%
+65,366
New +$785K
XLF icon
178
State Street Financial Select Sector SPDR ETF
XLF
$58.8B
$785K 0.06%
40,895
+10,024
+32% +$184K
SPY icon
179
State Street SPDR S&P 500 ETF Trust
SPY
$810B
$774K 0.06%
4,190
-3,310
-44% -$586K
PGZ
180
Principal Real Estate Income Fund
PGZ
$68.7M
$768K 0.06%
+45,022
New +$779K
JRS icon
181
Nuveen Real Estate Income Fund
JRS
$246M
$735K 0.06%
+77,227
New +$823K
PCF
182
High Income Securities Fund
PCF
$99.9M
$725K 0.06%
87,831
-44,817
-34% -$365K
HYF
183
DELISTED
MANAGED HIGH YLD PLUS FD INC
HYF
$707K 0.05%
348,036
+6,100
+2% +$12.4K
NSLR
184
Neostellar Capital Corp
NSLR
$254M
$639K 0.05%
81,409
– –
MFL
185
DELISTED
BLACKROCK MUNIHOLDINGS INVESTMENT QUALITY FUND
MFL
$626K 0.05%
49,980
+15,813
+46% +$201K
NUV icon
186
Nuveen Municipal Value Fund
NUV
$1.91B
$615K 0.05%
68,060
+43,321
+175% +$388K
EQS icon
187
Equus Total Return
EQS
$16.8M
$587K 0.05%
295,005
– –
VVR icon
188
Invesco Senior Income Trust
VVR
$454M
$567K 0.04%
+112,561
New +$584K
GDL
189
GDL Fund
GDL
$92.1M
$564K 0.04%
51,213
-26,760
-34% -$301K
IWD icon
190
iShares Russell 1000 Value ETF
IWD
$83.9B
$509K 0.04%
+5,400
New +$490K
XLV icon
191
State Street Health Care Select Sector SPDR ETF
XLV
$43.3B
$493K 0.04%
+8,900
New +$476K
HIO
192
Western Asset High Income Opportunity Fund
HIO
$340M
$459K 0.04%
77,440
-262,249
-77% -$1.57M
MQT
193
DELISTED
BlackRock MuniYield Quality Fund II
MQT
$442K 0.03%
37,869
-76,836
-67% -$905K
JFR icon
194
Nuveen Floating Rate Income Fund
JFR
$1.25B
$381K 0.03%
+32,004
New +$381K
JMF
195
DELISTED
NUVEEN ENERGY MLP TOTAL RETURN FUND
JMF
$380K 0.03%
+19,456
New +$365K
OCSI
196
DELISTED
Oaktree Strategic Income Corporation
OCSI
$376K 0.03%
28,400
– –
META icon
197
Meta Platforms (Facebook)
META
$1.51T
$344K 0.03%
+6,400
New +$321K
TEI
198
Templeton Emerging Markets Income Fund
TEI
$321M
$344K 0.03%
25,196
+2,071
+9% +$29.5K
BRW
199
Saba Capital Income & Opportunities Fund
BRW
$339M
$340K 0.03%
+29,213
New +$348K
CXE
200
DELISTED
MFS High Income Municipal Trust
CXE
$306K 0.02%
68,559
-51,582
-43% -$231K
6 7
8
9 10

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Rivernorth Capital Management's Q4 2013 Portfolio in Review

As of Q4 2013, Rivernorth Capital Management held 261 positions worth $1.3B, up 37% from $950M the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Rivernorth Capital Management deployed $331M of net new capital in Q4 2013, opening 73 new positions and adding to 81 existing holdings. Its largest new stake was Nuveen Credit Strategies Income Fund: 1,845,135 shares worth $18M.

By sector, the portfolio is most concentrated in Financials at 4.3% of assets, up from 4% a quarter earlier, followed by Technology and Materials.

On the sell side, the largest reduction was iShares S&P 100 ETF, an estimated $10.4M trimmed.

  • Rivernorth Capital Management's largest Q4 2013 buy was Nuveen Credit Strategies Income Fund: 1,845,135 shares worth $18M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q4 2013, an estimated $23.8M increase.
  • Rivernorth Capital Management's biggest Q4 2013 reduction was iShares S&P 100 ETF, cutting an estimated $10.4M.
  • Rivernorth Capital Management fully exited Vanguard S&P 500 ETF in Q4 2013, selling an estimated $19.5M.
  • Rivernorth Capital Management's ten largest holdings make up 22% of its $1.3B portfolio in Q4 2013.
  • Rivernorth Capital Management opened 73 new positions and closed 44 in Q4 2013.
  • Rivernorth Capital Management's portfolio value rose 37% quarter-over-quarter to $1.3B.

Based on Rivernorth Capital Management's 13F filing for Q4 2013, filed 14 Feb 2014.