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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
+3.5%
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
$1.25B
AUM Growth
+$16.6M
Cap. Flow
-$28.9M
Cap. Flow %
-2.32%
Top 10 Hldgs %
24.23%
Holding
217
New
27
Increased
63
Reduced
59
Closed
40

Top Buys

Rank Stock Value
1
VEA icon
Vanguard FTSE Developed Markets ETF
VEA
+$17.4M
2
SABA
Saba Capital Income & Opportunities Fund II
SABA
+$8.41M
3
ACG
AllianceBernstein Income Fund Inc
ACG
+$8.4M
4
CFP
CORNERSTONE PROGRESSIVE RETURN FD COM
CFP
+$6.58M
5
ACAS
American Capital Ltd
ACAS
+$5.84M

Top Sells

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$17.1M
2
PDI icon
PIMCO Dynamic Income Fund
PDI
+$15.6M
3
FAX
abrdn Asia-Pacific Income Fund
FAX
+$15.4M
4
EDF
Virtus Stone Harbor Emerging Markets Income Fund
EDF
+$5.88M
5
ELD icon
WisdomTree Emerging Markets Local Debt Fund
ELD
+$5.53M

Sector Composition

Rank Sector Weight
1 Financials 3.87%
2 Materials 0.04%
3 Energy 0.03%
4 Healthcare 0%
5 Technology 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NAC icon
176
Nuveen California Quality Municipal Income Fund
NAC
$1.85B
$179K 0.01%
+12,833
New +$181K
ACI
177
DELISTED
ARCH COAL, INC.
ACI
$55K ﹤0.01%
1,509
– –
AAPL icon
178
Apple
AAPL
$4.57T
– –
-25,200
Closed -$483K
AMZN icon
179
PUT
Amazon
AMZN
$2.96T
– –
-2,100
Closed -$292K
BBN icon
180
BlackRock Taxable Municipal Bond Trust
BBN
$986M
– –
-80,053
Closed -$1.62M
BGT icon
181
BlackRock Floating Rate Income Trust
BGT
$325M
– –
-23,260
Closed -$331K
BGY icon
182
BlackRock Enhanced International Dividend Trust
BGY
$529M
– –
-446,005
Closed -$3.6M
BMY icon
183
Bristol-Myers Squibb
BMY
$132B
– –
-9,000
Closed -$468K
CHY
184
Calamos Convertible and High Income Fund
CHY
$1.06B
– –
-17,020
Closed -$229K
CRF
185
Cornerstone Total Return Fund
CRF
$1.17B
– –
-38,378
Closed -$892K
CXE
186
DELISTED
MFS High Income Municipal Trust
CXE
– –
-45,397
Closed -$216K
EDF
187
Virtus Stone Harbor Emerging Markets Income Fund
EDF
$171M
– –
-317,862
Closed -$5.88M
ELD icon
188
WisdomTree Emerging Markets Local Debt Fund
ELD
$143M
– –
-120,635
Closed -$5.53M
EOI
189
Eaton Vance Enhanced Equity Income Fund
EOI
$826M
– –
-285,032
Closed -$3.73M
EQS icon
190
Equus Total Return
EQS
$16.8M
– –
-295,005
Closed -$566K
FCO
191
DELISTED
abrdn Global Income Fund
FCO
– –
-170,965
Closed -$1.85M
FOF icon
192
Cohen & Steers Closed End Opportunity Fund
FOF
$380M
– –
-95,255
Closed -$1.22M
FPF
193
First Trust Intermediate Duration Preferred & Income Fund
FPF
$1.08B
– –
-97,105
Closed -$2.15M
GHY
194
PGIM Global High Yield Fund
GHY
$483M
– –
-209,200
Closed -$3.68M
GLD icon
195
SPDR Gold Trust
GLD
$141B
– –
-11,433
Closed -$1.41M
HIO
196
Western Asset High Income Opportunity Fund
HIO
$340M
– –
-307,550
Closed -$1.86M
LDP icon
197
Cohen & Steers Duration Preferred & Income Fund
LDP
$600M
– –
-108,708
Closed -$2.59M
NEA icon
198
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.42B
– –
-12,353
Closed -$160K
NEM icon
199
Newmont
NEM
$119B
– –
-10,964
Closed -$257K
OFS icon
200
OFS Capital
OFS
$51.9M
– –
-46,531
Closed -$582K
5 6 7
8
9

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Rivernorth Capital Management's Q2 2014 Portfolio in Review

As of Q2 2014, Rivernorth Capital Management held 217 positions worth $1.25B, up 1.3% from $1.23B the previous quarter. Its ten largest holdings account for 24% of the portfolio.

Rivernorth Capital Management's Q2 2014 filing shows 27 new, 63 increased, 59 reduced and 40 closed positions. Its largest new stake was AllianceBernstein Income Fund Inc: 1,137,285 shares worth $8.55M. The largest sale was PIMCO Dynamic Credit and Mortgage Income Fund, an estimated $17.1M.

By sector, the portfolio is most concentrated in Financials at 3.9% of assets, up from 3.8% a quarter earlier, followed by Materials and Energy.

  • Rivernorth Capital Management's largest Q2 2014 buy was AllianceBernstein Income Fund Inc: 1,137,285 shares worth $8.55M.
  • Rivernorth Capital Management added most to Vanguard FTSE Developed Markets ETF in Q2 2014, an estimated $17.4M increase.
  • Rivernorth Capital Management's biggest Q2 2014 reduction was PIMCO Dynamic Credit and Mortgage Income Fund, cutting an estimated $17.1M.
  • Rivernorth Capital Management fully exited Virtus Stone Harbor Emerging Markets Income Fund in Q2 2014, selling an estimated $5.88M.
  • Rivernorth Capital Management's ten largest holdings make up 24% of its $1.25B portfolio in Q2 2014.
  • Rivernorth Capital Management opened 27 new positions and closed 40 in Q2 2014.
  • Rivernorth Capital Management's portfolio value rose 1.3% quarter-over-quarter to $1.25B.

Based on Rivernorth Capital Management's 13F filing for Q2 2014, filed 14 Aug 2014.