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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
-3.42%
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
+$4.13M
Cap. Flow
+$50.9M
Cap. Flow %
4.07%
Top 10 Hldgs %
25.52%
Holding
203
New
26
Increased
73
Reduced
52
Closed
28

Top Buys

Rank Stock Value
1
DRA
Diversified Real Asset Income Fd
DRA
+$11.1M
2
ACG
AllianceBernstein Income Fund Inc
ACG
+$10.1M
3
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$8.04M
4
NPT
NUVEEN PREM INSD MUNI FD-4 INC
NPT
+$6.87M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.62M

Top Sells

Rank Stock Value
1
NPI
NUVEEN PREMIUN INC MUN FUND
NPI
+$9.49M
2
NML
Neuberger Energy Infrastructure and Income Fund Inc
NML
+$8.89M
3
ETJ
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
+$6.56M
4
NMA
NUVEEN MUNI ADVANTAGE FUND
NMA
+$5.22M
5
BSP
AMERN STRATEGIC INCM PORTF II
BSP
+$4.4M

Sector Composition

Rank Sector Weight
1 Financials 3.96%
2 Technology 0.18%
3 Energy 0.05%
4 Consumer Discretionary 0.03%
5 Communication Services 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CHW
176
Calamos Global Dynamic Income Fund
CHW
$545M
– –
-134,606
Closed -$1.32M
CLM icon
177
Cornerstone Strategic Value Fund
CLM
$2.25B
– –
-41,713
Closed -$1M
ETJ
178
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$575M
– –
-568,506
Closed -$6.56M
EVM
179
DELISTED
Eaton Vance California Municipal Bond Fund
EVM
– –
-41,846
Closed -$485K
IHD
180
Voya Emerging Markets High Income Dividend Equity Fund
IHD
$131M
– –
-55,713
Closed -$711K
JFR icon
181
Nuveen Floating Rate Income Fund
JFR
$1.25B
– –
-55,786
Closed -$675K
MQT
182
DELISTED
BlackRock MuniYield Quality Fund II
MQT
– –
-35,590
Closed -$455K
NML
183
Neuberger Energy Infrastructure and Income Fund Inc
NML
$576M
– –
-440,321
Closed -$8.89M
PCF
184
High Income Securities Fund
PCF
$99.9M
– –
-23,832
Closed -$208K
PGZ
185
Principal Real Estate Income Fund
PGZ
$68.7M
– –
-12,666
Closed -$242K
RIO icon
186
Rio Tinto
RIO
$164B
– –
-10,000
Closed -$543K
SWZ
187
Swiss Helvetia Fund
SWZ
$77.5M
– –
-194,958
Closed -$2.84M
TSI
188
TCW Strategic Income Fund
TSI
$213M
– –
-179,752
Closed -$992K
TWN
189
Taiwan Fund
TWN
$527M
– –
-13,511
Closed -$277K
SMM
190
DELISTED
Salient Midstream & MLP Fund
SMM
– –
-26,341
Closed -$780K
GMZ
191
DELISTED
Goldman Sachs MLP Income Opportunities Fund
GMZ
– –
-2,210
Closed -$322K
TTF
192
DELISTED
Thai Fund
TTF
– –
-126,225
Closed -$1.42M
NPI
193
DELISTED
NUVEEN PREMIUN INC MUN FUND
NPI
– –
-698,160
Closed -$9.49M
CSP
194
DELISTED
AMER STRATEGIC INCM PTFL-III
CSP
– –
-346,380
Closed -$2.54M
SLA
195
DELISTED
AMERICAN SELECT PTFL INC
SLA
– –
-303,499
Closed -$3.25M
ASP
196
DELISTED
AMERN STRATEGIC INCOME PORTFOL
ASP
– –
-30,605
Closed -$314K
BSP
197
DELISTED
AMERN STRATEGIC INCM PORTF II
BSP
– –
-501,624
Closed -$4.4M
FHY
198
DELISTED
First Trust Strategic High
FHY
– –
-13,573
Closed -$222K
HSA
199
DELISTED
HELIOS STRATEGIC INCOME FD, INC
HSA
– –
-131,736
Closed -$908K
HTR
200
DELISTED
Brookfield Total Return Fund Inc
HTR
– –
-146,144
Closed -$3.68M
5 6 7
8
9

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Rivernorth Capital Management's Q3 2014 Portfolio in Review

As of Q3 2014, Rivernorth Capital Management held 203 positions worth $1.25B, up 0.33% from $1.25B the previous quarter. Its ten largest holdings account for 26% of the portfolio.

Rivernorth Capital Management deployed $50.9M of net new capital in Q3 2014, opening 26 new positions and adding to 73 existing holdings. Its largest new stake was Diversified Real Asset Income Fd: 626,697 shares worth $11.1M.

By sector, the portfolio is most concentrated in Financials at 4% of assets, up from 3.9% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was NUVEEN MUNI ADVANTAGE FUND, an estimated $5.22M trimmed.

  • Rivernorth Capital Management's largest Q3 2014 buy was Diversified Real Asset Income Fd: 626,697 shares worth $11.1M.
  • Rivernorth Capital Management added most to AllianceBernstein Income Fund Inc in Q3 2014, an estimated $10.1M increase.
  • Rivernorth Capital Management's biggest Q3 2014 reduction was NUVEEN MUNI ADVANTAGE FUND, cutting an estimated $5.22M.
  • Rivernorth Capital Management fully exited NUVEEN PREMIUN INC MUN FUND in Q3 2014, selling an estimated $9.49M.
  • Rivernorth Capital Management's ten largest holdings make up 26% of its $1.25B portfolio in Q3 2014.
  • Rivernorth Capital Management opened 26 new positions and closed 28 in Q3 2014.
  • Rivernorth Capital Management's portfolio value rose 0.33% quarter-over-quarter to $1.25B.

Based on Rivernorth Capital Management's 13F filing for Q3 2014, filed 14 Nov 2014.