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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
-3.21%
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
$1.51B
AUM Growth
+$257M
Cap. Flow
+$295M
Cap. Flow %
19.59%
Top 10 Hldgs %
21.45%
Holding
221
New
46
Increased
73
Reduced
39
Closed
21

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$26M
2
BDCL
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
+$22.4M
3
GER
Goldman Sachs MLP Energy Renaissance Fund
GER
+$19.1M
4
FAX
abrdn Asia-Pacific Income Fund
FAX
+$18.6M
5
CBA
ClearBridge American Energy MLP
CBA
+$18.3M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$22.2M
2
JGT
NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA)
JGT
+$14.9M
3
SVVC
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
+$7.88M
4
PFL
PIMCO Income Strategy Fund
PFL
+$4.88M
5
VEA icon
Vanguard FTSE Developed Markets ETF
VEA
+$4.88M

Sector Composition

Rank Sector Weight
1 Financials 5.47%
2 Technology 0.02%
3 Energy 0%
4 Communication Services 0%
5 Consumer Discretionary 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SRF
176
DELISTED
THE CUSHING ROYALTY & INCOME FUND
SRF
$738K 0.05%
+18,764
New +$1.3M
BRW
177
Saba Capital Income & Opportunities Fund
BRW
$339M
$695K 0.05%
+65,402
New +$701K
MSP
178
DELISTED
Madison Strategic Sector
MSP
$678K 0.05%
57,100
– –
BCV
179
Bancroft Fund
BCV
$139M
$663K 0.04%
33,057
-8,741
-21% -$173K
RGT
180
Royce Global Value Trust
RGT
$102M
$586K 0.04%
72,902
– –
KRE icon
181
State Street SPDR S&P Regional Banking ETF
KRE
$4.57B
$564K 0.04%
13,848
+1,200
+9% +$47.1K
NQU
182
DELISTED
NUVEEN QUALITY INCOME MUNI FD
NQU
$562K 0.04%
40,203
-8,277
-17% -$115K
EAD
183
Allspring Income Opportunities Fund
EAD
$379M
$465K 0.03%
+52,342
New +$467K
VCV icon
184
Invesco California Value Municipal Income Trust
VCV
$522M
$425K 0.03%
33,073
– –
EFR
185
Eaton Vance Senior Floating-Rate Fund
EFR
$317M
$417K 0.03%
+30,437
New +$426K
XOP icon
186
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.43B
$402K 0.03%
+2,100
New +$467K
EIM
187
Eaton Vance Municipal Bond Fund
EIM
$499M
$398K 0.03%
31,021
– –
KIO
188
KKR Income Opportunities Fund
KIO
$457M
$371K 0.02%
+22,905
New +$390K
EWZ icon
189
iShares MSCI Brazil ETF
EWZ
$8.95B
$366K 0.02%
+10,000
New +$406K
HNW
190
DELISTED
Pioneer Diversified High Income Fund
HNW
$355K 0.02%
+20,000
New +$379K
ACSF
191
DELISTED
American Capital Senior Floating, Ltd.
ACSF
$334K 0.02%
27,566
-1,883
-6% -$24.3K
FDI
192
DELISTED
FORT DEARBORN INCOME SECS
FDI
$293K 0.02%
20,700
– –
XLE icon
193
State Street Energy Select Sector SPDR ETF
XLE
$37.6B
$277K 0.02%
7,000
-4,800
-41% -$200K
FSK icon
194
FS KKR Capital
FSK
$3.44B
$271K 0.02%
+6,825
New +$283K
XLF icon
195
State Street Financial Select Sector SPDR ETF
XLF
$58.8B
$242K 0.02%
11,164
-3,531
-24% -$74K
AAPL icon
196
Apple
AAPL
$4.57T
$232K 0.02%
8,400
-8,000
-49% -$218K
EFT
197
Eaton Vance Floating-Rate Income Trust
EFT
$288M
$194K 0.01%
+14,000
New +$198K
NQI
198
DELISTED
NUVEEN QUALITY MUNICIPAL FUND INC
NQI
$170K 0.01%
+12,909
New +$169K
PHD
199
DELISTED
Pioneer Floating Rate Fund
PHD
$145K 0.01%
+12,707
New +$145K
ACI
200
DELISTED
ARCH COAL, INC.
ACI
$30K ﹤0.01%
1,669
– –
5 6 7
8
9

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Rivernorth Capital Management's Q4 2014 Portfolio in Review

As of Q4 2014, Rivernorth Capital Management held 221 positions worth $1.51B, up 21% from $1.25B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Rivernorth Capital Management deployed $295M of net new capital in Q4 2014, opening 46 new positions and adding to 73 existing holdings. Its largest new stake was 2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev: 990,320 shares worth $21.2M.

By sector, the portfolio is most concentrated in Financials at 5.5% of assets, up from 4% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was State Street SPDR S&P 500 ETF Trust, an estimated $22.2M trimmed.

  • Rivernorth Capital Management's largest Q4 2014 buy was 2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev: 990,320 shares worth $21.2M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q4 2014, an estimated $26M increase.
  • Rivernorth Capital Management's biggest Q4 2014 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $22.2M.
  • Rivernorth Capital Management fully exited NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA) in Q4 2014, selling an estimated $14.9M.
  • Rivernorth Capital Management's ten largest holdings make up 21% of its $1.51B portfolio in Q4 2014.
  • Rivernorth Capital Management opened 46 new positions and closed 21 in Q4 2014.
  • Rivernorth Capital Management's portfolio value rose 21% quarter-over-quarter to $1.51B.

Based on Rivernorth Capital Management's 13F filing for Q4 2014, filed 17 Feb 2015.