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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
+0.49%
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
$1.49B
AUM Growth
-$14.6M
Cap. Flow
-$16.5M
Cap. Flow %
-1.11%
Top 10 Hldgs %
24.24%
Holding
211
New
11
Increased
68
Reduced
54
Closed
39

Top Buys

Rank Stock Value
1
STEW
SRH Total Return Fund
STEW
+$27.2M
2
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$17.2M
3
ACG
AllianceBernstein Income Fund Inc
ACG
+$14M
4
ACAS
American Capital Ltd
ACAS
+$8.16M
5
NPI
NUVEEN PREMIUN INC MUN FUND
NPI
+$7.58M

Top Sells

Rank Stock Value
1
GER
Goldman Sachs MLP Energy Renaissance Fund
GER
+$15.5M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$10.3M
3
BTF
BOULDER TOTAL RETURN FD INC
BTF
+$10.1M
4
BGH
Barings Global Short Duration High Yield Fund
BGH
+$9.53M
5
PSEC icon
Prospect Capital
PSEC
+$8.66M

Sector Composition

Rank Sector Weight
1 Financials 4.74%
2 Energy 0%
3 Technology 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BGH
176
Barings Global Short Duration High Yield Fund
BGH
$286M
– –
-472,079
Closed -$9.53M
CLM icon
177
Cornerstone Strategic Value Fund
CLM
$2.24B
– –
-151,372
Closed -$2.98M
EDF
178
Virtus Stone Harbor Emerging Markets Income Fund
EDF
$170M
– –
-87,960
Closed -$1.36M
EFR
179
Eaton Vance Senior Floating-Rate Fund
EFR
$319M
– –
-30,437
Closed -$417K
EFT
180
Eaton Vance Floating-Rate Income Trust
EFT
$289M
– –
-14,000
Closed -$194K
EWZ icon
181
iShares MSCI Brazil ETF
EWZ
$8.88B
– –
-10,000
Closed -$366K
FSK icon
182
FS KKR Capital
FSK
$3.37B
– –
-6,825
Closed -$271K
GGN
183
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$833M
– –
-432,674
Closed -$3.03M
HIX
184
Western Asset High Income Fund II
HIX
$354M
– –
-524,698
Closed -$4.36M
HNW
185
DELISTED
Pioneer Diversified High Income Fund
HNW
– –
-20,000
Closed -$355K
ICMB icon
186
Investcorp Credit Management BDC
ICMB
$12M
– –
-115,430
Closed -$1.26M
JPI
187
DELISTED
Nuveen Preferred Securities & Income Opportunities Fund
JPI
– –
-45,303
Closed -$1.02M
KIO
188
KKR Income Opportunities Fund
KIO
$458M
– –
-22,905
Closed -$371K
KRE icon
189
State Street SPDR S&P Regional Banking ETF
KRE
$4.54B
– –
-13,848
Closed -$564K
MFIC icon
190
MidCap Financial Investment
MFIC
$790M
– –
-156,382
Closed -$3.48M
NML
191
Neuberger Energy Infrastructure and Income Fund Inc
NML
$588M
– –
-150,243
Closed -$2.64M
OIH icon
192
VanEck Oil Services ETF
OIH
$1.94B
– –
-1,895
Closed -$1.36M
SLRC icon
193
SLR Investment Corp
SLRC
$705M
– –
-48,088
Closed -$866K
TYG
194
Tortoise Energy Infrastructure Corp
TYG
$1.08B
– –
-15,955
Closed -$2.79M
VCV icon
195
Invesco California Value Municipal Income Trust
VCV
$524M
– –
-33,073
Closed -$425K
VKI icon
196
Invesco Advantage Municipal Income Trust II
VKI
$399M
– –
-111,941
Closed -$1.3M
XLE icon
197
State Street Energy Select Sector SPDR ETF
XLE
$39.1B
– –
-7,000
Closed -$277K
XLF icon
198
State Street Financial Select Sector SPDR ETF
XLF
$58.9B
– –
-11,164
Closed -$242K
XOP icon
199
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.61B
– –
-2,100
Closed -$402K
GER
200
DELISTED
Goldman Sachs MLP Energy Renaissance Fund
GER
– –
-121,518
Closed -$15.5M
5 6 7
8
9

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Rivernorth Capital Management's Q1 2015 Portfolio in Review

As of Q1 2015, Rivernorth Capital Management held 211 positions worth $1.49B, down 0.97% from $1.51B the previous quarter. Its ten largest holdings account for 24% of the portfolio.

Rivernorth Capital Management's Q1 2015 filing shows 11 new, 68 increased, 54 reduced and 39 closed positions. Its largest new stake was NUVEEN PREMIUN INC MUN FUND: 540,821 shares worth $7.58M. The largest sale was Goldman Sachs MLP Energy Renaissance Fund, an estimated $15.5M.

By sector, the portfolio is most concentrated in Financials at 4.7% of assets, down from 5.5% a quarter earlier, followed by Energy and Technology.

  • Rivernorth Capital Management's largest Q1 2015 buy was NUVEEN PREMIUN INC MUN FUND: 540,821 shares worth $7.58M.
  • Rivernorth Capital Management added most to SRH Total Return Fund in Q1 2015, an estimated $27.2M increase.
  • Rivernorth Capital Management's biggest Q1 2015 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $10.3M.
  • Rivernorth Capital Management fully exited Goldman Sachs MLP Energy Renaissance Fund in Q1 2015, selling an estimated $15.5M.
  • Rivernorth Capital Management's ten largest holdings make up 24% of its $1.49B portfolio in Q1 2015.
  • Rivernorth Capital Management opened 11 new positions and closed 39 in Q1 2015.
  • Rivernorth Capital Management's portfolio value fell 0.97% quarter-over-quarter to $1.49B.

Based on Rivernorth Capital Management's 13F filing for Q1 2015, filed 15 May 2015.