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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
-8.89%
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
$1.63B
AUM Growth
+$14.2M
Cap. Flow
+$169M
Cap. Flow %
10.42%
Top 10 Hldgs %
26.02%
Holding
212
New
32
Increased
101
Reduced
30
Closed
14

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$32.2M
2
FAX
abrdn Asia-Pacific Income Fund
FAX
+$13.8M
3
ACAS
American Capital Ltd
ACAS
+$10.5M
4
OCSL icon
Oaktree Specialty Lending
OCSL
+$9.41M
5
GHY
PGIM Global High Yield Fund
GHY
+$7.85M

Top Sells

Rank Stock Value
1
PPT
Franklin Premier Income Trust
PPT
+$14.3M
2
OEF icon
iShares S&P 100 ETF
OEF
+$14M
3
BTT icon
BlackRock Municipal 2030 Target Term Trust
BTT
+$9.34M
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$7.07M
5
CTF
Nuveen Long/Short Commodity Fd
CTF
+$7.06M

Sector Composition

Rank Sector Weight
1 Financials 7.4%
2 Real Estate 0.16%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PCF
176
High Income Securities Fund
PCF
$101M
$935K 0.06%
+132,644
New +$993K
GSBD icon
177
Goldman Sachs BDC
GSBD
$1.09B
$890K 0.05%
+48,327
New +$1.1M
NPP
178
DELISTED
NUVEEN PERFORMANCE+MUN FUND
NPP
$809K 0.05%
57,034
-6,200
-10% -$87.2K
VLT icon
179
Invesco High Income Trust II
VLT
$65.8M
$774K 0.05%
+60,131
New +$827K
CFD
180
DELISTED
Nuveen Diversified Commodity Fnd
CFD
$702K 0.04%
68,040
-22,841
-25% -$250K
FCRD
181
DELISTED
First Eagle Alternative Capital BDC, Inc. Common Stock
FCRD
$693K 0.04%
+63,502
New +$746K
RGT
182
Royce Global Value Trust
RGT
$102M
$559K 0.03%
79,724
-6,199
-7% -$47.6K
TPVG icon
183
TriplePoint Venture Growth BDC
TPVG
$210M
$558K 0.03%
+55,029
New +$671K
KST
184
DELISTED
Deutsche Strategic Income Trust
KST
$528K 0.03%
+51,344
New +$552K
NQU
185
DELISTED
NUVEEN QUALITY INCOME MUNI FD
NQU
$528K 0.03%
39,145
– –
WHF icon
186
WhiteHorse Finance
WHF
$143M
$482K 0.03%
+41,421
New +$520K
IWD icon
187
iShares Russell 1000 Value ETF
IWD
$84.1B
$427K 0.03%
4,573
-4,500
-50% -$447K
AFT
188
DELISTED
Apollo Senior Floating Rate Fund Inc.
AFT
$361K 0.02%
+23,006
New +$393K
EXD
189
DELISTED
Eaton Vance TaxManaged Buy-Write Strategy Fund
EXD
$331K 0.02%
+27,075
New +$343K
FAV
190
DELISTED
FIRST TRUST DIVIDEND AND INCOME FD COM
FAV
$266K 0.02%
+34,018
New +$274K
MFM
191
Aberdeen Municipal Income Fund
MFM
$223M
$226K 0.01%
+35,415
New +$225K
NQI
192
DELISTED
NUVEEN QUALITY MUNICIPAL FUND INC
NQI
$186K 0.01%
14,309
+1,400
+11% +$17.9K
ETX
193
Eaton Vance Municipal Income 2028 Term Trust
ETX
$199M
$162K 0.01%
9,329
-76,312
-89% -$1.32M
GGZ
194
Gabelli Global Small and Mid-Cap Value Trust
GGZ
$127M
$152K 0.01%
+15,337
New +$158K
BKT icon
195
BlackRock Income Trust
BKT
$341M
$139K 0.01%
+7,366
New +$140K
CMU
196
DELISTED
MFS High Yield Municipal Trust
CMU
$108K 0.01%
+24,696
New +$104K
EFF
197
DELISTED
EATON VANCE FLOATING-RATE INCOME PLUS FUND
EFF
$96K 0.01%
6,553
-165,796
-96% -$2.58M
SEVN
198
Seven Hills Realty Trust
SEVN
$169M
$45K ﹤0.01%
+2,570
New +$46.2K
BDJ icon
199
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.75B
– –
-294,760
Closed -$2.35M
BGT icon
200
BlackRock Floating Rate Income Trust
BGT
$327M
– –
-29,090
Closed -$378K
5 6 7
8
9

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Rivernorth Capital Management's Q3 2015 Portfolio in Review

As of Q3 2015, Rivernorth Capital Management held 212 positions worth $1.63B, up 0.88% from $1.61B the previous quarter. Its ten largest holdings account for 26% of the portfolio.

Rivernorth Capital Management deployed $169M of net new capital in Q3 2015, opening 32 new positions and adding to 101 existing holdings. Its largest new stake was JP Morgan Alerian MLP Index ETN 5/24/24: 211,452 shares worth $6.43M.

By sector, the portfolio is most concentrated in Financials at 7.4% of assets, up from 5.5% a quarter earlier, followed by Real Estate.

On the sell side, the largest reduction was iShares S&P 100 ETF, an estimated $14M trimmed.

  • Rivernorth Capital Management's largest Q3 2015 buy was JP Morgan Alerian MLP Index ETN 5/24/24: 211,452 shares worth $6.43M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q3 2015, an estimated $32.2M increase.
  • Rivernorth Capital Management's biggest Q3 2015 reduction was iShares S&P 100 ETF, cutting an estimated $14M.
  • Rivernorth Capital Management fully exited Franklin Premier Income Trust in Q3 2015, selling an estimated $14.3M.
  • Rivernorth Capital Management's ten largest holdings make up 26% of its $1.63B portfolio in Q3 2015.
  • Rivernorth Capital Management opened 32 new positions and closed 14 in Q3 2015.
  • Rivernorth Capital Management's portfolio value rose 0.88% quarter-over-quarter to $1.63B.

Based on Rivernorth Capital Management's 13F filing for Q3 2015, filed 16 Nov 2015.