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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
+1%
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
-$131M
Cap. Flow
-$145M
Cap. Flow %
-8.9%
Top 10 Hldgs %
28.18%
Holding
206
New
8
Increased
71
Reduced
52
Closed
35

Top Buys

Rank Stock Value
1
VVR icon
Invesco Senior Income Trust
VVR
+$13M
2
NXDT
NexPoint Diversified Real Estate Trust
NXDT
+$9.09M
3
GLO
Clough Global Opportunities Fund
GLO
+$5.11M
4
AVK
Advent Convertible and Income Fund
AVK
+$4.89M
5
CHI
Calamos Convertible Opportunities and Income Fund
CHI
+$4.12M

Top Sells

Rank Stock Value
1
OCSL icon
Oaktree Specialty Lending
OCSL
+$51.2M
2
FAX
abrdn Asia-Pacific Income Fund
FAX
+$19.4M
3
KYN icon
Kayne Anderson Energy Infrastructure Fund
KYN
+$14.1M
4
NID
NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND
NID
+$11.2M
5
HCF
NEXPOINT CREDIT STRATEGIES FUND
HCF
+$9.76M

Sector Composition

Rank Sector Weight
1 Financials 5.77%
2 Real Estate 0.16%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CCD
176
Calamos Dynamic Convertible & Income Fund
CCD
$741M
– –
-84,627
Closed -$1.53M
CXE
177
DELISTED
MFS High Income Municipal Trust
CXE
– –
-129,840
Closed -$638K
DMB
178
BNY Mellon Municipal Bond Infrastructure Fund
DMB
$195M
– –
-115,691
Closed -$1.43M
DPG
179
Duff & Phelps Utility and Infrastructure Fund
DPG
$521M
– –
-112,550
Closed -$1.66M
FCO
180
DELISTED
abrdn Global Income Fund
FCO
– –
-49,929
Closed -$384K
HIX
181
Western Asset High Income Fund II
HIX
$355M
– –
-253,725
Closed -$1.6M
HNW
182
DELISTED
Pioneer Diversified High Income Fund
HNW
– –
-1,472
Closed -$21K
IQI icon
183
Invesco Quality Municipal Securities
IQI
$533M
– –
-3,864
Closed -$49K
JPC icon
184
Nuveen Preferred & Income Opportunities Fund
JPC
$2.9B
– –
-97,465
Closed -$893K
KYN icon
185
Kayne Anderson Energy Infrastructure Fund
KYN
$2.41B
– –
-814,633
Closed -$14.1M
NBB icon
186
Nuveen Taxable Municipal Income Fund
NBB
$450M
– –
-92,677
Closed -$1.86M
NZF icon
187
Nuveen Municipal Credit Income Fund
NZF
$2.44B
– –
-255,186
Closed -$3.66M
OCSL icon
188
Oaktree Specialty Lending
OCSL
$1.13B
– –
-2,673,290
Closed -$51.2M
PFL
189
PIMCO Income Strategy Fund
PFL
$388M
– –
-39,261
Closed -$382K
SEVN
190
Seven Hills Realty Trust
SEVN
$172M
– –
-1,313
Closed -$24K
SOR
191
Source Capital
SOR
$385M
– –
-14,720
Closed -$975K
VBF icon
192
Invesco Bond Fund
VBF
$168M
– –
-34,394
Closed -$604K
VKQ icon
193
Invesco Municipal Trust
VKQ
$549M
– –
-683,462
Closed -$8.73M
AMJ
194
DELISTED
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
– –
-56,597
Closed -$1.64M
TSLF
195
DELISTED
THL CREDIT SENIOR LOAN FUND
TSLF
– –
-14,655
Closed -$232K
BDCL
196
DELISTED
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
– –
-567,034
Closed -$9.06M
DRA
197
DELISTED
Diversified Real Asset Income Fd
DRA
– –
-42,842
Closed -$664K
NPM
198
DELISTED
NUVEEN PREMIUM INCM MUNI FD II
NPM
– –
-62,555
Closed -$905K
NPI
199
DELISTED
NUVEEN PREMIUN INC MUN FUND
NPI
– –
-455,163
Closed -$6.42M
JHP
200
DELISTED
NUVEEN QUALITY PREFERRED INCOME FUND 3
JHP
– –
-97,578
Closed -$828K
5 6 7
8
9

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Rivernorth Capital Management's Q1 2016 Portfolio in Review

As of Q1 2016, Rivernorth Capital Management held 206 positions worth $1.63B, down 7.5% from $1.76B the previous quarter. Its ten largest holdings account for 28% of the portfolio.

Rivernorth Capital Management withdrew a net $145M in Q1 2016, closing 35 positions and reducing 52 holdings. Its most notable exit was Oaktree Specialty Lending, an estimated $51.2M position sold in full.

By sector, the portfolio is most concentrated in Financials at 5.8% of assets, down from 8.6% a quarter earlier, followed by Real Estate.

Against the trend, Rivernorth Capital Management opened a new position in NexPoint Diversified Real Estate Trust worth $9.03M.

  • Rivernorth Capital Management's largest Q1 2016 buy was NexPoint Diversified Real Estate Trust: 500,097 shares worth $9.03M.
  • Rivernorth Capital Management added most to Invesco Senior Income Trust in Q1 2016, an estimated $13M increase.
  • Rivernorth Capital Management's biggest Q1 2016 reduction was abrdn Asia-Pacific Income Fund, cutting an estimated $19.4M.
  • Rivernorth Capital Management fully exited Oaktree Specialty Lending in Q1 2016, selling an estimated $51.2M.
  • Rivernorth Capital Management's ten largest holdings make up 28% of its $1.63B portfolio in Q1 2016.
  • Rivernorth Capital Management opened 8 new positions and closed 35 in Q1 2016.
  • Rivernorth Capital Management's portfolio value fell 7.5% quarter-over-quarter to $1.63B.

Based on Rivernorth Capital Management's 13F filing for Q1 2016, filed 16 May 2016.