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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
-1.67%
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
$1.53B
AUM Growth
+$156M
Cap. Flow
+$159M
Cap. Flow %
10.35%
Top 10 Hldgs %
27.12%
Holding
179
New
40
Increased
50
Reduced
52
Closed
28

Top Buys

Rank Stock Value
1
RA
Brookfield Real Assets Income Fund
RA
+$42.3M
2
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$41.1M
3
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$26.7M
4
CHY
Calamos Convertible and High Income Fund
CHY
+$18.6M
5
NVG icon
Nuveen AMT-Free Municipal Credit Income Fund
NVG
+$16.5M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$23.9M
2
ACAS
American Capital Ltd
ACAS
+$18.6M
3
STEW
SRH Total Return Fund
STEW
+$14.6M
4
BOI
Brookfield Mtge Opportunity Fd
BOI
+$13.4M
5
VEA icon
Vanguard FTSE Developed Markets ETF
VEA
+$9.8M

Sector Composition

Rank Sector Weight
1 Financials 5.05%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FHY
176
DELISTED
First Trust Strategic High
FHY
– –
-243,641
Closed -$3.01M
JGV
177
DELISTED
NUVEEN GLOBAL EQUITY INCOME FUND
JGV
– –
-587,886
Closed -$7.02M
CBA
178
DELISTED
ClearBridge American Energy MLP
CBA
– –
-275,806
Closed -$2.47M
BOI
179
DELISTED
Brookfield Mtge Opportunity Fd
BOI
– –
-894,979
Closed -$13.4M
4 5 6 7
8

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Rivernorth Capital Management's Q4 2016 Portfolio in Review

As of Q4 2016, Rivernorth Capital Management held 179 positions worth $1.53B, up 11% from $1.38B the previous quarter. Its ten largest holdings account for 27% of the portfolio.

Rivernorth Capital Management deployed $159M of net new capital in Q4 2016, opening 40 new positions and adding to 50 existing holdings. Its largest new stake was Brookfield Real Assets Income Fund: 1,930,681 shares worth $43.1M.

By sector, the portfolio is most concentrated in Financials at 5% of assets, up from 3.5% a quarter earlier.

On the sell side, the largest reduction was American Capital Ltd, an estimated $18.6M trimmed.

  • Rivernorth Capital Management's largest Q4 2016 buy was Brookfield Real Assets Income Fund: 1,930,681 shares worth $43.1M.
  • Rivernorth Capital Management added most to Nuveen AMT-Free Quality Municipal Income Fund in Q4 2016, an estimated $41.1M increase.
  • Rivernorth Capital Management's biggest Q4 2016 reduction was American Capital Ltd, cutting an estimated $18.6M.
  • Rivernorth Capital Management fully exited State Street SPDR S&P 500 ETF Trust in Q4 2016, selling an estimated $23.9M.
  • Rivernorth Capital Management's ten largest holdings make up 27% of its $1.53B portfolio in Q4 2016.
  • Rivernorth Capital Management opened 40 new positions and closed 28 in Q4 2016.
  • Rivernorth Capital Management's portfolio value rose 11% quarter-over-quarter to $1.53B.

Based on Rivernorth Capital Management's 13F filing for Q4 2016, filed 14 Feb 2017.