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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
-1.35%
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
$1.44B
AUM Growth
+$213M
Cap. Flow
+$227M
Cap. Flow %
15.78%
Top 10 Hldgs %
29.86%
Holding
197
New
68
Increased
48
Reduced
28
Closed
27

Top Buys

Rank Stock Value
1
CCT
Corporate Capital Trust, Inc.
CCT
+$25.2M
2
PHK
PIMCO High Income Fund
PHK
+$20.9M
3
HFRO
Highland Opportunities and Income Fund
HFRO
+$19.5M
4
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$17.7M
5
FIV
First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest
FIV
+$17.5M

Top Sells

Rank Stock Value
1
GLO
Clough Global Opportunities Fund
GLO
+$22.4M
2
GLQ
Clough Global Equity Fund
GLQ
+$17.8M
3
ADX icon
Adams Diversified Equity Fund
ADX
+$12.2M
4
RVT icon
Royce Value Trust
RVT
+$8.6M
5
BOE icon
BlackRock Enhanced Global Dividend Trust
BOE
+$4.64M

Sector Composition

Rank Sector Weight
1 Financials 3.89%
2 Technology 0.98%
3 Consumer Staples 0.52%
4 Energy 0.38%
5 Industrials 0.32%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GECC icon
176
Great Elm Capital Corp
GECC
$81.7M
– –
-23,609
Closed -$3.55M
GLV
177
Clough Global Dividend & Income Fund
GLV
$78.1M
– –
-137,272
Closed -$1.91M
LGI
178
Lazard Global Total Return & Income Fund
LGI
$240M
– –
-129,941
Closed -$2.19M
FAM
179
DELISTED
First Trust/abrdn Global Opportunity Income Fund
FAM
– –
-78,435
Closed -$922K
MVC
180
DELISTED
MVC Capital, Inc.
MVC
– –
-97,270
Closed -$974K
KBLMU
181
DELISTED
KBL Merger Corp. IV Unit
KBLMU
– –
-230,000
Closed -$2.33M
WRLSU
182
DELISTED
Pensare Acquisition Corp. Unit
WRLSU
– –
-350,000
Closed -$3.59M
MMDMU
183
DELISTED
Modern Media Acquisition Corp. Unit
MMDMU
– –
-230,000
Closed -$2.41M
CNACU
184
DELISTED
Constellation Alpha Capital Corp. Unit
CNACU
– –
-120,000
Closed -$1.22M
BCACU
185
DELISTED
Bison Capital Acquisition Corp. Unit
BCACU
– –
-125,000
Closed -$1.28M
DOTAU
186
DELISTED
Draper Oakwood Technology Acquisition, Inc. Unit
DOTAU
– –
-120,000
Closed -$1.22M
INDUU
187
DELISTED
Industrea Acquisition Corp. Unit
INDUU
– –
-150,000
Closed -$1.52M
HCAC.U
188
DELISTED
Hennessy Capital Acquisition Corp. III Units, each consisting of one share of Common Stock and one-h
HCAC.U
– –
-225,000
Closed -$2.33M
OSPRU
189
DELISTED
Osprey Energy Acquisition Corp. Unit
OSPRU
– –
-175,000
Closed -$1.74M
ATACU
190
DELISTED
Atlantic Acquisition Corp. Unit
ATACU
– –
-150,000
Closed -$1.54M
GCH
191
DELISTED
Aberdeen Greater China Fund
GCH
– –
-98,208
Closed -$1.15M
FSAM
192
DELISTED
Fifth Street Asset Management Inc. Class A
FSAM
– –
-726,266
Closed -$2.83M
IAMXU
193
DELISTED
I-AM Capital Acquisition Company Unit
IAMXU
– –
-150,000
Closed -$1.54M
FHY
194
DELISTED
First Trust Strategic High
FHY
– –
-59,045
Closed -$797K
IF
195
DELISTED
Aberdeen Indonesia Fund
IF
– –
-97,156
Closed -$754K
HUNT
196
DELISTED
Hunter Maritime Acquisition Corp. Common Stock
HUNT
– –
-150,002
Closed -$1.46M
LAQ
197
DELISTED
Aberdeen Latin America Equity Fund
LAQ
– –
-30,392
Closed -$832K
4 5 6 7
8

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Rivernorth Capital Management's Q4 2017 Portfolio in Review

As of Q4 2017, Rivernorth Capital Management held 197 positions worth $1.44B, up 17% from $1.23B the previous quarter. Its ten largest holdings account for 30% of the portfolio.

Rivernorth Capital Management deployed $227M of net new capital in Q4 2017, opening 68 new positions and adding to 48 existing holdings. Its largest new stake was Corporate Capital Trust, Inc.: 1,436,616 shares worth $23M.

By sector, the portfolio is most concentrated in Financials at 3.9% of assets, down from 4.2% a quarter earlier, followed by Technology and Consumer Staples.

On the sell side, the largest reduction was Clough Global Opportunities Fund, an estimated $22.4M trimmed.

  • Rivernorth Capital Management's largest Q4 2017 buy was Corporate Capital Trust, Inc.: 1,436,616 shares worth $23M.
  • Rivernorth Capital Management added most to Liberty All-Star Equity Fund in Q4 2017, an estimated $10.4M increase.
  • Rivernorth Capital Management's biggest Q4 2017 reduction was Clough Global Opportunities Fund, cutting an estimated $22.4M.
  • Rivernorth Capital Management fully exited BlackRock Enhanced Global Dividend Trust in Q4 2017, selling an estimated $4.64M.
  • Rivernorth Capital Management's ten largest holdings make up 30% of its $1.44B portfolio in Q4 2017.
  • Rivernorth Capital Management opened 68 new positions and closed 27 in Q4 2017.
  • Rivernorth Capital Management's portfolio value rose 17% quarter-over-quarter to $1.44B.

Based on Rivernorth Capital Management's 13F filing for Q4 2017, filed 14 Feb 2018.