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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
+2.65%
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
$1.62B
AUM Growth
-$143M
Cap. Flow
-$274M
Cap. Flow %
-16.98%
Top 10 Hldgs %
30.32%
Holding
425
New
161
Increased
45
Reduced
86
Closed
91

Top Buys

Rank Stock Value
1
HIX
Western Asset High Income Fund II
HIX
+$16.6M
2
OCSL icon
Oaktree Specialty Lending
OCSL
+$13.7M
3
BCSF icon
Bain Capital Specialty
BCSF
+$11M
4
FIV
First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest
FIV
+$9.21M
5
CPZ
Calamos Long/Short Equity & Dynamic Income Trust
CPZ
+$8.1M

Top Sells

Rank Stock Value
1
GBDC icon
Golub Capital BDC
GBDC
+$31.3M
2
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$26M
3
HFRO
Highland Opportunities and Income Fund
HFRO
+$17.9M
4
EIM
Eaton Vance Municipal Bond Fund
EIM
+$17.2M
5
SABA
Saba Capital Income & Opportunities Fund II
SABA
+$14.9M

Sector Composition

Rank Sector Weight
1 Financials 8.07%
2 Technology 1.29%
3 Consumer Discretionary 1%
4 Industrials 0.91%
5 Healthcare 0.66%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EQOS
176
DELISTED
EQONEX LIMITED Ordinary Shares
EQOS
$1.07M 0.07%
104,017
-131,479
-56% -$1.33M
NCB
177
DELISTED
Nuveen California Municipal Value Fund 2
NCB
$1.07M 0.07%
68,414
– –
DFNS.U
178
DELISTED
LGL Systems Acquisition Corp. Units
DFNS.U
$1.04M 0.06%
100,000
– –
VMACU
179
DELISTED
Vistas Media Acquisition Company Inc. Unit
VMACU
$1.01M 0.06%
+100,000
New +$1,000K
SRTA
180
Strata Critical Medical Inc
SRTA
$533M
$1M 0.06%
+100,000
New +$1.01M
BTAQU
181
DELISTED
Burgundy Technology Acquisition Corporation Unit
BTAQU
$996K 0.06%
+100,000
New +$998K
ROCH
182
DELISTED
Roth CH Acquisition I Co. Common Stock
ROCH
$995K 0.06%
+99,990
New +$993K
ARKO icon
183
ARKO Corp
ARKO
$495M
$969K 0.06%
+96,902
New +$987K
FIF
184
DELISTED
FIRST TRUST ENERGY INFRASTRUCTURE FUND
FIF
$952K 0.06%
+106,368
New +$1.05M
AIF
185
DELISTED
Apollo Tactical Income Fund Inc.
AIF
$878K 0.05%
+69,090
New +$872K
PLBY icon
186
Playboy Inc
PLBY
$163M
$863K 0.05%
+85,000
New +$861K
BGT icon
187
BlackRock Floating Rate Income Trust
BGT
$330M
$856K 0.05%
76,208
-235,865
-76% -$2.65M
RBAC.U
188
DELISTED
RedBall Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one
RBAC.U
$793K 0.05%
+75,000
New +$774K
THBR
189
DELISTED
Thunder Bridge Acquisition II, Ltd. Class A Ordinary Shares
THBR
$765K 0.05%
+75,000
New +$768K
SVACU
190
DELISTED
Starboard Value Acquisition Corp. Unit
SVACU
$758K 0.05%
+75,000
New +$760K
ASLE icon
191
AerSale
ASLE
$273M
$754K 0.05%
73,609
– –
IID
192
DELISTED
VOYA INTERNATIONAL HIGH DIVIDEND EQUITY INCOME FUND
IID
$747K 0.05%
168,576
+57,511
+52% +$246K
PXH icon
193
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.97B
$666K 0.04%
37,953
-80,800
-68% -$1.48M
MNTS icon
194
Momentus
MNTS
$90.6M
$662K 0.04%
+5
New +$622K
EVG
195
Eaton Vance Short Duration Diversified Income Fund
EVG
$143M
$651K 0.04%
+56,849
New +$647K
DEX
196
DELISTED
DELAWARE ENHANCED GLOBAL DIVIDEND & INCOME FUND
DEX
$639K 0.04%
72,048
-213,801
-75% -$1.87M
CHY
197
Calamos Convertible and High Income Fund
CHY
$1.07B
$619K 0.04%
+53,007
New +$629K
APPHW
198
DELISTED
AppHarvest, Inc. Warrants
APPHW
$603K 0.04%
+216,072
New +$220K
IHD
199
Voya Emerging Markets High Income Dividend Equity Fund
IHD
$132M
$589K 0.04%
89,083
-2,820
-3% -$18.5K
DFNS
200
T3 Defense Inc
DFNS
$37M
$585K 0.04%
+84
New +$588K
6 7
8
9 10

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Rivernorth Capital Management's Q3 2020 Portfolio in Review

As of Q3 2020, Rivernorth Capital Management held 425 positions worth $1.62B, down 8.2% from $1.76B the previous quarter. Its ten largest holdings account for 30% of the portfolio.

Rivernorth Capital Management withdrew a net $274M in Q3 2020, closing 91 positions and reducing 86 holdings. Its most notable exit was Virtus Dividend, Interest & Premium Strategy Fund, an estimated $8.76M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8.1% of assets, up from 5.7% a quarter earlier, followed by Technology and Consumer Discretionary.

Against the trend, Rivernorth Capital Management opened a new position in First Eagle Senior Loan Fund worth $4.55M.

  • Rivernorth Capital Management's largest Q3 2020 buy was First Eagle Senior Loan Fund: 367,079 shares worth $4.55M.
  • Rivernorth Capital Management added most to Western Asset High Income Fund II in Q3 2020, an estimated $16.6M increase.
  • Rivernorth Capital Management's biggest Q3 2020 reduction was Golub Capital BDC, cutting an estimated $31.3M.
  • Rivernorth Capital Management fully exited Virtus Dividend, Interest & Premium Strategy Fund in Q3 2020, selling an estimated $8.76M.
  • Rivernorth Capital Management's ten largest holdings make up 30% of its $1.62B portfolio in Q3 2020.
  • Rivernorth Capital Management opened 161 new positions and closed 91 in Q3 2020.
  • Rivernorth Capital Management's portfolio value fell 8.2% quarter-over-quarter to $1.62B.

Based on Rivernorth Capital Management's 13F filing for Q3 2020, filed 16 Nov 2020.