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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
+3.5%
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
$1.25B
AUM Growth
+$16.6M
Cap. Flow
-$28.9M
Cap. Flow %
-2.32%
Top 10 Hldgs %
24.23%
Holding
217
New
27
Increased
63
Reduced
59
Closed
40

Top Buys

Rank Stock Value
1
VEA icon
Vanguard FTSE Developed Markets ETF
VEA
+$17.4M
2
SABA
Saba Capital Income & Opportunities Fund II
SABA
+$8.41M
3
ACG
AllianceBernstein Income Fund Inc
ACG
+$8.4M
4
CFP
CORNERSTONE PROGRESSIVE RETURN FD COM
CFP
+$6.58M
5
ACAS
American Capital Ltd
ACAS
+$5.84M

Top Sells

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$17.1M
2
PDI icon
PIMCO Dynamic Income Fund
PDI
+$15.6M
3
FAX
abrdn Asia-Pacific Income Fund
FAX
+$15.4M
4
EDF
Virtus Stone Harbor Emerging Markets Income Fund
EDF
+$5.88M
5
ELD icon
WisdomTree Emerging Markets Local Debt Fund
ELD
+$5.53M

Sector Composition

Rank Sector Weight
1 Financials 3.87%
2 Materials 0.04%
3 Energy 0.03%
4 Healthcare 0%
5 Technology 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PMF
201
DELISTED
PIMCO Municipal Income Fund
PMF
– –
-86,557
Closed -$1.17M
PTY icon
202
PIMCO Corporate & Income Opportunity Fund
PTY
$2.51B
– –
-215,937
Closed -$3.9M
RQI icon
203
Cohen & Steers Quality Income Realty Fund
RQI
$1.69B
– –
-51,523
Closed -$543K
SRLN icon
204
State Street Blackstone Senior Loan ETF
SRLN
$5.34B
– –
-10,466
Closed -$524K
XLI icon
205
State Street Industrial Select Sector SPDR ETF
XLI
$33.7B
– –
-9,000
Closed -$471K
AFT
206
DELISTED
Apollo Senior Floating Rate Fund Inc.
AFT
– –
-38,350
Closed -$700K
JPS
207
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
– –
-130,362
Closed -$1.13M
MIE
208
DELISTED
COHEN & STEERS MLP INCOME AND ENERGY OPPORTUNITY FUND, INC.
MIE
– –
-59,030
Closed -$1.06M
TIF
209
DELISTED
Tiffany & Co.
TIF
– –
-5,700
Closed -$491K
TLI
210
DELISTED
Western Asset Corporate Loan Fund Inc.
TLI
– –
-18,700
Closed -$227K
KYE
211
DELISTED
Kayne Anderson Energy
KYE
– –
-117,111
Closed -$3.2M
NQM
212
DELISTED
NUVEEN INVESTMENT QLTY MUNI FD
NQM
– –
-31,690
Closed -$447K
NCU
213
DELISTED
NUVEEN (CAL) PREM INCM MUNI FD
NCU
– –
-17,476
Closed -$237K
IMF
214
DELISTED
WESTERN ASSET INFLATION MTGMT FUND INC. COM
IMF
– –
-152,322
Closed -$2.72M
GT.PRA
215
DELISTED
GOODYEAR TIRE & RUBR CO PFD CONV (OH)
GT.PRA
– –
-8,003
Closed -$579K
JRO
216
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
– –
-232,415
Closed -$2.83M
HYF
217
DELISTED
MANAGED HIGH YLD PLUS FD INC
HYF
– –
-346,875
Closed -$735K
5 6 7 8
9

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Rivernorth Capital Management's Q2 2014 Portfolio in Review

As of Q2 2014, Rivernorth Capital Management held 217 positions worth $1.25B, up 1.3% from $1.23B the previous quarter. Its ten largest holdings account for 24% of the portfolio.

Rivernorth Capital Management's Q2 2014 filing shows 27 new, 63 increased, 59 reduced and 40 closed positions. Its largest new stake was AllianceBernstein Income Fund Inc: 1,137,285 shares worth $8.55M. The largest sale was PIMCO Dynamic Credit and Mortgage Income Fund, an estimated $17.1M.

By sector, the portfolio is most concentrated in Financials at 3.9% of assets, up from 3.8% a quarter earlier, followed by Materials and Energy.

  • Rivernorth Capital Management's largest Q2 2014 buy was AllianceBernstein Income Fund Inc: 1,137,285 shares worth $8.55M.
  • Rivernorth Capital Management added most to Vanguard FTSE Developed Markets ETF in Q2 2014, an estimated $17.4M increase.
  • Rivernorth Capital Management's biggest Q2 2014 reduction was PIMCO Dynamic Credit and Mortgage Income Fund, cutting an estimated $17.1M.
  • Rivernorth Capital Management fully exited Virtus Stone Harbor Emerging Markets Income Fund in Q2 2014, selling an estimated $5.88M.
  • Rivernorth Capital Management's ten largest holdings make up 24% of its $1.25B portfolio in Q2 2014.
  • Rivernorth Capital Management opened 27 new positions and closed 40 in Q2 2014.
  • Rivernorth Capital Management's portfolio value rose 1.3% quarter-over-quarter to $1.25B.

Based on Rivernorth Capital Management's 13F filing for Q2 2014, filed 14 Aug 2014.