RCM

Rivernorth Capital Management Portfolio holdings

AUM $1.81B
1-Year Return 0.33%
This Quarter Return
-3.2%
1 Year Return
-0.33%
3 Year Return
+6.11%
5 Year Return
+5.61%
10 Year Return
+4.07%
AUM
$1.51B
AUM Growth
+$258M
Cap. Flow
+$273M
Cap. Flow %
18.12%
Top 10 Hldgs %
21.45%
Holding
221
New
46
Increased
73
Reduced
39
Closed
20

Top Buys

1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
$24.7M
2
BDCL
2Leveraged Long Exchange Traded Access Securities (E-TRACS) Linked to the Wells Fargo Business Dev
BDCL
$21.2M
3
FAX
abrdn Asia-Pacific Income Fund
FAX
$18M
4
JGH icon
Nuveen Global High Income Fund
JGH
$17.3M
5
PCEF icon
Invesco CEF Income Composite ETF
PCEF
$17.1M

Top Sells

1
SPY icon
SPDR S&P 500 ETF Trust
SPY
$22.7M
2
JGT
NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA)
JGT
$14.9M
3
SVVC
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
$7.88M
4
PFL
PIMCO Income Strategy Fund
PFL
$4.88M
5
VEA icon
Vanguard FTSE Developed Markets ETF
VEA
$4.77M

Sector Composition

1 Financials 3.94%
2 Technology 0.02%
3 Energy 0%
4 Communication Services 0%
5 Consumer Discretionary 0%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
AMAT icon
201
Applied Materials
AMAT
$129B
– –
-11,300
Closed -$244K
AMG icon
202
Affiliated Managers Group
AMG
$6.57B
– –
-12,100
Closed -$2.42M
FOSL icon
203
Fossil Group
FOSL
$160M
– –
-3,700
Closed -$347K
FPF
204
First Trust Intermediate Duration Preferred & Income Fund
FPF
$1.17B
– –
-157,303
Closed -$3.42M
GDV icon
205
Gabelli Dividend & Income Trust
GDV
$2.38B
– –
-9,618
Closed -$205K
IBM icon
206
IBM
IBM
$239B
– –
-9,006
Closed -$1.63M
NAC icon
207
Nuveen California Quality Municipal Income Fund
NAC
$1.66B
– –
-54,400
Closed -$775K
NFLX icon
208
Netflix
NFLX
$529B
– –
-3,794
Closed -$245K
PBR icon
209
Petrobras
PBR
$78.9B
– –
-17,100
Closed -$243K
PDI icon
210
PIMCO Dynamic Income Fund
PDI
$7.6B
– –
-124,510
Closed -$3.93M
PFL
211
PIMCO Income Strategy Fund
PFL
$384M
– –
-408,736
Closed -$4.88M
PML
212
PIMCO Municipal Income Fund II
PML
$495M
– –
-90,506
Closed -$1.05M
SLV icon
213
iShares Silver Trust
SLV
$20.3B
– –
-12,700
Closed -$208K
TSLX icon
214
Sixth Street Specialty
TSLX
$2.33B
– –
-108,530
Closed -$1.74M
JGG
215
DELISTED
NUVEEN GLOBAL INCOME OPPORTUNITIES FUND
JGG
– –
-277,050
Closed -$3.42M
JGT
216
DELISTED
NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA)
JGT
– –
-1,401,963
Closed -$14.9M
DCA
217
DELISTED
Virtus Total Return Fund
DCA
– –
-742,801
Closed -$3.45M
VXX
218
DELISTED
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
– –
0
– –
XLI icon
219
Industrial Select Sector SPDR Fund
XLI
$23.2B
– –
-4,056
Closed -$216K
SVVC
220
DELISTED
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
– –
-328,097
Closed -$7.88M
YHOO
221
DELISTED
Yahoo Inc
YHOO
– –
-7,242
Closed -$295K
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9