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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
-3.21%
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
$1.51B
AUM Growth
+$257M
Cap. Flow
+$295M
Cap. Flow %
19.59%
Top 10 Hldgs %
21.45%
Holding
221
New
46
Increased
73
Reduced
39
Closed
21

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$26M
2
BDCL
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
+$22.4M
3
GER
Goldman Sachs MLP Energy Renaissance Fund
GER
+$19.1M
4
FAX
abrdn Asia-Pacific Income Fund
FAX
+$18.6M
5
CBA
ClearBridge American Energy MLP
CBA
+$18.3M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$22.2M
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
+$4.88M

Sector Composition

Rank Sector Weight
1 Financials 5.47%
2 Technology 0.02%
3 Energy 0%
4 Communication Services 0%
5 Consumer Discretionary 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AMAT icon
201
Applied Materials
AMAT
$428B
– –
-11,300
Closed -$244K
AMG icon
202
Affiliated Managers Group
AMG
$9.76B
– –
-12,100
Closed -$2.42M
FOSL icon
203
Fossil Group
FOSL
$318M
– –
-3,700
Closed -$347K
FPF
204
First Trust Intermediate Duration Preferred & Income Fund
FPF
$1.08B
– –
-157,303
Closed -$3.42M
GDV icon
205
Gabelli Dividend & Income Trust
GDV
$2.66B
– –
-9,618
Closed -$205K
IBM icon
206
IBM
IBM
$224B
– –
-9,006
Closed -$1.63M
NAC icon
207
Nuveen California Quality Municipal Income Fund
NAC
$1.85B
– –
-54,400
Closed -$775K
NFLX icon
208
Netflix
NFLX
$309B
– –
-37,940
Closed -$245K
PBR icon
209
Petrobras
PBR
$116B
– –
-17,100
Closed -$243K
PDI icon
210
PIMCO Dynamic Income Fund
PDI
$7.42B
– –
-124,510
Closed -$3.93M
PFL
211
PIMCO Income Strategy Fund
PFL
$388M
– –
-408,736
Closed -$4.88M
PML
212
PIMCO Municipal Income Fund II
PML
$493M
– –
-90,506
Closed -$1.05M
SLV icon
213
iShares Silver Trust
SLV
$30.9B
– –
-12,700
Closed -$208K
TSLX icon
214
Sixth Street Specialty
TSLX
$1.81B
– –
-108,530
Closed -$1.74M
XLI icon
215
State Street Industrial Select Sector SPDR ETF
XLI
$34.6B
– –
-4,056
Closed -$216K
SVVC
216
DELISTED
Firsthand Technology Value Fund, Inc. Common Stock
SVVC
– –
-328,097
Closed -$7.88M
YHOO
217
DELISTED
Yahoo Inc
YHOO
– –
-7,242
Closed -$295K
JGG
218
DELISTED
NUVEEN GLOBAL INCOME OPPORTUNITIES FUND
JGG
– –
-277,050
Closed -$3.42M
JGT
219
DELISTED
NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA)
JGT
– –
-1,401,963
Closed -$14.9M
DCA
220
DELISTED
Virtus Total Return Fund
DCA
– –
-742,801
Closed -$3.45M
VXX
221
PUT
DELISTED
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
– –
-59
Closed -$275K
5 6 7 8
9

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Rivernorth Capital Management's Q4 2014 Portfolio in Review

As of Q4 2014, Rivernorth Capital Management held 221 positions worth $1.51B, up 21% from $1.25B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Rivernorth Capital Management deployed $295M of net new capital in Q4 2014, opening 46 new positions and adding to 73 existing holdings. Its largest new stake was 2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev: 990,320 shares worth $21.2M.

By sector, the portfolio is most concentrated in Financials at 5.5% of assets, up from 4% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was State Street SPDR S&P 500 ETF Trust, an estimated $22.2M trimmed.

  • Rivernorth Capital Management's largest Q4 2014 buy was 2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev: 990,320 shares worth $21.2M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q4 2014, an estimated $26M increase.
  • Rivernorth Capital Management's biggest Q4 2014 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $22.2M.
  • Rivernorth Capital Management fully exited NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA) in Q4 2014, selling an estimated $14.9M.
  • Rivernorth Capital Management's ten largest holdings make up 21% of its $1.51B portfolio in Q4 2014.
  • Rivernorth Capital Management opened 46 new positions and closed 21 in Q4 2014.
  • Rivernorth Capital Management's portfolio value rose 21% quarter-over-quarter to $1.51B.

Based on Rivernorth Capital Management's 13F filing for Q4 2014, filed 17 Feb 2015.