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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
-8.89%
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
$1.63B
AUM Growth
+$14.2M
Cap. Flow
+$169M
Cap. Flow %
10.42%
Top 10 Hldgs %
26.02%
Holding
212
New
32
Increased
101
Reduced
30
Closed
14

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$32.2M
2
FAX
abrdn Asia-Pacific Income Fund
FAX
+$13.8M
3
ACAS
American Capital Ltd
ACAS
+$10.5M
4
OCSL icon
Oaktree Specialty Lending
OCSL
+$9.41M
5
GHY
PGIM Global High Yield Fund
GHY
+$7.85M

Top Sells

Rank Stock Value
1
PPT
Franklin Premier Income Trust
PPT
+$14.3M
2
OEF icon
iShares S&P 100 ETF
OEF
+$14M
3
BTT icon
BlackRock Municipal 2030 Target Term Trust
BTT
+$9.34M
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$7.07M
5
CTF
Nuveen Long/Short Commodity Fd
CTF
+$7.06M

Sector Composition

Rank Sector Weight
1 Financials 7.4%
2 Real Estate 0.16%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BRW
201
Saba Capital Income & Opportunities Fund
BRW
$340M
– –
-234,254
Closed -$2.46M
EIM
202
Eaton Vance Municipal Bond Fund
EIM
$498M
– –
-31,021
Closed -$378K
PDI icon
203
PIMCO Dynamic Income Fund
PDI
$7.46B
– –
-78,304
Closed -$2.29M
PPT
204
Franklin Premier Income Trust
PPT
$329M
– –
-2,805,456
Closed -$14.3M
TYG
205
Tortoise Energy Infrastructure Corp
TYG
$1.08B
– –
-40,372
Closed -$5.96M
KMF
206
DELISTED
Kayne Anderson NextGen Energy & Infrastructure, Inc.
KMF
– –
-58,628
Closed -$1.73M
JPS
207
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
– –
-135,843
Closed -$1.15M
GMZ
208
DELISTED
Goldman Sachs MLP Income Opportunities Fund
GMZ
– –
-28,127
Closed -$2.95M
NIO
209
DELISTED
NUVEEN MUNICIPAL OPPORTUNITY FUND INC
NIO
– –
-103,302
Closed -$1.41M
MTS
210
DELISTED
MONTGOMERY STR INCOME SECS
MTS
– –
-93,437
Closed -$1.53M
CMK
211
DELISTED
MFS HIGH INCOME MUNI TR I
CMK
– –
-245,689
Closed -$2.07M
ARMF
212
DELISTED
ARES MULTI-STRATEGY CR FD INC COM STK (MD)
ARMF
– –
-90,978
Closed -$1.71M
5 6 7 8
9

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Rivernorth Capital Management's Q3 2015 Portfolio in Review

As of Q3 2015, Rivernorth Capital Management held 212 positions worth $1.63B, up 0.88% from $1.61B the previous quarter. Its ten largest holdings account for 26% of the portfolio.

Rivernorth Capital Management deployed $169M of net new capital in Q3 2015, opening 32 new positions and adding to 101 existing holdings. Its largest new stake was JP Morgan Alerian MLP Index ETN 5/24/24: 211,452 shares worth $6.43M.

By sector, the portfolio is most concentrated in Financials at 7.4% of assets, up from 5.5% a quarter earlier, followed by Real Estate.

On the sell side, the largest reduction was iShares S&P 100 ETF, an estimated $14M trimmed.

  • Rivernorth Capital Management's largest Q3 2015 buy was JP Morgan Alerian MLP Index ETN 5/24/24: 211,452 shares worth $6.43M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Credit and Mortgage Income Fund in Q3 2015, an estimated $32.2M increase.
  • Rivernorth Capital Management's biggest Q3 2015 reduction was iShares S&P 100 ETF, cutting an estimated $14M.
  • Rivernorth Capital Management fully exited Franklin Premier Income Trust in Q3 2015, selling an estimated $14.3M.
  • Rivernorth Capital Management's ten largest holdings make up 26% of its $1.63B portfolio in Q3 2015.
  • Rivernorth Capital Management opened 32 new positions and closed 14 in Q3 2015.
  • Rivernorth Capital Management's portfolio value rose 0.88% quarter-over-quarter to $1.63B.

Based on Rivernorth Capital Management's 13F filing for Q3 2015, filed 16 Nov 2015.