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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
+0.75%
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
$1.76B
AUM Growth
+$131M
Cap. Flow
+$95.5M
Cap. Flow %
5.44%
Top 10 Hldgs %
28.21%
Holding
219
New
21
Increased
90
Reduced
49
Closed
21

Top Buys

Rank Stock Value
1
ACAS
American Capital Ltd
ACAS
+$29.3M
2
OCSL icon
Oaktree Specialty Lending
OCSL
+$21.2M
3
KYN icon
Kayne Anderson Energy Infrastructure Fund
KYN
+$16.2M
4
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$14.6M
5
NCZ
Virtus Convertible & Income Fund II
NCZ
+$13.3M

Top Sells

Rank Stock Value
1
HCF
NEXPOINT CREDIT STRATEGIES FUND
HCF
+$29.4M
2
NPM
NUVEEN PREMIUM INCM MUNI FD II
NPM
+$16.5M
3
VMO icon
Invesco Municipal Opportunity Trust
VMO
+$7.57M
4
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$5.56M
5
NBB icon
Nuveen Taxable Municipal Income Fund
NBB
+$5.46M

Sector Composition

Rank Sector Weight
1 Financials 8.56%
2 Real Estate 0.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CMU
201
DELISTED
MFS High Yield Municipal Trust
CMU
– –
-24,696
Closed -$108K
ETX
202
Eaton Vance Municipal Income 2028 Term Trust
ETX
$199M
– –
-9,329
Closed -$162K
GSBD icon
203
Goldman Sachs BDC
GSBD
$1.1B
– –
-48,327
Closed -$890K
MFM
204
Aberdeen Municipal Income Fund
MFM
$224M
– –
-35,415
Closed -$226K
NAD icon
205
Nuveen Quality Municipal Income Fund
NAD
$2.78B
– –
-403,586
Closed -$5.56M
OXSQ icon
206
Oxford Square Capital
OXSQ
$157M
– –
-770,419
Closed -$5.17M
PFN
207
PIMCO Income Strategy Fund II
PFN
$703M
– –
-223,982
Closed -$1.98M
PMO
208
Franklin Municipal Opportunities Trust
PMO
$285M
– –
-122,543
Closed -$1.47M
PNNT
209
Pennant Park Investment Corp
PNNT
$241M
– –
-750,123
Closed -$4.85M
TPVG icon
210
TriplePoint Venture Growth BDC
TPVG
$211M
– –
-55,029
Closed -$558K
VMO icon
211
Invesco Municipal Opportunity Trust
VMO
$663M
– –
-601,592
Closed -$7.57M
WHF icon
212
WhiteHorse Finance
WHF
$146M
– –
-41,421
Closed -$482K
EXD
213
DELISTED
Eaton Vance TaxManaged Buy-Write Strategy Fund
EXD
– –
-27,075
Closed -$331K
FCRD
214
DELISTED
First Eagle Alternative Capital BDC, Inc. Common Stock
FCRD
– –
-63,502
Closed -$693K
EFF
215
DELISTED
EATON VANCE FLOATING-RATE INCOME PLUS FUND
EFF
– –
-6,553
Closed -$96K
GFY
216
DELISTED
Western Asset Variable Rate Strategic Fund, Inc
GFY
– –
-234,971
Closed -$3.65M
NPP
217
DELISTED
NUVEEN PERFORMANCE+MUN FUND
NPP
– –
-57,034
Closed -$809K
FTT
218
DELISTED
FEDERATED ENHANCED TREAS INCM FD COM BEN INTEREST
FTT
– –
-224,869
Closed -$3.04M
NPF
219
DELISTED
NUVEEN PREMIER MUNI INCOME FD
NPF
– –
-159,602
Closed -$2.08M
5 6 7 8
9

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Rivernorth Capital Management's Q4 2015 Portfolio in Review

As of Q4 2015, Rivernorth Capital Management held 219 positions worth $1.76B, up 8% from $1.63B the previous quarter. Its ten largest holdings account for 28% of the portfolio.

Rivernorth Capital Management deployed $95.5M of net new capital in Q4 2015, opening 21 new positions and adding to 90 existing holdings. Its largest new stake was Kayne Anderson Energy Infrastructure Fund: 814,633 shares worth $14.1M.

By sector, the portfolio is most concentrated in Financials at 8.6% of assets, up from 7.4% a quarter earlier, followed by Real Estate.

On the sell side, the largest reduction was NEXPOINT CREDIT STRATEGIES FUND, an estimated $29.4M trimmed.

  • Rivernorth Capital Management's largest Q4 2015 buy was Kayne Anderson Energy Infrastructure Fund: 814,633 shares worth $14.1M.
  • Rivernorth Capital Management added most to American Capital Ltd in Q4 2015, an estimated $29.3M increase.
  • Rivernorth Capital Management's biggest Q4 2015 reduction was NEXPOINT CREDIT STRATEGIES FUND, cutting an estimated $29.4M.
  • Rivernorth Capital Management fully exited Invesco Municipal Opportunity Trust in Q4 2015, selling an estimated $7.57M.
  • Rivernorth Capital Management's ten largest holdings make up 28% of its $1.76B portfolio in Q4 2015.
  • Rivernorth Capital Management opened 21 new positions and closed 21 in Q4 2015.
  • Rivernorth Capital Management's portfolio value rose 8% quarter-over-quarter to $1.76B.

Based on Rivernorth Capital Management's 13F filing for Q4 2015, filed 16 Feb 2016.