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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
+1.73%
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
$1.67B
AUM Growth
+$1.64B
Cap. Flow
+$85.4M
Cap. Flow %
5.13%
Top 10 Hldgs %
30.69%
Holding
314
New
56
Increased
61
Reduced
66
Closed
51

Top Buys

Rank Stock Value
1
PDX
PIMCO Dynamic Income Strategy Fund
PDX
+$31.3M
2
KYN icon
Kayne Anderson Energy Infrastructure Fund
KYN
+$20M
3
NVG icon
Nuveen AMT-Free Municipal Credit Income Fund
NVG
+$18.9M
4
DSU icon
BlackRock Debt Strategies Fund
DSU
+$18.1M
5
BTZ icon
BlackRock Credit Allocation Income Trust
BTZ
+$17.6M

Top Sells

Rank Stock Value
1
VVR icon
Invesco Senior Income Trust
VVR
+$20.6M
2
VTA
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
+$16.9M
3
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$13.4M
4
HIO
Western Asset High Income Opportunity Fund
HIO
+$12.9M
5
HIX
Western Asset High Income Fund II
HIX
+$9.67M

Sector Composition

Rank Sector Weight
1 Financials 2.4%
2 Communication Services 0.43%
3 Technology 0.39%
4 Industrials 0.38%
5 Healthcare 0.34%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MHI
201
DELISTED
Pioneer Municipal High Income Fund
MHI
$750K 0.05%
62,125
-54,070
-47% -$657K
NML
202
Neuberger Energy Infrastructure and Income Fund Inc
NML
$589M
$745K 0.04%
+110,170
New +$734K
SRACU
203
DELISTED
Stable Road Acquisition Corp. Unit
SRACU
$695K 0.04%
+67,500
New +$683K
VKI icon
204
Invesco Advantage Municipal Income Trust II
VKI
$399M
$600K 0.04%
53,699
-3,712
-6% -$41.4K
APXTU
205
DELISTED
Apex Technology Acquisition Corporation Unit
APXTU
$524K 0.03%
50,000
– –
HCCOU
206
DELISTED
Healthcare Merger Corp. Units
HCCOU
$518K 0.03%
+50,000
New +$525K
GB
207
DELISTED
Global Blue Group Holding
GB
$516K 0.03%
49,995
– –
CEV
208
Eaton Vance California Municipal Income Trust
CEV
$73.6M
$499K 0.03%
37,054
-124,192
-77% -$1.65M
NDP
209
DELISTED
TORTOISE ENERGY INDEPENDENCE FUND, INC.
NDP
$495K 0.03%
+14,268
New +$446K
BGH
210
Barings Global Short Duration High Yield Fund
BGH
$286M
$477K 0.03%
+27,215
New +$464K
EGIF
211
DELISTED
Eagle Growth and Income Opportunities Fund
EGIF
$461K 0.03%
+27,061
New +$434K
BTT icon
212
BlackRock Municipal 2030 Target Term Trust
BTT
$1.44B
$434K 0.03%
17,960
-345,894
-95% -$8.28M
TEAF
213
DELISTED
Ecofin Sustainable & Social Impact Term Fund
TEAF
$318K 0.02%
+19,399
New +$315K
BCIC
214
BCP Investment Corp
BCIC
$93.4M
$314K 0.02%
+14,813
New +$320K
SCPE.U
215
DELISTED
SC Health Corporation Units, each consisting of one Class A ordinary share, $0.0001 par value, and o
SCPE.U
$259K 0.02%
25,000
– –
NTG
216
DELISTED
Tortoise Midstream Energy Fund, Inc. Common Stock
NTG
$234K 0.01%
2,136
-37,407
-95% -$4.12M
CCH.U
217
DELISTED
Collier Creek Holdings Units, each consisting of one Class A ordinary share, $0.0001 par value, and
CCH.U
$215K 0.01%
20,000
– –
GER
218
DELISTED
Goldman Sachs MLP Energy Renaissance Fund
GER
$205K 0.01%
+5,297
New +$210K
IMVTW
219
DELISTED
Immunovant, Inc. Warrants expiring 12/18/2024
IMVTW
$200K 0.01%
+100,000
New +$203K
BROG
220
DELISTED
Brooge Energy
BROG
$199K 0.01%
22,497
-202,503
-90% -$2.06M
CRF
221
Cornerstone Total Return Fund
CRF
$1.17B
$195K 0.01%
18,105
-58,831
-76% -$628K
BROGW
222
DELISTED
Brooge Holdings Limited Warrant expiring 12/20/2024
BROGW
$158K 0.01%
+212,900
New +$112K
LACQW
223
DELISTED
Leisure Acquisition Corp. Warrant
LACQW
$158K 0.01%
153,297
– –
TIBRW
224
DELISTED
Tiberius Acquisition Corporation Warrant
TIBRW
$143K 0.01%
125,000
– –
DDMXW
225
DELISTED
DD3 Acquisition Corp. Warrants
DDMXW
$131K 0.01%
298,600
-1,400
-0.5% -$597
7 8
9
10 11

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Rivernorth Capital Management's Q4 2019 Portfolio in Review

As of Q4 2019, Rivernorth Capital Management held 314 positions worth $1.67B, up 7,483% from $22M the previous quarter. Its ten largest holdings account for 31% of the portfolio.

Rivernorth Capital Management deployed $85.4M of net new capital in Q4 2019, opening 56 new positions and adding to 61 existing holdings. Its largest new stake was Cohen & Steers Infrastructure Fund: 374,909 shares worth $9.82M.

By sector, the portfolio is most concentrated in Financials at 2.4% of assets, up from 0.2% a quarter earlier, followed by Communication Services and Technology.

On the sell side, the largest reduction was Invesco Senior Income Trust, an estimated $20.6M trimmed.

  • Rivernorth Capital Management's largest Q4 2019 buy was Cohen & Steers Infrastructure Fund: 374,909 shares worth $9.82M.
  • Rivernorth Capital Management added most to PIMCO Dynamic Income Strategy Fund in Q4 2019, an estimated $31.3M increase.
  • Rivernorth Capital Management's biggest Q4 2019 reduction was Invesco Senior Income Trust, cutting an estimated $20.6M.
  • Rivernorth Capital Management fully exited Akazoo SA Warrant in Q4 2019, selling an estimated $40K.
  • Rivernorth Capital Management's ten largest holdings make up 31% of its $1.67B portfolio in Q4 2019.
  • Rivernorth Capital Management opened 56 new positions and closed 51 in Q4 2019.
  • Rivernorth Capital Management's portfolio value rose 7,483% quarter-over-quarter to $1.67B.

Based on Rivernorth Capital Management's 13F filing for Q4 2019, filed 14 Feb 2020.