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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
+9.74%
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
$1.68B
AUM Growth
+$69.2M
Cap. Flow
-$146M
Cap. Flow %
-8.69%
Top 10 Hldgs %
29%
Holding
496
New
162
Increased
49
Reduced
116
Closed
141

Top Buys

Rank Stock Value
1
OBDC icon
Blue Owl Capital
OBDC
+$35.8M
2
NMCO icon
Nuveen Municipal Credit Opportunities Fund
NMCO
+$25.9M
3
VVR icon
Invesco Senior Income Trust
VVR
+$19.6M
4
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$17M
5
BGB
Blackstone Strategic Credit 2027 Term Fund
BGB
+$16.2M

Top Sells

Rank Stock Value
1
EHI
Western Asset Global High Income Fund
EHI
+$53.9M
2
HIX
Western Asset High Income Fund II
HIX
+$28.4M
3
HIO
Western Asset High Income Opportunity Fund
HIO
+$20.8M
4
PHD
Pioneer Floating Rate Fund
PHD
+$15M
5
BFZ
BlackRock CA Municipal Income Trust
BFZ
+$14.6M

Sector Composition

Rank Sector Weight
1 Financials 11.15%
2 Healthcare 0.76%
3 Technology 0.75%
4 Consumer Discretionary 0.62%
5 Industrials 0.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CYXT
201
DELISTED
Cyxtera Technologies, Inc. Class A Common Stock
CYXT
$777K 0.05%
+74,994
New +$755K
EFL
202
DELISTED
Eaton Vance Floating-Rate 2022 Target Term Trust Common Shares of Beneficial Interest
EFL
$776K 0.05%
+87,288
New +$763K
THBR
203
DELISTED
Thunder Bridge Acquisition II, Ltd. Class A Ordinary Shares
THBR
$773K 0.05%
58,477
-16,523
-22% -$174K
ATA.U
204
DELISTED
Americas Technology Acquisition Corp. Units, each consisting of one Ordinary Share and one half of Redeemable Warrant
ATA.U
$771K 0.05%
+75,000
New +$766K
DUNEU
205
DELISTED
Dune Acquisition Corporation Unit
DUNEU
$769K 0.05%
+75,000
New +$765K
OWLT icon
206
Owlet
OWLT
$158M
$748K 0.04%
+5,252
New +$725K
PDAC
207
DELISTED
Peridot Acquisition Corp.
PDAC
$743K 0.04%
+71,698
New +$718K
CIICW
208
DELISTED
CIIG Merger Corp. Warrants
CIICW
$704K 0.04%
85,852
-12,800
-13% -$48.2K
PSTH
209
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$699K 0.04%
25,201
-124,799
-83% -$3.01M
IHD
210
Voya Emerging Markets High Income Dividend Equity Fund
IHD
$132M
$677K 0.04%
93,297
+4,214
+5% +$29.5K
NMFC icon
211
New Mountain Finance
NMFC
$730M
$669K 0.04%
58,920
+33,258
+130% +$357K
PHD
212
DELISTED
Pioneer Floating Rate Fund
PHD
$668K 0.04%
65,538
-1,440,319
-96% -$15M
DCRBU
213
DELISTED
Decarbonization Plus Acquisition Corporation Unit
DCRBU
$575K 0.03%
+50,000
New +$516K
PHK
214
PIMCO High Income Fund
PHK
$875M
$568K 0.03%
+93,861
New +$534K
DMO
215
Western Asset Mortgage Opportunity Fund
DMO
$120M
$558K 0.03%
+39,369
New +$538K
MYC
216
DELISTED
Blackrock Muni Yield California Fund, Inc.
MYC
$555K 0.03%
37,509
– –
PLBY icon
217
Playboy Inc
PLBY
$157M
$544K 0.03%
51,802
-33,198
-39% -$338K
LOKB.U
218
DELISTED
Live Oak Acquisition Corp. II Units, each consisting of one share of Class A common stock and one-th
LOKB.U
$543K 0.03%
+50,000
New +$523K
IID
219
DELISTED
VOYA INTERNATIONAL HIGH DIVIDEND EQUITY INCOME FUND
IID
$536K 0.03%
117,097
-51,479
-31% -$228K
SNCE
220
DELISTED
Science 37 Holdings, Inc. Common Stock
SNCE
$534K 0.03%
+2,500
New +$520K
PTICU
221
DELISTED
PropTech Investment Corporation II Unit
PTICU
$532K 0.03%
+50,000
New +$519K
MAACU
222
DELISTED
Montes Archimedes Acquisition Corp. Unit
MAACU
$525K 0.03%
+50,000
New +$505K
BURU
223
DELISTED
NUBURU INC
BURU
$519K 0.03%
+250
New +$493K
EDTXU
224
DELISTED
EdtechX Holdings Acquisition Corp. II Unit
EDTXU
$516K 0.03%
+50,000
New +$511K
KINZU
225
DELISTED
KINS Technology Group Inc. Unit
KINZU
$515K 0.03%
+50,000
New +$514K
7 8
9
10 11

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Rivernorth Capital Management's Q4 2020 Portfolio in Review

As of Q4 2020, Rivernorth Capital Management held 496 positions worth $1.68B, up 4.3% from $1.62B the previous quarter. Its ten largest holdings account for 29% of the portfolio.

Rivernorth Capital Management withdrew a net $146M in Q4 2020, closing 141 positions and reducing 116 holdings. Its most notable exit was Western Asset Global High Income Fund, an estimated $53.9M position sold in full.

By sector, the portfolio is most concentrated in Financials at 11% of assets, up from 8.1% a quarter earlier, followed by Healthcare and Technology.

Against the trend, Rivernorth Capital Management opened a new position in Blue Owl Capital worth $35.7M.

  • Rivernorth Capital Management's largest Q4 2020 buy was Blue Owl Capital: 2,823,663 shares worth $35.7M.
  • Rivernorth Capital Management added most to Invesco Senior Income Trust in Q4 2020, an estimated $19.6M increase.
  • Rivernorth Capital Management's biggest Q4 2020 reduction was Western Asset High Income Opportunity Fund, cutting an estimated $20.8M.
  • Rivernorth Capital Management fully exited Western Asset Global High Income Fund in Q4 2020, selling an estimated $53.9M.
  • Rivernorth Capital Management's ten largest holdings make up 29% of its $1.68B portfolio in Q4 2020.
  • Rivernorth Capital Management opened 162 new positions and closed 141 in Q4 2020.
  • Rivernorth Capital Management's portfolio value rose 4.3% quarter-over-quarter to $1.68B.

Based on Rivernorth Capital Management's 13F filing for Q4 2020, filed 16 Feb 2021.