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RCM

Rivernorth Capital Management Portfolio holdings

AUM $2B
1-Year Est. Return 0.66%
This Fund
S&P 500
This Quarter Est. Return
-3.42%
1 Year Est. Return
-0.66%
3 Year Est. Return
+4.95%
5 Year Est. Return
-8.55%
10 Year Est. Return
+11.89%
AUM
$1.25B
AUM Growth
+$4.13M
Cap. Flow
+$50.9M
Cap. Flow %
4.07%
Top 10 Hldgs %
25.52%
Holding
203
New
26
Increased
73
Reduced
52
Closed
28

Top Buys

Rank Stock Value
1
DRA
Diversified Real Asset Income Fd
DRA
+$11.1M
2
ACG
AllianceBernstein Income Fund Inc
ACG
+$10.1M
3
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$8.04M
4
NPT
NUVEEN PREM INSD MUNI FD-4 INC
NPT
+$6.87M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.62M

Top Sells

Rank Stock Value
1
NPI
NUVEEN PREMIUN INC MUN FUND
NPI
+$9.49M
2
NML
Neuberger Energy Infrastructure and Income Fund Inc
NML
+$8.89M
3
ETJ
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
+$6.56M
4
NMA
NUVEEN MUNI ADVANTAGE FUND
NMA
+$5.22M
5
BSP
AMERN STRATEGIC INCM PORTF II
BSP
+$4.4M

Sector Composition

Rank Sector Weight
1 Financials 3.96%
2 Technology 0.18%
3 Energy 0.05%
4 Consumer Discretionary 0.03%
5 Communication Services 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPY icon
1
State Street SPDR S&P 500 ETF Trust
SPY
$790B
$55.6M 4.45%
282,313
+33,475
+13% +$6.62M
PCI
2
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
$45.7M 3.66%
2,033,214
+202,657
+11% +$4.68M
BTZ icon
3
BlackRock Credit Allocation Income Trust
BTZ
$935M
$42.9M 3.44%
3,225,278
– –
JQC icon
4
Nuveen Credit Strategies Income Fund
JQC
$705M
$32M 2.56%
3,583,368
+389,254
+12% +$3.53M
VWO icon
5
Vanguard FTSE Emerging Markets ETF
VWO
$121B
$28.5M 2.28%
682,375
+181,000
+36% +$8.04M
ADX icon
6
Adams Diversified Equity Fund
ADX
$3.13B
$24.3M 1.95%
1,746,371
– –
VEA icon
7
Vanguard FTSE Developed Markets ETF
VEA
$229B
$24.2M 1.94%
608,753
+135,000
+28% +$5.62M
TY icon
8
TRI-Continental Corp
TY
$1.86B
$22.4M 1.79%
1,070,982
– –
OEF icon
9
iShares S&P 100 ETF
OEF
$20.1B
$22M 1.76%
250,000
– –
PRF icon
10
Invesco FTSE RAFI US 1000 ETF
PRF
$9.79B
$21.2M 1.69%
1,203,340
– –
USA icon
11
Liberty All-Star Equity Fund
USA
$1.79B
$20.8M 1.67%
3,570,037
+53,011
+2% +$315K
RVT icon
12
Royce Value Trust
RVT
$2.2B
$20.8M 1.66%
1,433,074
-48,414
-3% -$751K
NPM
13
DELISTED
NUVEEN PREMIUM INCM MUNI FD II
NPM
$20.4M 1.64%
1,486,800
-10,000
-0.7% -$137K
BIT icon
14
BlackRock Multi-Sector Income Trust
BIT
$698M
$19.9M 1.59%
1,121,632
+120,018
+12% +$2.17M
VMO icon
15
Invesco Municipal Opportunity Trust
VMO
$651M
$19.5M 1.56%
1,553,740
-128,603
-8% -$1.6M
HCF
16
DELISTED
NEXPOINT CREDIT STRATEGIES FUND
HCF
$18.9M 1.51%
1,778,937
+304,437
+21% +$3.23M
ACG
17
DELISTED
AllianceBernstein Income Fund Inc
ACG
$18.7M 1.49%
2,489,106
+1,351,821
+119% +$10.1M
GLO
18
Clough Global Opportunities Fund
GLO
$249M
$18.5M 1.48%
1,551,678
– –
SABA
19
Saba Capital Income & Opportunities Fund II
SABA
$223M
$18M 1.44%
1,131,838
-181,851
-14% -$2.92M
EDD
20
Morgan Stanley Emerging Markets Domestic Debt Fund
EDD
$376M
$17.2M 1.37%
1,453,865
+117,885
+9% +$1.53M
NID
21
DELISTED
NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND
NID
$16.8M 1.35%
1,349,332
-57,949
-4% -$720K
NIE
22
Virtus Equity & Convertible Income Fund
NIE
$712M
$16.5M 1.32%
830,914
+70,184
+9% +$1.42M
AOD
23
abrdn Total Dynamic Dividend Fund
AOD
$1.11B
$16.3M 1.3%
1,913,103
-1,500
-0.1% -$13.2K
DSU icon
24
BlackRock Debt Strategies Fund
DSU
$591M
$15.6M 1.25%
1,363,307
-7,578
-0.6% -$90.2K
JGT
25
DELISTED
NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA)
JGT
$14.9M 1.2%
1,401,963
– –
1
2 3 4 5

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Rivernorth Capital Management's Q3 2014 Portfolio in Review

As of Q3 2014, Rivernorth Capital Management held 203 positions worth $1.25B, up 0.33% from $1.25B the previous quarter. Its ten largest holdings account for 26% of the portfolio.

Rivernorth Capital Management deployed $50.9M of net new capital in Q3 2014, opening 26 new positions and adding to 73 existing holdings. Its largest new stake was Diversified Real Asset Income Fd: 626,697 shares worth $11.1M.

By sector, the portfolio is most concentrated in Financials at 4% of assets, up from 3.9% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was NUVEEN MUNI ADVANTAGE FUND, an estimated $5.22M trimmed.

  • Rivernorth Capital Management's largest Q3 2014 buy was Diversified Real Asset Income Fd: 626,697 shares worth $11.1M.
  • Rivernorth Capital Management added most to AllianceBernstein Income Fund Inc in Q3 2014, an estimated $10.1M increase.
  • Rivernorth Capital Management's biggest Q3 2014 reduction was NUVEEN MUNI ADVANTAGE FUND, cutting an estimated $5.22M.
  • Rivernorth Capital Management fully exited NUVEEN PREMIUN INC MUN FUND in Q3 2014, selling an estimated $9.49M.
  • Rivernorth Capital Management's ten largest holdings make up 26% of its $1.25B portfolio in Q3 2014.
  • Rivernorth Capital Management opened 26 new positions and closed 28 in Q3 2014.
  • Rivernorth Capital Management's portfolio value rose 0.33% quarter-over-quarter to $1.25B.

Based on Rivernorth Capital Management's 13F filing for Q3 2014, filed 14 Nov 2014.