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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
-8.89%
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
$1.63B
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
PCI
1
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
$110M 6.77%
6,027,632
+1,671,314
+38% +$32.2M
GLO
2
Clough Global Opportunities Fund
GLO
$249M
$46.1M 2.84%
4,309,495
+34,432
+0.8% +$405K
ACAS
3
DELISTED
American Capital Ltd
ACAS
$38.9M 2.39%
3,199,721
+782,217
+32% +$10.5M
BTZ icon
4
BlackRock Credit Allocation Income Trust
BTZ
$935M
$38.4M 2.36%
3,151,198
+12,000
+0.4% +$149K
ACG
5
DELISTED
AllianceBernstein Income Fund Inc
ACG
$37.3M 2.29%
4,741,942
+114,979
+2% +$891K
JQC icon
6
Nuveen Credit Strategies Income Fund
JQC
$705M
$32.6M 2%
4,082,213
– –
FAX
7
DELISTED
abrdn Asia-Pacific Income Fund
FAX
$31.5M 1.94%
1,165,498
+492,112
+73% +$13.8M
HYT icon
8
BlackRock Corporate High Yield Fund
HYT
$1.36B
$31.2M 1.92%
3,157,745
+568,076
+22% +$5.86M
STEW
9
SRH Total Return Fund
STEW
$1.79B
$28.9M 1.78%
3,873,489
– –
OCSL icon
10
Oaktree Specialty Lending
OCSL
$1.02B
$28.2M 1.73%
1,522,777
+488,717
+47% +$9.41M
USA icon
11
Liberty All-Star Equity Fund
USA
$1.79B
$26.7M 1.64%
5,252,052
+2,800
+0.1% +$15.4K
SPY icon
12
State Street SPDR S&P 500 ETF Trust
SPY
$790B
$25.8M 1.59%
134,759
-34,844
-21% -$7.07M
VWO icon
13
Vanguard FTSE Emerging Markets ETF
VWO
$121B
$24.9M 1.53%
751,375
+100,000
+15% +$3.63M
EVV
14
Eaton Vance Limited Duration Income Fund
EVV
$1.06B
$23.2M 1.42%
1,826,367
+433,339
+31% +$5.77M
ADX icon
15
Adams Diversified Equity Fund
ADX
$3.13B
$22.1M 1.36%
1,733,691
-28,980
-2% -$394K
TY icon
16
TRI-Continental Corp
TY
$1.86B
$22M 1.36%
1,129,780
+3,596
+0.3% +$74.1K
PRF icon
17
Invesco FTSE RAFI US 1000 ETF
PRF
$9.79B
$20M 1.23%
1,203,340
– –
SABA
18
Saba Capital Income & Opportunities Fund II
SABA
$223M
$19.6M 1.21%
1,613,159
+95,489
+6% +$1.25M
BGB
19
Blackstone Strategic Credit 2027 Term Fund
BGB
$499M
$19M 1.17%
1,337,087
+25,995
+2% +$393K
DSU icon
20
BlackRock Debt Strategies Fund
DSU
$591M
$18.5M 1.14%
1,850,381
+9,759
+0.5% +$103K
BIT icon
21
BlackRock Multi-Sector Income Trust
BIT
$698M
$18.1M 1.11%
1,152,064
+6,780
+0.6% +$111K
AWF
22
AllianceBernstein Global High Income Fund
AWF
$872M
$17.9M 1.1%
1,617,349
+654,262
+68% +$7.54M
VEA icon
23
Vanguard FTSE Developed Markets ETF
VEA
$229B
$17.2M 1.06%
482,753
– –
NPM
24
DELISTED
NUVEEN PREMIUM INCM MUNI FD II
NPM
$17.1M 1.05%
1,254,072
-98,144
-7% -$1.32M
GHY
25
PGIM Global High Yield Fund
GHY
$476M
$16.3M 1%
1,183,807
+543,614
+85% +$7.85M
1
2 3 4 5

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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.