Rivernorth Capital Management

Rivernorth Capital Management as of Sept. 30, 2013

Portfolio Holdings for Rivernorth Capital Management

Rivernorth Capital Management holds 188 positions in its portfolio as reported in the September 2013 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
BlackRock Credit All Inc Trust IV (BTZ) 4.4 $42M 3.2M 13.04
Pimco Dynamic Incm Fund (PDI) 3.6 $34M 1.2M 28.69
iShares S&P 100 Index (OEF) 3.0 $28M 375k 74.84
Royce Value Trust (RVT) 2.9 $27M 1.7M 16.11
Pimco Dynamic Credit Income other 2.7 $26M 1.2M 22.25
PowerShares FTSE RAFI US 1000 2.7 $25M 337k 75.49
AllianceBernstein Income Fund 2.5 $24M 3.4M 7.04
Adams Express Company (ADX) 2.4 $22M 1.8M 12.39
Eaton Vance Risk Managed Diversified (ETJ) 2.4 $22M 2.1M 10.81
Liberty All-Star Equity Fund (USA) 2.1 $20M 3.7M 5.41
Tri-Continental Corporation (TY) 2.1 $20M 1.1M 18.32
Vanguard S&p 500 2.0 $20M 253k 77.00
Clough Gbl Opps Fund Sh Ben Int closed-end fund (GLO) 2.0 $19M 1.5M 12.87
Eaton Vance Tax Managed Diversified Eq. (ETY) 2.0 $19M 1.9M 10.08
Aberdeen Asia-Pacific Income Fund (FAX) 1.8 $17M 2.7M 6.06
Morgan Stanley Emerging Markets Domestic (EDD) 1.7 $16M 1.1M 14.10
BlackRock Global Opportunities Equity Tr (BOE) 1.6 $16M 1.1M 13.99
Vanguard Emerging Markets ETF (VWO) 1.6 $15M 376k 40.14
Nuveen Mult Curr St Gv Incm 1.6 $15M 1.4M 10.48
PIMCO Corporate Opportunity Fund (PTY) 1.5 $15M 809k 18.05
Alpine Total Dynamic Dividend Fund 1.5 $14M 3.5M 4.02
Zweig Total Return 1.4 $13M 1.0M 13.10
Nexpoint Credit Strategies 1.4 $13M 1.7M 7.65
Blackrock Multi-sector Incom other (BIT) 1.4 $13M 789k 16.67
Nuveen Premium Income Muni Fund 2 1.4 $13M 983k 13.05
Pimco Income Strategy Fund II (PFN) 1.3 $13M 1.2M 10.20
General American Investors (GAM) 1.2 $11M 329k 34.14
Putnam Premier Income Trust (PPT) 1.2 $11M 2.1M 5.26
Rydex Russell Top 50 ETF 1.1 $11M 90k 117.19
LEGG MASON BW GLOBAL Income 1.1 $11M 632k 16.73
Nuveen Performance Plus Municipal Fund 1.1 $11M 775k 13.51
Nuveen Div. Advantage Muni. Fund (NAD) 1.0 $9.4M 724k 13.03
Nuveen Intermediate 1.0 $9.2M 803k 11.48
Central Fd Cda Ltd cl a 0.9 $8.6M 582k 14.70
Clough Global Equity Fund closed-end fund (GLQ) 0.8 $8.0M 535k 15.03
Eaton Vance Enhanced Equity Income Fund (EOI) 0.8 $8.0M 659k 12.06
Allianzgi Equity & Conv In 0.8 $7.8M 418k 18.57
Eaton Vance Tax-Managed Global Buy-Write (ETW) 0.8 $7.2M 635k 11.34
Western Asset Global Cp Defi (GDO) 0.8 $7.3M 408k 17.79
Apollo Tactical Income Fd In (AIF) 0.8 $7.2M 432k 16.70
Pimco Income Strategy Fund (PFL) 0.7 $7.0M 605k 11.57
Market Vectors Gold Miners ETF 0.7 $6.6M 263k 25.02
Gabelli Dividend & Income Trust (GDV) 0.7 $6.6M 332k 19.88
Nuveen Premium Income Municipal Fund 0.7 $6.6M 514k 12.78
DWS Dreman Value Income Edge Fund 0.7 $6.6M 465k 14.15
Nuveen Quality Pref. Inc. Fund II 0.7 $6.3M 775k 8.16
Boulder Total Return Fund 0.6 $6.1M 280k 21.80
Calamos Convertible & Hi Income Fund (CHY) 0.6 $6.1M 488k 12.53
ADVENT CLAY GBL CONV SEC INC COM Bene Inter 0.6 $6.1M 876k 6.95
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 0.6 $6.1M 525k 11.60
Boulder Growth & Income Fund (STEW) 0.6 $5.7M 742k 7.63
Central Europe and Russia Fund (CEE) 0.6 $5.6M 172k 32.42
Nuveen Build Amer Bd (NBB) 0.6 $5.6M 312k 18.07
Vanguard Europe Pacific ETF (VEA) 0.6 $5.4M 137k 39.58
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 0.6 $5.2M 370k 14.14
SPDR Barclays Capital Convertible SecETF (CWB) 0.5 $5.0M 111k 45.20
Nuveen Multi-Strategy Income & Growth (JPC) 0.5 $5.1M 584k 8.68
PowerShares FTSE RAFI Emerging MarketETF 0.5 $5.0M 248k 20.30
PIMCO Income Opportunity Fund 0.5 $5.0M 184k 27.49
Virtus Total Return Fund Cef 0.5 $5.1M 1.3M 3.94
VIRTUS GLOBAL Multi-sec (VGI) 0.5 $4.9M 290k 17.00
Montgomery Street Income Securities 0.5 $4.7M 297k 15.71
Thai Fund 0.5 $4.5M 229k 19.87
Royce Focus Tr 0.5 $4.4M 614k 7.22
Invesco Van Kampen Municipal Trust (VKQ) 0.4 $4.1M 355k 11.70
Cornerstone Progressive Rtn 0.4 $4.2M 823k 5.13
Pimco Municipal Income Fund II (PML) 0.4 $4.0M 363k 11.03
Advent/Claymore Enhanced Growth & Income 0.4 $4.0M 407k 9.78
Blackrock Build America Bond Trust (BBN) 0.4 $4.0M 214k 18.81
Nuveen Build Amer Bd Opptny 0.4 $3.9M 213k 18.54
BLACKROCK INTL GRWTH & INC T COM Bene Inter (BGY) 0.4 $3.6M 469k 7.70
Brookfield Total Return Fd I 0.4 $3.7M 159k 22.94
Western Asset Emerging Mrkts Dbt Fnd (EMD) 0.4 $3.5M 197k 17.94
Babson Cap Glb Sht Durhgh Yl 0.4 $3.4M 149k 22.83
BlackRock Enhanced Dividend Achievers Tr (BDJ) 0.3 $3.3M 443k 7.52
PIMCO Corporate Income Fund (PCN) 0.3 $3.1M 183k 16.69
Macquarie Global Infr Total Rtrn Fnd 0.3 $3.1M 142k 21.64
Nuveen Mtg opportunity term (JLS) 0.3 $2.9M 123k 23.76
Federated Enhanced Treasury 0.3 $2.7M 213k 12.86
Nuveen Global Govt. Enhanced Income Fund 0.3 $2.6M 224k 11.73
Western Asset Worldwide Income Fund 0.3 $2.7M 214k 12.57
First Tr High Income L/s (FSD) 0.3 $2.6M 151k 17.54
Ofs Capital (OFS) 0.3 $2.7M 213k 12.66
Nuveen Qual Preferred Inc. Fund III 0.3 $2.6M 325k 7.89
Western Asset Inflation Mgnt Fnd (IMF) 0.3 $2.6M 156k 16.42
Firsthand Tech Value (SVVC) 0.3 $2.6M 106k 24.48
BlackRock Debt Strategies Fund 0.3 $2.4M 606k 4.02
Nuveen Insured Municipal Opp. Fund 0.3 $2.5M 190k 13.00
Eaton Vance Municipal Bond Fund (EIM) 0.3 $2.5M 218k 11.56
Aberdeen Global Income Fund (FCO) 0.2 $2.3M 213k 10.83
Affiliated Managers (AMG) 0.2 $2.2M 12k 182.64
MFS Charter Income Trust (MCR) 0.2 $2.1M 232k 8.95
Pimco Municipal Income Fund (PMF) 0.2 $2.1M 167k 12.48
Technology SPDR (XLK) 0.2 $2.0M 64k 32.03
Western Asst High Incm Opprtnty Fnd (HIO) 0.2 $2.0M 340k 5.97
Putnam Master Int. Income (PIM) 0.2 $1.9M 381k 4.88
Nuveen Quality Preferred Income Fund 0.2 $1.9M 247k 7.56
Special Opportunities Fund (SPE) 0.2 $1.9M 106k 17.61
Ivy High Income Opportunities 0.2 $1.9M 106k 17.80
Lehman Brothers First Trust IOF (NHS) 0.2 $1.8M 136k 13.06
Advent Claymore Convertible Sec & Inc (AVK) 0.2 $1.7M 99k 17.59
Cohen & Steers REIT/P (RNP) 0.2 $1.7M 110k 15.51
Franklin Templeton (FTF) 0.2 $1.7M 131k 13.00
Neuberger Berman Real Estate Sec (NRO) 0.2 $1.7M 382k 4.52
Nuveen Mortgage opportunity trm fd2 0.2 $1.7M 70k 24.01
First Trust Strategic 0.2 $1.7M 109k 15.91
DWS Global High Income Fund 0.2 $1.6M 206k 8.01
Aberdn Emring Mkts Telecomtions 0.2 $1.5M 76k 19.47
Gabelli Utility Trust (GUT) 0.2 $1.6M 245k 6.35
Calamos Global Dynamic Income Fund (CHW) 0.2 $1.5M 182k 8.51
Blackstone Gso Strategic (BGB) 0.2 $1.5M 84k 17.69
Blackrock Muniyield Quality Fund II (MQT) 0.1 $1.4M 115k 12.38
Morgan Stanley East. Euro 0.1 $1.5M 78k 18.69
BlackRock Income Opportunity Trust 0.1 $1.3M 135k 9.90
Morgan Stanley Emerging Markets Debt (MSD) 0.1 $1.3M 133k 10.00
Nuveen Int Dur Qual Mun Trm 0.1 $1.3M 116k 11.49
Spdr S&p 500 Etf (SPY) 0.1 $1.3M 7.5k 168.00
MFS Multimarket Income Trust (MMT) 0.1 $1.2M 185k 6.61
Strategic Global Income Fund 0.1 $1.3M 138k 9.29
Goodyear Tire Rubr Pfd 5.875% p 0.1 $1.2M 19k 63.70
Nuveen Premier Mun Income 0.1 $1.2M 91k 12.90
Blackrock MuniHoldings Insured 0.1 $1.2M 93k 12.40
RMK Strategic Income Fund 0.1 $1.1M 177k 6.35
Putnam High Income Securities Fund 0.1 $1.0M 133k 7.87
Western Asset Managed High Incm Fnd 0.1 $1.0M 183k 5.69
Putnam Managed Municipal Income Trust (PMM) 0.1 $1.0M 149k 6.84
Western Asset Global High Income Fnd (EHI) 0.1 $1.0M 82k 12.34
Western Asset Mrtg Defined Oppn Fund (DMO) 0.1 $1.1M 47k 22.51
TCW Strategic Income Fund (TSI) 0.1 $939k 174k 5.39
Wstrn Asst Emrgng Mrkts Incm Fnd 0.1 $910k 73k 12.53
BlackRock Senior High Income Fund 0.1 $960k 244k 3.94
Global High Income Fund 0.1 $926k 90k 10.29
Clough Global Allocation Fun (GLV) 0.1 $917k 60k 15.25
New America High Income Fund I (HYB) 0.1 $889k 94k 9.51
Western Asset Managed Municipals Fnd (MMU) 0.1 $886k 72k 12.36
Nuveen Mun High Income Opp F (NMZ) 0.1 $872k 75k 11.67
Nuveen Ins Ca Tx Fr Adv Mun (NKX) 0.1 $888k 72k 12.34
THE GDL FUND Closed-End fund (GDL) 0.1 $880k 78k 11.29
Western Asset Municipal Partners Fnd 0.1 $730k 53k 13.83
BlackRock High Yield Trust 0.1 $759k 110k 6.92
Gsv Cap Corp 0.1 $783k 53k 14.81
John Hancock Hdg Eq & Inc (HEQ) 0.1 $803k 48k 16.62
First Trust Energy Income & Gr (FEN) 0.1 $730k 23k 31.98
American Capital 0.1 $701k 51k 13.75
Managed High Yield Plus Fund 0.1 $684k 342k 2.00
Financial Select Sector SPDR (XLF) 0.1 $539k 27k 19.89
Equus Total Return (EQS) 0.1 $558k 295k 1.89
Blackrock Muniholdings Fund II 0.1 $601k 43k 14.15
MFS High Income Municipal Trust (CXE) 0.1 $558k 120k 4.64
Van Kampen Advantage Muni Incm Tr II (VKI) 0.1 $577k 54k 10.71
Morgan Stanley income sec 0.1 $561k 34k 16.64
Prudential Gl Sh Dur Hi Yld 0.1 $591k 34k 17.43
Hewlett-Packard Company 0.1 $441k 21k 21.00
Wells Fargo Adv Inc Opport Fund (EAD) 0.1 $489k 54k 9.01
BlackRock Corporate High Yield Fund V In 0.1 $490k 40k 12.12
BlackRock MuniHolding Insured Investm 0.1 $448k 34k 13.11
Nuveen Premium Income Muni Fd 4 0.0 $377k 32k 11.89
Blackrock Defined Opprty Cr 0.0 $351k 25k 13.99
RMK Advantage Income Fund (HAV) 0.0 $349k 41k 8.53
Invesco Van Kampen Muni Opp Trust (VMO) 0.0 $359k 31k 11.78
PCM Fund (PCM) 0.0 $401k 35k 11.45
MFS High Yield Municipal Trust (CMU) 0.0 $344k 83k 4.15
BlackRock MuniYield Investment Fund 0.0 $368k 27k 13.81
Kcap Financial 0.0 $403k 45k 8.95
Fifth Str Sr Floating Rate 0.0 $385k 28k 13.56
Cameco Corporation (CCJ) 0.0 $320k 18k 18.07
Consumer Staples Select Sect. SPDR (XLP) 0.0 $322k 8.1k 39.75
DWS High Income Trust 0.0 $322k 36k 9.06
Eaton Vance Short Duration Diversified I (EVG) 0.0 $271k 18k 15.47
Templeton Emerging Markets Income Fund (TEI) 0.0 $330k 23k 14.27
Pimco Municipal Income Fund III (PMX) 0.0 $302k 29k 10.45
Western Asset Premier Bond Fund (WEA) 0.0 $274k 19k 14.17
BlackRock Insured Municipal Income Trust (BYM) 0.0 $282k 21k 13.59
Blackrock Strategic Bond Trust 0.0 $262k 20k 12.95
John Hancock Income Securities Trust (JHS) 0.0 $281k 20k 14.12
Stone Hbr Emerg Mkts Tl 0.0 $248k 12k 20.00
Newmont Mining Corporation (NEM) 0.0 $208k 7.4k 28.11
BlackRock Income Trust 0.0 $184k 28k 6.65
Eaton Vance Municipal Income Trust (EVN) 0.0 $194k 18k 11.02
Nuveen Muni Value Fund (NUV) 0.0 $226k 25k 9.14
RMK Multi-Sector High Income Fund (HMH) 0.0 $150k 26k 5.80
Pioneer Municipal High Income Trust (MHI) 0.0 $171k 12k 14.11
Nuveen CA Dividend Advantage Muni. Fund (NAC) 0.0 $151k 12k 12.80
Ares Dynamic Cr Allocation (ARDC) 0.0 $181k 10k 18.10
Arch Coal 0.0 $72k 18k 4.09
MFS Intermediate Income Trust (MIN) 0.0 $106k 20k 5.30
Blackrock High Income Shares 0.0 $52k 25k 2.08
Credit Suisse AM Inc Fund (CIK) 0.0 $86k 23k 3.69