Rivernorth Capital Management

Rivernorth Capital Management as of Dec. 31, 2013

Portfolio Holdings for Rivernorth Capital Management

Rivernorth Capital Management holds 216 positions in its portfolio as reported in the December 2013 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Pimco Dynamic Credit Income other 3.9 $50M 2.2M 22.48
BlackRock Credit All Inc Trust IV (BTZ) 3.2 $42M 3.2M 13.06
Pimco Dynamic Incm Fund (PDI) 2.8 $36M 1.2M 29.13
Royce Value Trust (RVT) 1.9 $26M 1.6M 16.01
PIMCO Corporate Opportunity Fund (PTY) 1.9 $24M 1.4M 17.26
Aberdeen Asia-Pacific Income Fund (FAX) 1.8 $23M 4.0M 5.76
AllianceBernstein Income Fund 1.8 $23M 3.2M 7.13
Adams Express Company (ADX) 1.8 $23M 1.7M 13.07
Liberty All-Star Equity Fund (USA) 1.7 $22M 3.6M 5.97
Tri-Continental Corporation (TY) 1.6 $21M 1.1M 19.98
Eaton Vance Risk Managed Diversified (ETJ) 1.6 $20M 1.8M 11.27
Invesco Van Kampen Muni Opp Trust (VMO) 1.6 $20M 1.7M 11.71
Spdr S&p 500 Etf (SPY) 1.5 $20M 108k 184.73
iShares S&P 100 Index (OEF) 1.5 $20M 243k 82.35
Clough Gbl Opps Fund Sh Ben Int closed-end fund (GLO) 1.5 $20M 1.5M 13.07
BlackRock Global Opportunities Equity Tr (BOE) 1.5 $19M 1.3M 14.96
Nuveen Premium Income Muni Fund 2 1.4 $19M 1.5M 12.55
Blackrock Multi-sector Incom other (BIT) 1.4 $19M 1.1M 17.11
PowerShares FTSE RAFI US 1000 1.4 $18M 219k 82.94
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 1.4 $18M 1.8M 9.73
Morgan Stanley Emerging Markets Domestic (EDD) 1.4 $18M 1.4M 13.02
Nexpoint Credit Strategies 1.4 $18M 1.9M 9.42
Eaton Vance Tax Managed Diversified Eq. (ETY) 1.3 $16M 1.5M 10.92
Nuveen Intermediate 1.2 $16M 1.4M 11.51
Alpine Total Dynamic Dividend Fund 1.2 $16M 3.8M 4.19
BlackRock Debt Strategies Fund 1.1 $15M 3.7M 3.99
Nuveen Mult Curr St Gv Incm 1.1 $14M 1.4M 10.08
Nuveen Municipal Advantage Fund 1.1 $14M 1.2M 12.16
Putnam Premier Income Trust (PPT) 1.0 $14M 2.5M 5.44
Vanguard Emerging Markets ETF (VWO) 1.0 $13M 321k 41.14
Zweig Total Return 1.0 $13M 938k 13.94
Invesco Van Kampen Municipal Trust (VKQ) 1.0 $13M 1.1M 11.59
Pimco Income Strategy Fund II (PFN) 0.9 $12M 1.2M 9.95
Rydex Russell Top 50 ETF 0.9 $12M 95k 129.85
Nuveen Long/short Commodity 0.9 $12M 699k 17.22
General American Investors (GAM) 0.9 $12M 330k 35.20
Nuveen Div. Advantage Muni. Fund (NAD) 0.9 $12M 911k 12.59
Templeton Global Income Fund (SABA) 0.8 $11M 1.4M 7.95
LEGG MASON BW GLOBAL Income 0.8 $11M 628k 16.87
Prudential Gl Sh Dur Hi Yld 0.8 $10M 602k 17.35
Nuveen Mtg opportunity term (JLS) 0.8 $10M 441k 23.14
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 0.8 $10M 715k 14.06
BlackRock Corporate High Yield Fund VI (HYT) 0.8 $9.9M 817k 12.17
Nuveen Insured Municipal Opp. Fund 0.8 $9.7M 736k 13.22
First Tr High Income L/s (FSD) 0.7 $9.4M 545k 17.22
Eaton Vance Limited Duration Income Fund (EVV) 0.7 $9.1M 592k 15.30
Nuveen Performance Plus Municipal Fund 0.7 $9.1M 675k 13.53
Neuberger Berman Mlp Income (NML) 0.7 $9.1M 475k 19.09
Nuveen Premium Income Municipal Fund 0.7 $8.9M 720k 12.33
BLACKROCK MUN TARGET TERM TR SHARES Of Ben (BTT) 0.7 $8.9M 520k 17.12
Allianzgi Equity & Conv In 0.7 $8.8M 451k 19.52
Ivy High Income Opportunities 0.7 $8.5M 476k 17.98
Clough Global Equity Fund closed-end fund (GLQ) 0.7 $8.4M 535k 15.71
Western Asset Global Cp Defi (GDO) 0.6 $7.8M 431k 18.07
Apollo Tactical Income Fd In (AIF) 0.6 $7.8M 431k 18.00
Central Fd Cda Ltd cl a 0.6 $7.6M 572k 13.25
Nuveen Munpl Markt Opp Fund 0.6 $7.6M 630k 12.00
Calamos Convertible & Hi Income Fund (CHY) 0.6 $7.5M 578k 12.93
Cornerstone Strategic Value 0.6 $7.4M 1.1M 6.60
DWS Dreman Value Income Edge Fund 0.6 $7.2M 499k 14.40
Blackstone Gso Strategic (BGB) 0.6 $7.2M 402k 17.80
Eaton Vance Enhanced Equity Income Fund (EOI) 0.5 $7.1M 546k 13.00
ADVENT CLAY GBL CONV SEC INC COM Bene Inter 0.5 $6.7M 917k 7.28
Blackstone Gso Lng Shrt Cr I (BGX) 0.5 $6.6M 370k 17.87
Babson Cap Glb Sht Durhgh Yl 0.5 $6.6M 287k 23.12
Nuveen Multi-Strategy Income & Growth (JPC) 0.5 $6.5M 737k 8.87
Pimco Income Strategy Fund (PFL) 0.5 $6.5M 571k 11.31
Avenue Income Cr Strat 0.5 $6.6M 373k 17.58
Boulder Total Return Fund 0.5 $6.4M 280k 23.01
Virtus Total Return Fund Cef 0.5 $6.3M 1.6M 3.93
First Tr Inter Duration Pfd & Income (FPF) 0.5 $6.2M 292k 21.25
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 0.5 $6.1M 541k 11.27
Boulder Growth & Income Fund (STEW) 0.5 $6.0M 742k 8.04
PowerShares FTSE RAFI Emerging MarketETF 0.4 $5.8M 283k 20.49
Nuveen Build Amer Bd (NBB) 0.4 $5.8M 312k 18.44
Market Vectors Gold Miners ETF 0.4 $5.6M 265k 21.13
Wstrn Asst Emrgng Mrkts Incm Fnd 0.4 $5.7M 478k 11.84
VIRTUS GLOBAL Multi-sec (VGI) 0.4 $5.6M 334k 16.92
Cohen & Steers Ltd Dur Pfd I (LDP) 0.4 $5.5M 242k 22.62
Invesco Van Kampen Dyn Cr Opp Fund 0.4 $5.1M 399k 12.90
Central Europe and Russia Fund (CEE) 0.4 $5.2M 172k 30.55
Nuveen Ins Ca Tx Fr Adv Mun (NKX) 0.4 $5.2M 424k 12.17
Nuveen Fltng Rte Incm Opp 0.4 $5.1M 420k 12.18
Clearbridge Amern Energ M 0.4 $4.9M 275k 17.84
Pimco Municipal Income Fund II (PML) 0.4 $4.9M 457k 10.66
Royce Focus Tr 0.4 $4.7M 615k 7.62
BlackRock Enhanced Dividend Achievers Tr (BDJ) 0.4 $4.7M 588k 7.94
Western Asset Worldwide Income Fund 0.4 $4.7M 389k 12.18
Franklin Templeton (FTF) 0.3 $4.4M 343k 12.99
Stone Hbr Emerg Mkts Tl 0.3 $4.4M 230k 19.01
Brookfield Mortg. Opportunity bond etf 0.3 $4.5M 269k 16.57
Brookfield Total Return Fd I 0.3 $4.2M 178k 23.76
Gabelli Dividend & Income Trust (GDV) 0.3 $4.2M 188k 22.17
Advent/Claymore Enhanced Growth & Income 0.3 $4.1M 407k 10.13
Nuveen Build Amer Bd Opptny 0.3 $4.1M 213k 19.43
Eaton Vance Floating-Rate Income Trust (EFT) 0.3 $4.0M 265k 15.27
BLACKROCK INTL GRWTH & INC T COM Bene Inter (BGY) 0.3 $3.8M 469k 8.13
Stone Hbr Emerg Mrkts (EDF) 0.3 $3.8M 208k 18.32
Thai Fund 0.3 $3.7M 202k 18.15
Western Asset Emerging Mrkts Dbt Fnd (EMD) 0.3 $3.3M 193k 17.20
Lehman Brothers First Trust IOF (NHS) 0.2 $3.2M 245k 13.26
Putnam Master Int. Income (PIM) 0.2 $3.2M 627k 5.04
Macquarie Global Infr Total Rtrn Fnd 0.2 $3.1M 139k 22.10
Cornerstone Total Rtrn Fd In 0.2 $3.1M 518k 6.05
Ares Multi Strategy Cr Fd In 0.2 $3.2M 150k 21.17
New America High Income Fund I (HYB) 0.2 $3.0M 306k 9.65
Nuveen Global Govt. Enhanced Income Fund 0.2 $3.0M 261k 11.39
Nuveen Preferred And equity (JPI) 0.2 $3.1M 138k 22.07
Kayne Anderson Energy Total Return Fund 0.2 $2.9M 105k 27.35
MFS Multimarket Income Trust (MMT) 0.2 $2.8M 427k 6.62
Invesco Quality Municipal Inc Trust (IQI) 0.2 $2.9M 263k 11.12
Putnam Municipal Opportunities Trust (PMO) 0.2 $2.7M 251k 10.74
Federated Enhanced Treasury 0.2 $2.7M 213k 12.78
Cbre Clarion Global Real Estat re (IGR) 0.2 $2.8M 350k 7.92
First Trust Strategic 0.2 $2.7M 171k 16.05
Affiliated Managers (AMG) 0.2 $2.6M 12k 216.86
Western Asset Inflation Mgnt Fnd (IMF) 0.2 $2.6M 155k 16.93
Eaton Vance Fltg Rate In 0.2 $2.6M 143k 18.15
Vanguard Europe Pacific ETF (VEA) 0.2 $2.5M 61k 41.68
Invesco Van Kampen Trust For Inv Grd Mun (VGM) 0.2 $2.5M 205k 12.18
Nuveen Premier Mun Income 0.2 $2.5M 202k 12.37
Nuveen Mortgage opportunity trm fd2 0.2 $2.4M 106k 22.97
MFS Charter Income Trust (MCR) 0.2 $2.3M 255k 9.05
Pimco Municipal Income Fund (PMF) 0.2 $2.4M 195k 12.23
Eaton Vance Municipal Bond Fund (EIM) 0.2 $2.3M 204k 11.30
Van Kampen Advantage Muni Incm Tr II (VKI) 0.2 $2.3M 221k 10.52
Neuberger Berman Real Estate Sec (NRO) 0.2 $2.2M 514k 4.34
Nuveen Int Dur Qual Mun Trm 0.2 $2.2M 188k 11.50
Cohen & Steers REIT/P (RNP) 0.2 $2.1M 133k 15.70
Eaton Vance Short Duration Diversified I (EVG) 0.2 $2.1M 141k 15.27
Aberdeen Global Income Fund (FCO) 0.2 $2.1M 200k 10.40
Eaton Vance Senior Income Trust (EVF) 0.2 $2.0M 295k 6.91
Nuveen Quality Pref. Inc. Fund II 0.2 $2.1M 252k 8.14
Strategic Global Income Fund 0.2 $2.1M 236k 9.03
Gamco Global Gold Natural Reso (GGN) 0.2 $2.1M 228k 9.02
Ofs Capital (OFS) 0.2 $2.0M 159k 12.83
BlackRock Floating Rate Income Strat. Fn (FRA) 0.1 $2.0M 136k 14.61
PIMCO Corporate Income Fund (PCN) 0.1 $2.0M 124k 15.80
Western Asset Hgh Yld Dfnd (HYI) 0.1 $1.9M 110k 17.71
Cohen & Steers Quality Income Realty (RQI) 0.1 $1.8M 195k 9.48
Nuveen Qual Preferred Inc. Fund III 0.1 $1.9M 236k 7.85
PIMCO Income Opportunity Fund 0.1 $1.8M 63k 28.25
Global High Income Fund 0.1 $1.8M 184k 9.92
Morgan Stanley Emerging Markets Debt (MSD) 0.1 $1.8M 189k 9.54
Central Securities (CET) 0.1 $1.7M 80k 21.72
Western Asset Managed High Incm Fnd 0.1 $1.8M 310k 5.66
Nuveen Diversified Commodty 0.1 $1.7M 113k 15.17
DWS Global High Income Fund 0.1 $1.6M 206k 8.01
Firsthand Tech Value (SVVC) 0.1 $1.7M 73k 23.17
Aberdn Emring Mkts Telecomtions 0.1 $1.6M 116k 13.80
Calamos Global Dynamic Income Fund (CHW) 0.1 $1.6M 174k 8.97
Ares Dynamic Cr Allocation (ARDC) 0.1 $1.6M 89k 17.98
TCW Strategic Income Fund (TSI) 0.1 $1.4M 267k 5.34
Nuveen Investment Quality Munl Fund 0.1 $1.4M 103k 13.53
Nuveen Select Quality Municipal Fund 0.1 $1.4M 114k 12.40
Apollo Sr Floating Rate Fd I (AFT) 0.1 $1.5M 83k 18.10
BlackRock Income Opportunity Trust 0.1 $1.3M 135k 9.70
DWS High Income Trust 0.1 $1.3M 147k 9.14
Blackrock Build America Bond Trust (BBN) 0.1 $1.3M 69k 19.15
Cohen & Steers Dividend Majors Fund 0.1 $1.2M 83k 14.58
Cohen & Steers Clsd-End Optuny Fnd (FOF) 0.1 $1.2M 92k 12.57
RMK Strategic Income Fund 0.1 $1.2M 177k 6.63
Goodyear Tire Rubr Pfd 5.875% p 0.1 $1.1M 17k 66.87
Ing Emerging Mkts Hgh Div Eq 0.1 $1.2M 103k 11.75
Royce Global Value Tr (RGT) 0.1 $1.2M 130k 8.89
Apple (AAPL) 0.1 $1.1M 1.9k 558.95
Invesco Van Kampen Cal Val Mun Inc Trust (VCV) 0.1 $1.0M 92k 11.39
Clough Global Allocation Fun (GLV) 0.1 $1.1M 69k 15.38
Prudential Sht Duration Hg Y 0.1 $1.0M 59k 17.39
Calamos Strategic Total Return Fund (CSQ) 0.1 $963k 89k 10.89
Nuveen Insured Tax-Free Adv Munici (NEA) 0.1 $859k 71k 12.04
Cohen & Steers Mlp Fund 0.1 $878k 48k 18.33
Financial Select Sector SPDR (XLF) 0.1 $785k 36k 21.87
RMK Multi-Sector High Income Fund (HMH) 0.1 $813k 135k 6.01
LMP Corporate Loan Fund 0.1 $799k 65k 12.22
Putnam High Income Securities Fund 0.1 $725k 88k 8.25
Nuveen Senior Income Fund 0.1 $826k 116k 7.13
Nuveen Real Estate Income Fund (JRS) 0.1 $735k 77k 9.52
Nuveen Quality Income Municipal Fund 0.1 $839k 69k 12.25
Dreyfus Mun Bd Infrastructure 0.1 $828k 80k 10.35
Principal Real Estate Income shs ben int (PGZ) 0.1 $768k 45k 17.06
Equus Total Return (EQS) 0.1 $587k 295k 1.99
Nuveen Muni Value Fund (NUV) 0.1 $615k 68k 9.04
BlackRock MuniHolding Insured Investm 0.1 $626k 50k 12.53
Managed High Yield Plus Fund 0.1 $707k 348k 2.03
Gsv Cap Corp 0.1 $639k 53k 12.09
Health Care SPDR (XLV) 0.0 $493k 8.9k 55.39
iShares Russell 1000 Value Index (IWD) 0.0 $509k 5.4k 94.26
Western Asst High Incm Opprtnty Fnd (HIO) 0.0 $459k 77k 5.93
Invesco Van Kampen Senior Income Trust (VVR) 0.0 $567k 113k 5.04
THE GDL FUND Closed-End fund (GDL) 0.0 $564k 51k 11.01
ING Prime Rate Trust 0.0 $340k 58k 5.82
Nuveen Floating Rate Income Fund (JFR) 0.0 $381k 32k 11.90
Templeton Emerging Markets Income Fund (TEI) 0.0 $344k 25k 13.65
Blackrock Muniyield Quality Fund II (MQT) 0.0 $442k 38k 11.67
Nuveen Energy Mlp Total Return etf 0.0 $380k 20k 19.53
Facebook Inc cl a (META) 0.0 $344k 6.4k 53.75
Fifth Str Sr Floating Rate 0.0 $376k 28k 13.24
Newmont Mining Corporation (NEM) 0.0 $262k 11k 22.98
Energy Select Sector SPDR (XLE) 0.0 $230k 2.6k 88.46
Micron Technology (MU) 0.0 $256k 12k 21.33
BHP Billiton (BHP) 0.0 $217k 3.2k 67.81
Technology SPDR (XLK) 0.0 $230k 6.5k 35.50
Utilities SPDR (XLU) 0.0 $292k 7.7k 37.92
American Strategic Income Portfolio III 0.0 $260k 40k 6.56
Blackrock Muniyield Insured Fund (MYI) 0.0 $239k 19k 12.65
Nuveen Mun High Income Opp F (NMZ) 0.0 $221k 18k 12.00
Pimco Municipal Income Fund III (PMX) 0.0 $283k 28k 10.00
PowerShrs CEF Income Cmpst Prtfl 0.0 $268k 11k 24.36
Western Asset Premier Bond Fund (WEA) 0.0 $203k 14k 14.55
MFS High Income Municipal Trust (CXE) 0.0 $306k 69k 4.46
Kcap Financial 0.0 $236k 29k 8.08
Arch Coal 0.0 $78k 18k 4.43
American Strategic Income Portfolio 0.0 $103k 12k 8.97
PIMCO Strategic Global Government Fund (RCS) 0.0 $132k 14k 9.78
Eaton Vance Mun Income Term Tr (ETX) 0.0 $188k 13k 14.64