Rivernorth Capital Management

Rivernorth Capital Management as of March 31, 2014

Portfolio Holdings for Rivernorth Capital Management

Rivernorth Capital Management holds 190 positions in its portfolio as reported in the March 2014 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Pimco Dynamic Credit Income other 4.7 $58M 2.6M 22.60
BlackRock Credit All Inc Trust IV (BTZ) 3.5 $44M 3.2M 13.52
Spdr S&p 500 Etf (SPY) 3.4 $42M 223k 187.01
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 2.1 $25M 2.7M 9.51
Royce Value Trust (RVT) 1.9 $24M 1.5M 15.73
Adams Express Company (ADX) 1.9 $23M 1.7M 12.98
Tri-Continental Corporation (TY) 1.8 $22M 1.1M 20.08
Aberdeen Asia-Pacific Income Fund (FAX) 1.7 $21M 3.5M 6.11
iShares S&P 100 Index (OEF) 1.7 $21M 250k 82.81
Invesco Van Kampen Muni Opp Trust (VMO) 1.7 $21M 1.7M 12.20
Blackrock Multi-sector Incom other (BIT) 1.7 $21M 1.2M 17.75
PowerShares FTSE RAFI US 1000 1.7 $20M 241k 84.64
Vanguard Emerging Markets ETF (VWO) 1.7 $20M 501k 40.58
Liberty All-Star Equity Fund (USA) 1.6 $20M 3.5M 5.88
Nuveen Premium Income Muni Fund 2 1.6 $20M 1.5M 13.39
Nexpoint Credit Strategies 1.6 $20M 1.8M 11.07
Clough Gbl Opps Fund Sh Ben Int closed-end fund (GLO) 1.6 $19M 1.5M 12.75
BlackRock Global Opportunities Equity Tr (BOE) 1.6 $19M 1.3M 14.63
BlackRock Debt Strategies Fund 1.5 $18M 4.5M 4.10
Pimco Dynamic Incm Fund (PDI) 1.4 $17M 570k 30.32
Nuveen Intermediate 1.4 $17M 1.4M 11.96
Nuveen Municipal Advantage Fund 1.3 $16M 1.3M 12.98
Alpine Total Dynamic Dividend Fund 1.3 $16M 1.9M 8.39
Nuveen Mult Curr St Gv Incm 1.2 $15M 1.4M 10.49
Pimco Income Strategy Fund II (PFN) 1.2 $15M 1.4M 10.40
Invesco Van Kampen Municipal Trust (VKQ) 1.1 $13M 1.1M 12.10
Putnam Premier Income Trust (PPT) 1.1 $13M 2.3M 5.53
Templeton Global Income Fund (SABA) 1.0 $13M 1.6M 8.04
Morgan Stanley Emerging Markets Domestic (EDD) 1.0 $13M 966k 13.12
Rydex Russell Top 50 ETF 1.0 $12M 95k 129.67
General American Investors (GAM) 1.0 $12M 344k 35.23
Allianzgi Equity & Conv In 1.0 $12M 627k 19.45
Zweig Total Return 1.0 $12M 855k 14.06
Nuveen Div. Advantage Muni. Fund (NAD) 1.0 $12M 891k 13.39
Nuveen Long/short Commodity 0.9 $11M 690k 16.54
LEGG MASON BW GLOBAL Income 0.9 $11M 630k 17.56
Nuveen Mtg opportunity term (JLS) 0.9 $11M 461k 23.47
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 0.8 $10M 712k 14.50
BlackRock Corporate High Yield Fund VI (HYT) 0.8 $10M 832k 12.26
First Tr High Income L/s (FSD) 0.8 $9.9M 559k 17.73
Nuveen Premium Income Municipal Fund 0.8 $9.2M 698k 13.11
Nuveen Munpl Markt Opp Fund 0.7 $9.1M 712k 12.76
Ivy High Income Opportunities 0.7 $9.0M 494k 18.28
BLACKROCK MUN TARGET TERM TR SHARES Of Ben (BTT) 0.7 $8.9M 467k 19.08
Wstrn Asst Emrgng Mrkts Incm Fnd 0.7 $8.7M 708k 12.34
Nuveen Ins Ca Tx Fr Adv Mun (NKX) 0.7 $8.4M 633k 13.30
Nuveen Insured Municipal Opp. Fund 0.7 $8.0M 585k 13.76
Western Asset Global Cp Defi (GDO) 0.7 $8.0M 442k 18.19
Central Fd Cda Ltd cl a 0.6 $7.9M 572k 13.76
Clough Global Equity Fund closed-end fund (GLQ) 0.6 $7.8M 506k 15.42
Neuberger Berman Mlp Income (NML) 0.6 $7.9M 437k 18.03
Blackstone Gso Strategic (BGB) 0.6 $7.7M 434k 17.72
Boulder Total Return Fund 0.6 $7.6M 312k 24.33
Eaton Vance Risk Managed Diversified (ETJ) 0.6 $7.5M 660k 11.30
Eaton Vance Limited Duration Income Fund (EVV) 0.6 $7.4M 485k 15.25
DWS Dreman Value Income Edge Fund 0.6 $7.3M 499k 14.61
Virtus Total Return Fund Cef 0.6 $7.3M 1.6M 4.42
Brookfield Mortg. Opportunity bond etf 0.6 $7.2M 426k 16.82
Blackstone Gso Lng Shrt Cr I (BGX) 0.5 $6.7M 379k 17.61
Nuveen Multi-Strategy Income & Growth (JPC) 0.5 $6.5M 699k 9.29
Nuveen Build Amer Bd (NBB) 0.5 $6.3M 323k 19.62
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 0.5 $6.3M 541k 11.63
Market Vectors Gold Miners ETF 0.5 $6.2M 262k 23.61
Boulder Growth & Income Fund (STEW) 0.5 $6.2M 758k 8.13
Pimco Income Strategy Fund (PFL) 0.5 $6.2M 526k 11.73
PowerShares FTSE RAFI Emerging MarketETF 0.5 $6.1M 305k 19.88
Cornerstone Strategic Value 0.5 $5.9M 917k 6.47
Stone Hbr Emerg Mrkts (EDF) 0.5 $5.9M 318k 18.50
Franklin Templeton (FTF) 0.5 $5.7M 440k 13.05
VIRTUS GLOBAL Multi-sec (VGI) 0.5 $5.7M 338k 16.90
Invesco Van Kampen Dyn Cr Opp Fund 0.5 $5.6M 431k 12.94
Wisdomtree Tr em lcl debt (ELD) 0.5 $5.5M 121k 45.87
Avenue Income Cr Strat 0.4 $5.4M 306k 17.60
Apollo Tactical Income Fd In (AIF) 0.4 $5.3M 297k 17.84
Nuveen Performance Plus Municipal Fund 0.4 $5.0M 346k 14.47
Royce Focus Tr 0.4 $4.9M 615k 7.96
Pimco Municipal Income Fund II (PML) 0.4 $4.7M 409k 11.59
Western Asset Worldwide Income Fund 0.4 $4.8M 389k 12.33
ADVENT CLAY GBL CONV SEC INC COM Bene Inter 0.4 $4.6M 614k 7.56
BlackRock Enhanced Dividend Achievers Tr (BDJ) 0.4 $4.7M 588k 7.94
Nuveen Int Dur Qual Mun Trm 0.4 $4.6M 377k 12.13
MFS Charter Income Trust (MCR) 0.4 $4.4M 479k 9.13
Nuveen Build Amer Bd Opptny 0.3 $4.4M 213k 20.50
Advent/Claymore Enhanced Growth & Income 0.3 $4.1M 407k 10.19
Central Europe and Russia Fund (CEE) 0.3 $4.2M 159k 26.27
Clearbridge Amern Energ M 0.3 $4.2M 261k 16.20
Western Asset Emerging Mrkts Dbt Fnd (EMD) 0.3 $4.0M 229k 17.40
PIMCO Corporate Opportunity Fund (PTY) 0.3 $3.9M 216k 18.06
MFS Multimarket Income Trust (MMT) 0.3 $3.9M 595k 6.53
Brookfield Total Return Fd I 0.3 $3.8M 157k 24.22
Putnam Master Int. Income (PIM) 0.3 $3.7M 725k 5.15
Eaton Vance Enhanced Equity Income Fund (EOI) 0.3 $3.7M 285k 13.07
Prudential Gl Sh Dur Hi Yld 0.3 $3.7M 209k 17.57
BLACKROCK INTL GRWTH & INC T COM Bene Inter (BGY) 0.3 $3.6M 446k 8.06
American Strategic Income Portf. Inc II 0.3 $3.4M 405k 8.31
Stone Hbr Emerg Mkts Tl 0.3 $3.3M 179k 18.61
Kayne Anderson Energy Total Return Fund 0.3 $3.2M 117k 27.31
Nuveen Global Govt. Enhanced Income Fund 0.3 $3.2M 279k 11.57
Federated Enhanced Treasury 0.3 $3.2M 234k 13.63
Aberdn Emring Mkts Telecomtions 0.2 $3.1M 230k 13.30
Invesco Quality Municipal Inc Trust (IQI) 0.2 $3.1M 263k 11.81
Cbre Clarion Global Real Estat re (IGR) 0.2 $3.1M 369k 8.35
New America High Income Fund I (HYB) 0.2 $3.0M 301k 9.81
Strategic Global Income Fund 0.2 $3.0M 321k 9.21
Macquarie Global Infr Total Rtrn Fnd 0.2 $2.9M 123k 23.50
American Strategic Income Portfolio III 0.2 $2.8M 400k 7.11
Nuveen Fltng Rte Incm Opp 0.2 $2.8M 232k 12.20
Putnam Municipal Opportunities Trust (PMO) 0.2 $2.9M 251k 11.37
Eaton Vance Fltg Rate In 0.2 $2.9M 157k 18.26
Neuberger Berman Real Estate Sec (NRO) 0.2 $2.7M 564k 4.72
Lehman Brothers First Trust IOF (NHS) 0.2 $2.6M 194k 13.62
Western Asset Inflation Mgnt Fnd (IMF) 0.2 $2.7M 152k 17.86
BlackRock Floating Rate Income Strat. Fn (FRA) 0.2 $2.5M 174k 14.57
Invesco Van Kampen Trust For Inv Grd Mun (VGM) 0.2 $2.5M 199k 12.80
Nuveen Premier Mun Income 0.2 $2.6M 199k 13.14
Global High Income Fund 0.2 $2.6M 261k 9.87
Western Asset Hgh Yld Dfnd (HYI) 0.2 $2.5M 141k 17.88
Cohen & Steers Ltd Dur Pfd I (LDP) 0.2 $2.6M 109k 23.80
Affiliated Managers (AMG) 0.2 $2.4M 12k 200.08
Vanguard Europe Pacific ETF (VEA) 0.2 $2.5M 61k 41.27
Cohen & Steers REIT/P (RNP) 0.2 $2.4M 144k 17.00
Nuveen Mortgage opportunity trm fd2 0.2 $2.5M 106k 23.35
Nuveen Insd Dividend Advantage (NVG) 0.2 $2.3M 176k 13.33
Van Kampen Advantage Muni Incm Tr II (VKI) 0.2 $2.2M 199k 10.99
Morgan Stanley Emerging Markets Debt (MSD) 0.2 $2.2M 220k 9.90
First Tr Inter Duration Pfd & Income (FPF) 0.2 $2.1M 97k 22.14
Nuveen Qual Preferred Inc. Fund III 0.2 $2.1M 247k 8.37
Nuveen Diversified Commodty 0.2 $2.1M 129k 15.88
Clough Global Allocation Fun (GLV) 0.2 $2.1M 139k 15.18
First Trust Strategic 0.2 $2.1M 131k 15.93
iShares Russell 1000 Value Index (IWD) 0.2 $2.0M 21k 96.48
Western Asset Managed High Incm Fnd 0.2 $2.0M 346k 5.73
Eaton Vance Municipal Bond Fund (EIM) 0.2 $2.0M 169k 11.88
Special Opportunities Fund (SPE) 0.2 $1.9M 119k 16.25
Central Securities (CET) 0.1 $1.8M 80k 22.36
DWS High Income Trust 0.1 $1.8M 192k 9.40
Eaton Vance Short Duration Diversified I (EVG) 0.1 $1.9M 123k 15.19
Thai Fund 0.1 $1.9M 175k 10.83
Western Asst High Incm Opprtnty Fnd (HIO) 0.1 $1.9M 308k 6.05
Aberdeen Global Income Fund (FCO) 0.1 $1.9M 171k 10.85
Ing Emerging Mkts Hgh Div Eq 0.1 $1.9M 159k 11.95
Calamos Global Dynamic Income Fund (CHW) 0.1 $1.7M 194k 9.00
DWS Global High Income Fund 0.1 $1.7M 206k 8.13
Blackrock Build America Bond Trust (BBN) 0.1 $1.6M 80k 20.24
Firsthand Tech Value (SVVC) 0.1 $1.5M 73k 21.35
SPDR Gold Trust (GLD) 0.1 $1.4M 11k 123.59
Nuveen Select Quality Municipal Fund 0.1 $1.4M 109k 13.24
Cohen & Steers Clsd-End Optuny Fnd (FOF) 0.1 $1.2M 95k 12.85
TCW Strategic Income Fund (TSI) 0.1 $1.2M 216k 5.46
RMK Strategic Income Fund 0.1 $1.2M 175k 6.78
Dreyfus Mun Bd Infrastructure 0.1 $1.2M 110k 11.24
American Select Portfolio 0.1 $1.1M 108k 9.94
Pimco Municipal Income Fund (PMF) 0.1 $1.2M 87k 13.48
Nuveen Quality Pref. Inc. Fund II 0.1 $1.1M 130k 8.68
Invesco Van Kampen Cal Val Mun Inc Trust (VCV) 0.1 $1.1M 90k 11.80
Gsv Cap Corp 0.1 $1.1M 113k 10.14
Cohen & Steers Mlp Fund 0.1 $1.1M 59k 17.91
Ares Multi Strategy Cr Fd In 0.1 $1.1M 52k 22.00
Financial Select Sector SPDR (XLF) 0.1 $907k 41k 22.34
Gabelli Dividend & Income Trust (GDV) 0.1 $921k 42k 21.98
Nuveen Quality Income Municipal Fund 0.1 $910k 69k 13.29
Cornerstone Total Rtrn Fd In 0.1 $893k 151k 5.93
Managed High Yield Plus Fund 0.1 $735k 347k 2.12
Apollo Sr Floating Rate Fd I (AFT) 0.1 $700k 38k 18.25
Equus Total Return (EQS) 0.1 $566k 295k 1.92
THE GDL FUND Closed-End fund (GDL) 0.1 $565k 51k 11.03
Goodyear Tire Rubr Pfd 5.875% p 0.1 $579k 8.0k 72.35
Ofs Capital (OFS) 0.1 $582k 47k 12.51
Royce Global Value Tr (RGT) 0.1 $650k 72k 8.98
Bristol Myers Squibb (BMY) 0.0 $468k 9.0k 52.00
Tiffany & Co. 0.0 $491k 5.7k 86.14
Apple (AAPL) 0.0 $483k 900.00 536.67
Industrial SPDR (XLI) 0.0 $471k 9.0k 52.33
Cohen & Steers Quality Income Realty (RQI) 0.0 $543k 52k 10.54
Blackrock Muniyield Quality Fund II (MQT) 0.0 $473k 38k 12.49
Nuveen Investment Quality Munl Fund 0.0 $447k 32k 14.11
Eaton Vance Cali Muni Bnd Fnd (EVM) 0.0 $466k 43k 10.85
Ssga Active Etf Tr blkstn gsosrln (SRLN) 0.0 $524k 11k 50.07
BlackRock Floating Rate Income Trust (BGT) 0.0 $331k 23k 14.23
Putnam High Income Securities Fund 0.0 $390k 47k 8.36
Newmont Mining Corporation (NEM) 0.0 $257k 11k 23.44
Rio Tinto (RIO) 0.0 $246k 4.4k 55.91
Amazon (AMZN) 0.0 $292k 105.00 2780.95
Calamos Convertible & Hi Income Fund (CHY) 0.0 $229k 17k 13.45
LMP Corporate Loan Fund 0.0 $227k 19k 12.14
MFS High Income Municipal Trust (CXE) 0.0 $216k 45k 4.76
Nuveen Calif Prem Income Mun 0.0 $237k 18k 13.56
Eaton Vance Mun Income Term Tr (ETX) 0.0 $238k 15k 15.72
Arch Coal 0.0 $73k 15k 4.84
Nuveen Insured Tax-Free Adv Munici (NEA) 0.0 $160k 12k 12.95