Rivernorth Capital Management

Rivernorth Capital Management as of Sept. 30, 2014

Portfolio Holdings for Rivernorth Capital Management

Rivernorth Capital Management holds 175 positions in its portfolio as reported in the September 2014 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Spdr S&p 500 Etf (SPY) 4.5 $56M 282k 197.02
Pimco Dynamic Credit Income other 3.7 $46M 2.0M 22.47
BlackRock Credit All Inc Trust IV (BTZ) 3.4 $43M 3.2M 13.31
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 2.6 $32M 3.6M 8.93
Vanguard Emerging Markets ETF (VWO) 2.3 $29M 682k 41.71
Adams Express Company (ADX) 1.9 $24M 1.7M 13.94
Vanguard Europe Pacific ETF (VEA) 1.9 $24M 609k 39.75
Tri-Continental Corporation (TY) 1.8 $22M 1.1M 20.87
iShares S&P 100 Index (OEF) 1.8 $22M 250k 88.16
PowerShares FTSE RAFI US 1000 1.7 $21M 241k 87.92
Liberty All-Star Equity Fund (USA) 1.7 $21M 3.6M 5.83
Royce Value Trust (RVT) 1.7 $21M 1.4M 14.50
Nuveen Premium Income Muni Fund 2 1.6 $20M 1.5M 13.75
Blackrock Multi-sector Incom other (BIT) 1.6 $20M 1.1M 17.74
Invesco Van Kampen Muni Opp Trust (VMO) 1.6 $20M 1.6M 12.53
Nexpoint Credit Strategies 1.5 $19M 1.8M 10.62
AllianceBernstein Income Fund 1.5 $19M 2.5M 7.50
Clough Gbl Opps Fund Sh Ben Int closed-end fund (GLO) 1.5 $19M 1.6M 11.93
Templeton Global Income Fund (SABA) 1.4 $18M 2.3M 7.95
Morgan Stanley Emerging Markets Domestic (EDD) 1.4 $17M 1.5M 11.81
Nuveen Intermediate 1.4 $17M 1.3M 12.47
Allianzgi Equity & Conv In 1.3 $17M 831k 19.87
Alpine Total Dyn Fd New cefs 1.3 $16M 1.9M 8.51
BlackRock Debt Strategies Fund 1.2 $16M 4.1M 3.82
Nuveen Mult Curr St Gv Incm 1.2 $15M 1.4M 10.66
Putnam Premier Income Trust (PPT) 1.2 $15M 2.6M 5.48
BlackRock Global Opportunities Equity Tr (BOE) 1.1 $14M 968k 14.11
Nuveen Long/short Commodity 1.1 $14M 923k 14.76
General American Investors (GAM) 1.1 $14M 365k 37.06
Invesco Van Kampen Municipal Trust (VKQ) 1.1 $14M 1.1M 12.55
Rydex Russell Top 50 ETF 1.1 $13M 95k 138.12
BLACKROCK MUN TARGET TERM TR SHARES Of Ben (BTT) 1.0 $13M 656k 19.87
Pimco Income Strategy Fund II (PFN) 1.0 $13M 1.2M 10.53
Nuveen Municipal Advantage Fund 0.9 $12M 877k 13.49
Brookfield Mortg. Opportunity bond etf 0.9 $11M 652k 16.99
Diversified Real Asset Inc F 0.9 $11M 627k 17.73
BlackRock Corporate High Yield Fund VI (HYT) 0.9 $11M 915k 11.83
First Tr High Income L/s (FSD) 0.9 $11M 634k 17.09
Nuveen Mtg opportunity term (JLS) 0.8 $11M 442k 23.75
LEGG MASON BW GLOBAL Income 0.8 $11M 623k 16.92
Blackstone Gso Strategic (BGB) 0.8 $11M 627k 16.78
Nuveen Munpl Markt Opp Fund 0.8 $9.8M 741k 13.26
Nuveen Div. Advantage Muni. Fund (NAD) 0.8 $9.8M 711k 13.84
Zweig Total Return 0.8 $9.9M 715k 13.85
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 0.8 $9.8M 702k 13.96
Boulder Total Return Fund 0.8 $9.6M 365k 26.34
PowerShares FTSE RAFI Emerging MarketETF 0.8 $9.5M 468k 20.24
Cornerstone Progressive Rtn 0.8 $9.3M 2.3M 4.11
Nuveen Ins Ca Tx Fr Adv Mun (NKX) 0.7 $9.1M 657k 13.93
Wstrn Asst Emrgng Mrkts Incm Fnd 0.7 $8.9M 737k 12.03
MFS Charter Income Trust (MCR) 0.7 $8.4M 952k 8.86
Ivy High Income Opportunities 0.7 $8.4M 484k 17.29
Firsthand Tech Value (SVVC) 0.6 $7.9M 328k 24.01
Franklin Templeton (FTF) 0.6 $7.6M 611k 12.38
American Capital 0.6 $7.5M 532k 14.16
Nuveen Insured Municipal Opp. Fund 0.6 $7.4M 517k 14.25
Nuveen Premium Income Muni Fd 4 0.6 $7.2M 541k 13.40
DWS Dreman Value Income Edge Fund 0.6 $7.3M 499k 14.64
Clough Global Equity Fund closed-end fund (GLQ) 0.6 $7.2M 503k 14.33
Western Asset Global Cp Defi (GDO) 0.6 $7.3M 400k 18.19
Central Fd Cda Ltd cl a 0.6 $7.0M 572k 12.31
Aberdeen Asia-Pacific Income Fund (FAX) 0.6 $6.9M 1.2M 5.90
Tortoise Energy Infrastructure 0.6 $6.9M 144k 48.10
Boulder Growth & Income Fund (STEW) 0.5 $6.8M 764k 8.84
Nuveen Build Amer Bd (NBB) 0.5 $6.6M 322k 20.39
Nuveen Multi-Strategy Income & Growth (JPC) 0.5 $6.6M 712k 9.20
MFS Multimarket Income Trust (MMT) 0.5 $6.5M 1.0M 6.42
Apollo Tactical Income Fd In (AIF) 0.5 $6.5M 378k 17.30
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 0.5 $6.3M 541k 11.59
Western Asset Hgh Yld Dfnd (HYI) 0.5 $5.9M 356k 16.61
Market Vectors Gold Miners ETF 0.5 $5.8M 271k 21.36
Nuveen Insd Dividend Advantage (NVG) 0.5 $5.6M 398k 14.11
Blackstone Gso Lng Shrt Cr I (BGX) 0.5 $5.6M 338k 16.70
VIRTUS GLOBAL Multi-sec (VGI) 0.4 $5.5M 322k 17.07
Stone Hbr Emerg Mkts Tl 0.4 $5.4M 292k 18.44
Cohen & Steers REIT/P (RNP) 0.4 $5.1M 293k 17.47
Royce Focus Tr 0.4 $5.0M 634k 7.87
BlackRock Enhanced Dividend Achievers Tr (BDJ) 0.4 $5.0M 610k 8.20
Pimco Income Strategy Fund (PFL) 0.4 $4.9M 409k 11.94
Neuberger Berman Real Estate Sec (NRO) 0.4 $4.7M 966k 4.82
Western Asset Worldwide Income Fund 0.4 $4.6M 378k 12.24
iShares Russell 2000 Index (IWM) 0.4 $4.5M 41k 109.35
Strategic Global Income Fund 0.4 $4.5M 513k 8.83
Nuveen Build Amer Bd Opptny 0.4 $4.5M 211k 21.20
Clough Global Allocation Fun (GLV) 0.3 $4.4M 304k 14.31
Putnam Master Int. Income (PIM) 0.3 $4.3M 853k 5.03
Eaton Vance Short Duration Diversified I (EVG) 0.3 $4.2M 290k 14.67
Eaton Vance Limited Duration Income Fund (EVV) 0.3 $3.8M 262k 14.58
Invesco Van Kampen Dyn Cr Opp Fund 0.3 $3.9M 317k 12.35
Pimco Dynamic Incm Fund (PDI) 0.3 $3.9M 125k 31.56
Central Europe and Russia Fund (CEE) 0.3 $3.7M 149k 24.83
Morgan Stanley Emerging Markets Debt (MSD) 0.3 $3.8M 389k 9.70
Nuveen Int Dur Qual Mun Trm 0.3 $3.8M 298k 12.78
LMP Real Estate Income Fund 0.3 $3.6M 325k 11.23
New America High Income Fund I (HYB) 0.3 $3.5M 370k 9.41
Cbre Clarion Global Real Estat re (IGR) 0.3 $3.5M 412k 8.38
Virtus Total Return Fund Cef 0.3 $3.5M 743k 4.65
Nuveen Global Govt. Enhanced Income Fund 0.3 $3.4M 277k 12.36
Nuveen Mortgage opportunity trm fd2 0.3 $3.4M 146k 23.29
Federated Enhanced Treasury 0.3 $3.3M 248k 13.47
Avenue Income Cr Strat 0.3 $3.4M 204k 16.80
Dreyfus Mun Bd Infrastructure 0.3 $3.4M 286k 11.77
First Tr Inter Duration Pfd & Income (FPF) 0.3 $3.4M 157k 21.72
Eaton Vance Fltg Rate In 0.3 $3.4M 195k 17.24
Aberdn Emring Mkts Telecomtions 0.3 $3.3M 238k 13.88
Nuveen Select Quality Municipal Fund 0.3 $3.2M 236k 13.67
Invesco Quality Municipal Inc Trust (IQI) 0.2 $3.1M 259k 12.12
Nuveen Div Adv Muni Fd 3 Ben Int (NZF) 0.2 $3.2M 232k 13.67
Global High Income Fund 0.2 $3.1M 319k 9.66
Advent/Claymore Enhanced Growth & Income 0.2 $3.0M 318k 9.49
THE GDL FUND Closed-End fund (GDL) 0.2 $3.0M 287k 10.55
Putnam Municipal Opportunities Trust (PMO) 0.2 $2.9M 250k 11.70
Western Asset Emerging Mrkts Dbt Fnd (EMD) 0.2 $2.6M 151k 17.11
Nuveen Premier Mun Income 0.2 $2.6M 191k 13.45
Gsv Cap Corp 0.2 $2.5M 249k 10.01
Affiliated Managers (AMG) 0.2 $2.4M 12k 200.33
Macquarie Global Infr Total Rtrn Fnd 0.2 $2.4M 98k 24.74
Invesco Van Kampen Trust For Inv Grd Mun (VGM) 0.2 $2.2M 170k 13.11
ADVENT CLAY GBL CONV SEC INC COM Bene Inter 0.2 $2.3M 334k 6.79
Nuveen Qual Preferred Inc. Fund III 0.2 $2.1M 251k 8.37
Montgomery Street Income Securities 0.2 $2.1M 128k 16.32
Nuveen Performance Plus Municipal Fund 0.2 $2.1M 147k 14.50
Nuveen Senior Income Fund 0.2 $2.0M 299k 6.69
Special Opportunities Fund (SPE) 0.2 $2.0M 119k 16.67
Central Securities (CET) 0.1 $1.8M 80k 22.97
Lehman Brothers First Trust IOF (NHS) 0.1 $1.8M 141k 12.91
iShares Russell 1000 Value Index (IWD) 0.1 $1.7M 17k 100.09
Van Kampen Advantage Muni Incm Tr II (VKI) 0.1 $1.7M 148k 11.38
Tpg Specialty Lnding Inc equity 0.1 $1.7M 109k 16.01
International Business Machines (IBM) 0.1 $1.6M 8.6k 189.78
DWS Global High Income Fund 0.1 $1.7M 206k 8.10
Deutsche High Income Tr 0.1 $1.6M 179k 8.94
Eaton Vance Senior Income Trust (EVF) 0.1 $1.5M 234k 6.51
Western Asset Managed High Incm Fnd 0.1 $1.5M 270k 5.53
Clearbridge Energy M 0.1 $1.2M 54k 23.05
Eaton Vance Mun Income Term Tr (ETX) 0.1 $1.3M 73k 17.36
Blackstone Gso Flting Rte Fu (BSL) 0.1 $1.0M 60k 17.16
Pimco Municipal Income Fund II (PML) 0.1 $1.1M 91k 11.65
Nuveen Diversified Commodty 0.1 $1.0M 76k 13.79
Nuveen Preferred And equity (JPI) 0.1 $1.1M 46k 22.90
Bancroft Fund (BCV) 0.1 $826k 42k 19.76
Brookfield High Income Fd In 0.1 $905k 97k 9.37
MFS InterMarket Income Trust I 0.1 $715k 86k 8.35
Madison Strategic Sector Premium Fund 0.1 $707k 57k 12.38
Nuveen CA Dividend Advantage Muni. Fund (NAC) 0.1 $775k 54k 14.25
Denali Fund 0.1 $716k 33k 21.70
Nuveen Quality Income Municipal Fund 0.1 $664k 49k 13.70
Royce Global Value Tr (RGT) 0.1 $635k 73k 8.71
Energy Select Sector SPDR (XLE) 0.0 $535k 5.9k 90.68
NGP Capital Resources Company 0.0 $509k 82k 6.18
SPDR KBW Regional Banking (KRE) 0.0 $479k 13k 37.87
BlackRock Floating Rate Income Strat. Fn (FRA) 0.0 $487k 35k 14.05
Ares Multi Strategy Cr Fd In 0.0 $496k 24k 20.80
Apple (AAPL) 0.0 $413k 4.1k 100.73
Prospect Capital Corporation (PSEC) 0.0 $368k 37k 9.89
Saratoga Investment (SAR) 0.0 $415k 26k 16.04
Invesco Van Kampen Senior Income Trust (VVR) 0.0 $397k 84k 4.75
Templeton Emerging Markets Income Fund (TEI) 0.0 $433k 34k 12.73
Eaton Vance Municipal Bond Fund (EIM) 0.0 $388k 31k 12.51
Invesco Van Kampen Cal Val Mun Inc Trust (VCV) 0.0 $404k 33k 12.22
Fossil (FOSL) 0.0 $347k 3.7k 93.78
American Cap Sr Floating 0.0 $383k 29k 13.01
Petroleo Brasileiro SA (PBR) 0.0 $243k 17k 14.21
Applied Materials (AMAT) 0.0 $244k 11k 21.59
Netflix (NFLX) 0.0 $245k 542.00 452.03
Yahoo! 0.0 $295k 7.2k 40.73
Industrial SPDR (XLI) 0.0 $216k 4.1k 53.25
Financial Select Sector SPDR (XLF) 0.0 $299k 13k 23.18
iShares Silver Trust (SLV) 0.0 $208k 13k 16.38
Gabelli Dividend & Income Trust (GDV) 0.0 $205k 9.6k 21.31
Nuveen Dividend Advantage Municipal Fd 2 0.0 $204k 15k 13.92
Fort Dearborn Income Securities 0.0 $300k 21k 14.49
Nuveen Sht Dur Cr Opp 0.0 $245k 14k 17.09
Ipath S&p 500 Vix S/t Fu Etn 0.0 $275k 947.00 290.39
Arch Coal 0.0 $35k 17k 2.10