Rivernorth Capital Management

Rivernorth Capital Management as of Dec. 31, 2014

Portfolio Holdings for Rivernorth Capital Management

Rivernorth Capital Management holds 200 positions in its portfolio as reported in the December 2014 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Pimco Dynamic Credit Income other 4.4 $67M 3.2M 20.65
BlackRock Credit All Inc Trust IV (BTZ) 2.7 $41M 3.2M 12.92
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 2.4 $36M 4.1M 8.77
Spdr S&p 500 Etf (SPY) 2.4 $35M 172k 205.54
Vanguard Emerging Markets ETF (VWO) 1.7 $26M 651k 40.02
Aberdeen Asia-Pacific Income Fund 1.6 $25M 4.4M 5.55
Templeton Global Income Fund 1.6 $24M 3.4M 7.19
Adams Express Company (ADX) 1.6 $24M 1.7M 13.68
Tri-Continental Corporation (TY) 1.5 $23M 1.1M 21.41
iShares S&P 100 Index (OEF) 1.5 $23M 250k 90.94
PowerShares FTSE RAFI US 1000 1.5 $22M 241k 91.43
American Capital 1.4 $22M 1.5M 14.61
Liberty All-Star Equity Fund (USA) 1.4 $21M 3.6M 5.98
Ubs Ag London Brh 2x lev lng lkd 1.4 $21M 990k 21.43
Nuveen Premium Income Muni Fund 2 1.4 $21M 1.5M 14.16
Nexpoint Credit Strategies 1.4 $21M 1.9M 11.23
Royce Value Trust (RVT) 1.4 $21M 1.4M 14.33
BlackRock Debt Strategies Fund 1.4 $20M 5.5M 3.72
AllianceBernstein Income Fund 1.3 $20M 2.7M 7.47
Clough Gbl Opps Fund Sh Ben Int closed-end fund (GLO) 1.3 $20M 1.6M 12.82
Morgan Stanley Emerging Markets Domestic (EDD) 1.3 $20M 1.9M 10.56
Invesco Van Kampen Muni Opp Trust (VMO) 1.3 $20M 1.5M 12.86
Nuveen Long/short Commodity 1.3 $19M 1.1M 16.60
Blackrock Multi-sector Incom other (BIT) 1.3 $19M 1.1M 16.77
Vanguard Europe Pacific ETF (VEA) 1.2 $18M 483k 37.88
Blackstone Gso Strategic (BGB) 1.2 $18M 1.1M 16.48
Nuveen Intermediate 1.2 $17M 1.4M 12.50
Nuveen Global High (JGH) 1.1 $17M 1.0M 17.25
PowerShrs CEF Income Cmpst Prtfl 1.1 $17M 725k 23.60
Clearbridge Amern Energ M 1.1 $17M 1.1M 15.96
Allianzgi Equity & Conv In 1.1 $17M 815k 20.68
Alpine Total Dyn Fd New cefs 1.1 $16M 1.9M 8.49
BlackRock Corporate High Yield Fund VI (HYT) 1.1 $16M 1.4M 11.40
Goldman Sachs Mlp Energy Ren 1.0 $16M 1.1M 14.19
BlackRock Global Opportunities Equity Tr (BOE) 1.0 $15M 1.2M 13.13
BLACKROCK MUN TARGET TERM TR SHARES Of Ben (BTT) 1.0 $15M 755k 20.09
Rydex Russell Top 50 ETF 0.9 $13M 95k 141.70
Invesco Van Kampen Municipal Trust (VKQ) 0.9 $13M 1.1M 12.66
Putnam Premier Income Trust (PPT) 0.9 $13M 2.5M 5.25
General American Investors (GAM) 0.9 $13M 371k 35.00
Nuveen Municipal Advantage Fund 0.8 $12M 877k 13.66
First Tr High Income L/s (FSD) 0.8 $12M 727k 16.00
Eaton Vance Limited Duration Income Fund (EVV) 0.8 $11M 798k 14.12
Pimco Income Strategy Fund II (PFN) 0.7 $11M 1.1M 9.81
Nuveen Mtg opportunity term (JLS) 0.7 $11M 475k 23.15
Diversified Real Asset Inc F 0.7 $11M 638k 17.34
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 0.7 $11M 772k 13.63
LEGG MASON BW GLOBAL Income 0.7 $11M 629k 16.71
Brookfield Mortg. Opportunity bond etf 0.7 $11M 636k 16.44
Boulder Total Return Fund 0.7 $10M 365k 27.75
Nuveen Munpl Markt Opp Fund 0.7 $10M 741k 13.63
Zweig Total Return 0.7 $9.9M 710k 14.01
Nuveen Ins Ca Tx Fr Adv Mun (NKX) 0.6 $9.7M 657k 14.74
Medley Capital Corporation 0.6 $9.7M 1.0M 9.24
Babson Cap Glb Sht Durhgh Yl 0.6 $9.5M 472k 20.19
Wstrn Asst Emrgng Mrkts Incm Fnd 0.6 $9.3M 853k 10.95
Western Asset Emerging Mrkts Dbt Fnd (EMD) 0.6 $9.2M 585k 15.76
Prospect Capital Corporation (PSEC) 0.6 $9.1M 1.1M 8.26
PowerShares FTSE RAFI Emerging MarketETF 0.6 $8.8M 471k 18.63
Nuveen Div. Advantage Muni. Fund (NAD) 0.6 $8.8M 615k 14.33
Templeton Emerging Markets Income Fund (TEI) 0.6 $8.4M 739k 11.34
Cornerstone Progressive Rtn 0.6 $8.5M 556k 15.21
Franklin Templeton (FTF) 0.6 $8.2M 675k 12.19
Goldman Sachs Mlp Inc Opp 0.6 $8.4M 479k 17.44
MFS Charter Income Trust (MCR) 0.5 $8.0M 874k 9.19
Central Fd Cda Ltd cl a 0.5 $7.6M 657k 11.58
Western Asset Hgh Yld Dfnd (HYI) 0.5 $7.7M 487k 15.77
Ivy High Income Opportunities 0.5 $7.7M 484k 15.86
Nuveen Premium Income Muni Fd 4 0.5 $7.5M 541k 13.86
Prudential Gl Sh Dur Hi Yld 0.5 $7.5M 469k 15.92
MFS Multimarket Income Trust (MMT) 0.5 $7.2M 1.1M 6.50
Clough Global Equity Fund closed-end fund (GLQ) 0.5 $7.3M 503k 14.48
Western Asset Global Cp Defi (GDO) 0.5 $7.3M 409k 17.78
Stone Hbr Emerg Mkts Tl 0.5 $7.2M 472k 15.25
Boulder Growth & Income Fund (STEW) 0.5 $6.9M 764k 9.05
DWS Dreman Value Income Edge Fund 0.5 $7.0M 499k 14.03
iShares Russell 2000 Index (IWM) 0.5 $6.7M 56k 119.63
Nuveen Multi-Strategy Income & Growth (JPC) 0.5 $6.8M 715k 9.56
Nuveen Build Amer Bd (NBB) 0.5 $6.8M 322k 21.18
Apollo Tactical Income Fd In (AIF) 0.5 $6.9M 429k 15.96
Western Asset Global High Income Fnd (EHI) 0.4 $6.4M 573k 11.10
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 0.4 $6.1M 541k 11.30
Morgan Stanley Emerging Markets Debt (MSD) 0.4 $6.1M 672k 9.09
Blackstone Gso Lng Shrt Cr I (BGX) 0.4 $5.9M 378k 15.53
Nuveen Insd Dividend Advantage (NVG) 0.4 $5.6M 398k 14.11
Neuberger Berman Real Estate Sec (NRO) 0.3 $5.1M 967k 5.29
VIRTUS GLOBAL Multi-sec (VGI) 0.3 $5.1M 322k 15.85
AllianceBernstein Global Hgh Incm (AWF) 0.3 $4.9M 395k 12.43
Invesco Van Kampen Dyn Cr Opp Fund 0.3 $4.9M 414k 11.85
Market Vectors Gold Miners ETF 0.3 $4.8M 259k 18.38
Eaton Vance Short Duration Diversified I (EVG) 0.3 $4.8M 339k 14.15
Royce Focus Tr 0.3 $4.6M 634k 7.27
Clough Global Allocation Fun (GLV) 0.3 $4.6M 312k 14.77
Nuveen Build Amer Bd Opptny 0.3 $4.6M 211k 21.95
Ares Dynamic Cr Allocation (ARDC) 0.3 $4.7M 298k 15.82
Strategic Global Income Fund 0.3 $4.5M 529k 8.48
Western Asset High Incm Fd I (HIX) 0.3 $4.4M 525k 8.31
Western Asset Worldwide Income Fund 0.3 $4.3M 378k 11.41
Triangle Capital Corporation 0.3 $4.3M 210k 20.29
Nuveen Insured Municipal Opp. Fund 0.3 $4.1M 283k 14.67
Putnam Master Int. Income (PIM) 0.3 $4.0M 838k 4.81
LMP Real Estate Income Fund 0.3 $4.1M 325k 12.55
Gsv Cap Corp 0.3 $3.8M 445k 8.63
Clearbridge Energy M 0.3 $4.0M 185k 21.39
BlackRock Enhanced Dividend Achievers Tr (BDJ) 0.2 $3.8M 468k 8.12
Avenue Income Cr Strat 0.2 $3.8M 254k 15.11
Duff & Phelps Select Energy Mlp Fund Inc closed end fund - equity 0.2 $3.8M 269k 14.17
New America High Income Fund I 0.2 $3.7M 412k 8.94
Nuveen Select Quality Municipal Fund 0.2 $3.6M 260k 13.96
Nuveen Int Dur Qual Mun Trm 0.2 $3.7M 292k 12.65
Apollo Investment 0.2 $3.5M 469k 7.42
Advent/Claymore Enhanced Growth & Income 0.2 $3.5M 392k 8.90
Nuveen Div Adv Muni Fd 3 Ben Int (NZF) 0.2 $3.5M 255k 13.78
Cbre Clarion Global Real Estat re (IGR) 0.2 $3.5M 387k 8.99
MVC Capital 0.2 $3.3M 336k 9.83
ADVENT CLAY GBL CONV SEC INC COM Bene Inter 0.2 $3.4M 535k 6.30
Nuveen Mortgage opportunity trm fd2 0.2 $3.4M 146k 23.17
Federated Enhanced Treasury 0.2 $3.3M 248k 13.32
Aberdn Emring Mkts Telecomtions 0.2 $3.1M 238k 13.08
Invesco Quality Municipal Inc Trust (IQI) 0.2 $3.2M 259k 12.49
Putnam Municipal Opportunities Trust (PMO) 0.2 $3.2M 267k 11.99
Global High Income Fund 0.2 $3.1M 354k 8.82
Kayne Anderson Mdstm Energy 0.2 $3.1M 92k 34.04
Eaton Vance Fltg Rate In 0.2 $3.2M 198k 16.13
Western Asst High Incm Opprtnty Fnd (HIO) 0.2 $3.0M 565k 5.37
Eaton Vance Senior Income Trust (EVF) 0.2 $3.0M 488k 6.24
Central Europe and Russia Fund (CEE) 0.2 $2.9M 149k 19.78
THE GDL FUND Closed-End fund (GDL) 0.2 $3.0M 291k 10.23
Gamco Global Gold Natural Reso (GGN) 0.2 $3.0M 433k 7.00
Dreyfus Mun Bd Infrastructure 0.2 $3.0M 244k 12.17
Cornerstone Strategic Value (CLM) 0.2 $3.0M 149k 20.02
Tortoise Energy Infrastructure 0.2 $2.8M 64k 43.76
Lehman Brothers First Trust IOF (NHS) 0.2 $2.9M 239k 12.30
Cohen & Steers REIT/P (RNP) 0.2 $2.7M 141k 18.99
Nuveen Premier Mun Income 0.2 $2.7M 191k 13.97
Neuberger Berman Mlp Income (NML) 0.2 $2.6M 150k 17.60
Nuveen All Cap Ene Mlp Opport mf 0.2 $2.5M 165k 15.25
Western Asset Managed High Incm Fnd 0.2 $2.4M 478k 5.11
Blackrock Kelso Capital 0.1 $2.3M 281k 8.20
Nuveen Senior Income Fund 0.1 $2.2M 343k 6.55
First Trust New Opportunities 0.1 $2.2M 123k 17.91
NGP Capital Resources Company 0.1 $2.1M 454k 4.69
Invesco Van Kampen Senior Income Trust (VVR) 0.1 $2.1M 458k 4.56
Invesco Van Kampen Trust For Inv Grd Mun (VGM) 0.1 $2.1M 161k 13.29
Nuveen Qual Preferred Inc. Fund III 0.1 $2.1M 251k 8.33
Montgomery Street Income Securities 0.1 $2.0M 124k 16.44
Nuveen Performance Plus Municipal Fund 0.1 $2.2M 147k 14.75
MFS InterMarket Income Trust I 0.1 $1.9M 231k 8.34
Fifth Str Sr Floating Rate 0.1 $2.0M 197k 10.22
Central Securities (CET) 0.1 $1.8M 80k 21.97
Invesco Van Kampen Bond Fund (VBF) 0.1 $1.8M 100k 18.40
Special Opportunities Fund (SPE) 0.1 $1.8M 119k 15.37
Ares Multi Strategy Cr Fd In 0.1 $1.8M 91k 19.56
Saratoga Investment (SAR) 0.1 $1.6M 109k 14.85
DWS Global High Income Fund 0.1 $1.6M 206k 7.84
Blackstone Gso Flting Rte Fu (BSL) 0.1 $1.5M 87k 16.74
Nuveen Diversified Commodty 0.1 $1.5M 117k 12.83
Prudential Sht Duration Hg Y 0.1 $1.6M 94k 16.68
Deutsche High Income Tr 0.1 $1.6M 180k 8.74
Van Kampen Advantage Muni Incm Tr II (VKI) 0.1 $1.3M 112k 11.60
Stone Hbr Emerg Mrkts (EDF) 0.1 $1.4M 88k 15.52
Market Vectors Oil Service Etf 0.1 $1.4M 38k 35.91
iShares Russell 1000 Value Index (IWD) 0.1 $1.2M 12k 104.43
Macquarie Global Infr Total Rtrn Fnd 0.1 $1.2M 48k 24.72
Cm Fin 0.1 $1.3M 115k 11.00
BlackRock Floating Rate Income Strat. Fn (FRA) 0.1 $1.0M 78k 13.39
Nuveen Preferred And equity 0.1 $1.0M 45k 22.45
Eaton Vance Mun Income Term Tr (ETX) 0.1 $1.1M 60k 17.51
Alcentra Cap 0.1 $1.1M 87k 12.50
Solar Cap (SLRC) 0.1 $866k 48k 18.01
Nuveen Floating Rate Income Fund (JFR) 0.1 $943k 86k 10.99
Brookfield High Income Fd In 0.1 $861k 97k 8.91
Nuveen Dividend Advantage Municipal Fd 2 0.1 $804k 57k 14.12
Denali Fund 0.1 $745k 33k 22.58
Nuveen Sht Dur Cr Opp 0.1 $819k 49k 16.65
Cushing Royalty & Incm 0.1 $738k 94k 7.87
Voya Prime Rate Trust sh ben int 0.1 $695k 131k 5.31
SPDR KBW Regional Banking (KRE) 0.0 $564k 14k 40.73
Nuveen Quality Income Municipal Fund 0.0 $562k 40k 13.98
Bancroft Fund (BCV) 0.0 $663k 33k 20.06
Madison Strategic Sector Premium Fund 0.0 $678k 57k 11.87
Royce Global Value Tr (RGT) 0.0 $586k 73k 8.04
SPDR S&P Oil & Gas Explore & Prod. 0.0 $402k 8.4k 47.86
Eaton Vance Senior Floating Rate Fund (EFR) 0.0 $417k 30k 13.70
Wells Fargo Adv Inc Opport Fund (EAD) 0.0 $465k 52k 8.88
Eaton Vance Municipal Bond Fund (EIM) 0.0 $398k 31k 12.83
Invesco Van Kampen Cal Val Mun Inc Trust (VCV) 0.0 $425k 33k 12.85
Apple (AAPL) 0.0 $232k 2.1k 110.48
Energy Select Sector SPDR (XLE) 0.0 $277k 3.5k 79.14
iShares MSCI Brazil Index (EWZ) 0.0 $366k 10k 36.60
Financial Select Sector SPDR (XLF) 0.0 $242k 9.8k 24.69
PIONEER DIV HIGH INCOME TRUS COM Bene Inter 0.0 $355k 20k 17.75
Fort Dearborn Income Securities 0.0 $293k 21k 14.15
Kkr Income Opportunities (KIO) 0.0 $371k 23k 16.20
Fs Investment Corporation 0.0 $271k 27k 9.93
American Cap Sr Floating 0.0 $334k 28k 12.12
Pioneer Floating Rate Trust (PHD) 0.0 $145k 13k 11.41
Eaton Vance Floating-Rate Income Trust (EFT) 0.0 $194k 14k 13.86
Nuveen Insured Quality Muncipal Fund 0.0 $170k 13k 13.17
Arch Coal 0.0 $30k 17k 1.80