Rivernorth Capital Management

Rivernorth Capital Management as of Sept. 30, 2015

Portfolio Holdings for Rivernorth Capital Management

Rivernorth Capital Management holds 198 positions in its portfolio as reported in the September 2015 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Pimco Dynamic Credit Income other 6.8 $110M 6.0M 18.27
Clough Gbl Opps Fund Sh Ben Int closed-end fund (GLO) 2.8 $46M 4.3M 10.70
American Capital 2.4 $39M 3.2M 12.16
BlackRock Credit All Inc Trust IV (BTZ) 2.4 $38M 3.2M 12.17
AllianceBernstein Income Fund 2.3 $37M 4.7M 7.86
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 2.0 $33M 4.1M 7.98
Aberdeen Asia-Pacific Income Fund (FAX) 1.9 $32M 7.0M 4.50
BlackRock Corporate High Yield Fund VI (HYT) 1.9 $31M 3.2M 9.87
Boulder Growth & Income Fund (STEW) 1.8 $29M 3.9M 7.45
Fifth Street Finance 1.7 $28M 4.6M 6.17
Liberty All-Star Equity Fund (USA) 1.6 $27M 5.3M 5.08
Spdr S&p 500 Etf (SPY) 1.6 $26M 135k 191.63
Vanguard Emerging Markets ETF (VWO) 1.5 $25M 751k 33.09
Eaton Vance Limited Duration Income Fund (EVV) 1.4 $23M 1.8M 12.68
Tri-Continental Corporation (TY) 1.4 $22M 1.1M 19.50
Adams Express Company (ADX) 1.4 $22M 1.7M 12.75
PowerShares FTSE RAFI US 1000 1.2 $20M 241k 82.91
Templeton Global Income Fund (SABA) 1.2 $20M 3.2M 6.09
Blackstone Gso Strategic (BGB) 1.2 $19M 1.3M 14.21
BlackRock Debt Strategies Fund 1.1 $19M 5.6M 3.34
Blackrock Multi-sector Incom other (BIT) 1.1 $18M 1.2M 15.71
AllianceBernstein Global Hgh Incm (AWF) 1.1 $18M 1.6M 11.07
Vanguard Europe Pacific ETF (VEA) 1.1 $17M 483k 35.64
Nuveen Premium Income Muni Fund 2 1.1 $17M 1.3M 13.65
Royce Value Trust (RVT) 1.0 $16M 1.4M 11.50
Prudential Gl Sh Dur Hi Yld 1.0 $16M 1.2M 13.79
PowerShrs CEF Income Cmpst Prtfl 0.9 $15M 735k 21.00
Nuveen Intermediate 0.9 $15M 1.2M 12.40
Invesco Van Kampen Dyn Cr Opp Fund 0.9 $15M 1.4M 10.57
Alpine Total Dyn Fd New cefs 0.9 $14M 1.9M 7.50
Morgan Stanley Emerging Markets Domestic (EDD) 0.9 $14M 2.0M 6.88
Templeton Emerging Markets Income Fund (TEI) 0.8 $14M 1.4M 9.69
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 0.8 $14M 1.2M 11.35
First Tr High Income L/s (FSD) 0.8 $14M 964k 14.09
Clough Global Equity Fund closed-end fund (GLQ) 0.8 $13M 1.0M 12.66
Clearbridge Energy M 0.8 $13M 951k 13.75
MFS Multimarket Income Trust (MMT) 0.8 $13M 2.3M 5.59
Rydex Russell Top 50 ETF 0.8 $13M 95k 132.82
Invesco Van Kampen Municipal Trust (VKQ) 0.8 $13M 1.0M 12.28
Medley Capital Corporation 0.8 $13M 1.7M 7.44
Western Asset Emerging Mrkts Dbt Fnd (EMD) 0.8 $12M 922k 13.32
MFS Charter Income Trust (MCR) 0.8 $12M 1.6M 7.75
Ubs Ag London Brh 2x lev lng lkd 0.8 $12M 790k 15.59
Allianzgi Equity & Conv In 0.8 $12M 706k 17.19
General American Investors (GAM) 0.7 $12M 387k 30.98
Western Asst High Incm Opprtnty Fnd (HIO) 0.7 $12M 2.4M 4.69
Nuveen Municipal Advantage Fund 0.7 $11M 850k 13.31
Prudential Sht Duration Hg Y 0.7 $11M 777k 14.66
BlackRock Global Opportunities Equity Tr (BOE) 0.7 $11M 918k 12.10
Nexpoint Credit Strategies 0.7 $11M 1.9M 5.72
Nuveen Mtg opportunity term (JLS) 0.7 $11M 475k 22.40
Nuveen Global High (JGH) 0.6 $10M 715k 14.42
Brookfield Mortg. Opportunity bond etf 0.6 $10M 680k 14.74
MVC Capital 0.6 $10M 1.2M 8.21
Nuveen Munpl Markt Opp Fund 0.6 $9.7M 738k 13.10
Western Asset Hgh Yld Dfnd (HYI) 0.6 $9.6M 683k 14.00
Ares Dynamic Cr Allocation (ARDC) 0.6 $9.0M 642k 13.97
Franklin Templeton (FTF) 0.5 $8.4M 774k 10.90
Wstrn Asst Emrgng Mrkts Incm Fnd 0.5 $8.5M 885k 9.56
Gsv Cap Corp 0.5 $8.5M 1.1M 7.85
Nuveen Floating Rate Income Fund (JFR) 0.5 $8.2M 811k 10.05
Zweig Total Return 0.5 $8.1M 708k 11.42
Babson Cap Glb Sht Durhgh Yl 0.5 $8.2M 472k 17.34
iShares S&P 100 Index (OEF) 0.5 $7.9M 94k 84.78
Nuveen Long/short Commodity 0.5 $8.0M 498k 16.00
Central Fd Cda Ltd cl a 0.5 $7.8M 738k 10.59
Neuberger Berman Real Estate Sec (NRO) 0.5 $7.7M 1.7M 4.61
Invesco Van Kampen Muni Opp Trust (VMO) 0.5 $7.6M 602k 12.58
PowerShares FTSE RAFI Emerging MarketETF 0.5 $7.5M 521k 14.38
Western Asset Global High Income Fnd (EHI) 0.5 $7.5M 835k 8.97
Fifth Str Sr Floating Rate 0.5 $7.4M 848k 8.73
Nuveen Premium Income Municipal Fund 0.5 $7.2M 541k 13.40
LEGG MASON BW GLOBAL Income 0.5 $7.3M 632k 11.61
Nuveen Build Amer Bd (NBB) 0.4 $7.2M 368k 19.65
Nuveen Senior Income Fund 0.4 $6.8M 1.1M 5.91
Calamos Conv. Opptys. & Income Fund (CHI) 0.4 $6.7M 679k 9.89
Western Asset Global Cp Defi (GDO) 0.4 $6.7M 423k 15.83
Jp Morgan Alerian Mlp Index (AMJ) 0.4 $6.4M 212k 30.39
Clearbridge Energy Mlp Opp F 0.4 $6.5M 450k 14.42
Deutsche High Income Opport 0.4 $6.6M 499k 13.15
Apollo Tactical Income Fd In (AIF) 0.4 $6.3M 434k 14.49
Eaton Vance Short Duration Diversified I (EVG) 0.4 $6.2M 466k 13.23
Stone Hbr Emerg Mkts Tl 0.4 $6.2M 542k 11.36
Ivy High Income Opportunities 0.4 $6.3M 482k 12.97
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 0.3 $5.6M 541k 10.40
Morgan Stanley Emerging Markets Debt (MSD) 0.3 $5.6M 678k 8.33
Eaton Vance Senior Income Trust (EVF) 0.3 $5.5M 938k 5.87
Nuveen Insd Dividend Advantage (NVG) 0.3 $5.5M 398k 13.93
Lehman Brothers First Trust IOF (NHS) 0.3 $5.6M 548k 10.19
Nuveen Div. Advantage Muni. Fund (NAD) 0.3 $5.6M 404k 13.77
Clearbridge Amern Energ M 0.3 $5.5M 577k 9.59
Blackstone Gso Lng Shrt Cr I (BGX) 0.3 $5.4M 380k 14.25
TICC Capital 0.3 $5.2M 770k 6.71
Clough Global Allocation Fun (GLV) 0.3 $5.2M 399k 13.07
New America High Income Fund I (HYB) 0.3 $5.1M 635k 7.97
Western Asset Managed High Incm Fnd 0.3 $5.1M 1.1M 4.47
Global High Income Fund 0.3 $5.0M 645k 7.72
PennantPark Investment (PNNT) 0.3 $4.9M 750k 6.47
ADVENT CLAY GBL CONV SEC INC COM Bene Inter 0.3 $4.9M 913k 5.40
Full Circle Cap Corp 0.3 $4.9M 1.6M 3.07
VIRTUS GLOBAL Multi-sec (VGI) 0.3 $4.8M 337k 14.30
Kcap Financial 0.3 $4.9M 1.1M 4.51
Ares Capital Corporation (ARCC) 0.3 $4.7M 324k 14.48
Deutsche Multi-mkt Income Tr Shs cef 0.3 $4.5M 604k 7.39
Strategic Global Income Fund 0.3 $4.2M 532k 7.93
Avenue Income Cr Strat 0.3 $4.2M 323k 12.85
BlackRock Floating Rate Income Strat. Fn (FRA) 0.2 $4.0M 309k 12.94
LMP Real Estate Income Fund 0.2 $4.1M 337k 12.28
Morgan Stanley income sec 0.2 $4.0M 230k 17.38
Nuveen Build Amer Bd Opptny 0.2 $4.1M 211k 19.42
Cohen & Steers REIT/P (RNP) 0.2 $3.9M 223k 17.33
Blackstone Gso Flting Rte Fu (BSL) 0.2 $3.9M 248k 15.86
BLACKROCK MUN TARGET TERM TR SHARES Of Ben (BTT) 0.2 $3.9M 191k 20.38
Deutsche High Income Tr 0.2 $3.8M 488k 7.85
Western Asset Worldwide Income Fund 0.2 $3.8M 387k 9.83
THE GDL FUND Closed-End fund (GDL) 0.2 $3.8M 387k 9.80
Sprott Focus Tr (FUND) 0.2 $3.8M 642k 5.91
Solar Cap (SLRC) 0.2 $3.5M 221k 15.82
Saratoga Investment (SAR) 0.2 $3.5M 217k 16.15
Invesco Van Kampen Senior Income Trust (VVR) 0.2 $3.6M 850k 4.18
Western Asset Vrble Rate Strtgc Fnd 0.2 $3.6M 235k 15.53
Pioneer Floating Rate Trust (PHD) 0.2 $3.4M 300k 11.32
Advent/Claymore Enhanced Growth & Income 0.2 $3.3M 408k 8.20
Nuveen Div Adv Muni Fd 3 Ben Int (NZF) 0.2 $3.5M 255k 13.56
Nuveen Select Quality Municipal Fund 0.2 $3.5M 260k 13.37
iShares Russell 2000 Index (IWM) 0.2 $3.3M 30k 109.20
Nuveen Mortgage opportunity trm fd2 0.2 $3.2M 146k 21.71
Federated Enhanced Treasury 0.2 $3.0M 225k 13.52
Cbre Clarion Global Real Estat re (IGR) 0.2 $3.1M 425k 7.38
Nuveen Sht Dur Cr Opp 0.2 $3.1M 202k 15.21
Diversified Real Asset Inc F 0.2 $3.0M 189k 16.08
Market Vectors Gold Miners ETF 0.2 $2.9M 210k 13.74
Nuveen Multi-Strategy Income & Growth (JPC) 0.2 $3.0M 331k 8.99
MFS Intermediate High Income Fund (CIF) 0.2 $2.9M 1.3M 2.27
Allianzgi Divers Inc & Cnv F 0.2 $2.9M 164k 17.43
Blackrock Build America Bond Trust (BBN) 0.2 $2.7M 136k 20.18
Ubs Ag London Brh etracs mth 2xlv 0.2 $2.8M 178k 15.50
Aberdn Emring Mkts Telecomtions 0.2 $2.7M 248k 10.71
Western Asset High Incm Fd I (HIX) 0.2 $2.6M 409k 6.47
BlackRock Ltd. Duration Income Trust (BLW) 0.2 $2.5M 176k 14.44
Managed High Yield Plus Fund 0.2 $2.5M 1.6M 1.61
First Trust Strategic 0.2 $2.6M 228k 11.50
Nexpoint Residential Tr (NXRT) 0.2 $2.6M 194k 13.36
Central Europe and Russia Fund (CEE) 0.1 $2.5M 138k 17.89
First Trust/Aberdeen Global Opportunity (FAM) 0.1 $2.4M 250k 9.68
Putnam Master Int. Income (PIM) 0.1 $2.3M 520k 4.51
Nuveen Fltng Rte Incm Opp 0.1 $2.2M 224k 9.95
Tortoise MLP Fund 0.1 $2.2M 121k 18.32
Nuveen Qual Preferred Inc. Fund III 0.1 $2.1M 263k 8.02
Nuveen Premier Mun Income 0.1 $2.1M 160k 13.05
Credit Suisse AM Inc Fund (CIK) 0.1 $2.1M 752k 2.83
Western Asset Glbl Partners Incm Fnd 0.1 $2.1M 264k 7.98
Brookfield Global Listed 0.1 $2.2M 174k 12.53
Dreyfus Mun Bd Infrastructure 0.1 $2.2M 182k 11.86
Brookfield High Income Fd In 0.1 $2.1M 286k 7.29
Pimco Income Strategy Fund II (PFN) 0.1 $2.0M 224k 8.84
Special Opportunities Fund (SPE) 0.1 $1.9M 136k 14.07
Voya Emerging Markets High I etf (IHD) 0.1 $2.0M 258k 7.71
Oha Investment 0.1 $1.9M 446k 4.23
Invesco Van Kampen Bond Fund (VBF) 0.1 $1.8M 100k 17.63
LMP Corporate Loan Fund 0.1 $1.9M 181k 10.28
Wells Fargo Adv Inc Opport Fund (EAD) 0.1 $1.9M 247k 7.57
Invesco Quality Municipal Inc Trust (IQI) 0.1 $1.9M 153k 12.15
Central Securities (CET) 0.1 $1.6M 80k 19.76
Bdca Venture 0.1 $1.6M 351k 4.69
Dws Global High Income Fund 0.1 $1.6M 206k 7.56
Advent Claymore Convertible Sec & Inc (AVK) 0.1 $1.5M 110k 13.17
Putnam Municipal Opportunities Trust (PMO) 0.1 $1.5M 123k 11.96
MFS High Income Municipal Trust (CXE) 0.1 $1.4M 303k 4.75
Kkr Income Opportunities (KIO) 0.1 $1.4M 98k 14.56
Calamos Convertible & Hi Income Fund (CHY) 0.1 $1.2M 114k 10.87
Pimco Income Strategy Fund (PFL) 0.1 $1.2M 125k 9.68
Nuveen Dividend Advantage Municipal Fd 2 0.1 $1.2M 88k 13.62
Madison Strategic Sector Premium Fund 0.1 $1.1M 105k 10.67
LMP Capital and Income Fund (SCD) 0.1 $948k 78k 12.16
Putnam High Income Securities Fund 0.1 $935k 133k 7.05
Invesco Van Kampen High Inc Trust II (VLT) 0.1 $774k 60k 12.87
Nuveen Performance Plus Municipal Fund 0.1 $809k 57k 14.18
Goldmansachsbdc (GSBD) 0.1 $890k 48k 18.42
THL Credit 0.0 $693k 64k 10.91
Nuveen Diversified Commodty 0.0 $702k 68k 10.32
iShares Russell 1000 Value Index (IWD) 0.0 $427k 4.6k 93.37
Nuveen Quality Income Municipal Fund 0.0 $528k 39k 13.49
Whitehorse Finance (WHF) 0.0 $482k 41k 11.64
Royce Global Value Tr (RGT) 0.0 $559k 80k 7.01
Triplepoint Venture Gr Bdc cs (TPVG) 0.0 $558k 55k 10.14
Dws Strategic Income Trust 0.0 $528k 51k 10.28
First Trust Active Dividend Income Fund 0.0 $266k 34k 7.82
Exd - Eaton Vance Tax-advant 0.0 $331k 27k 12.23
Apollo Sr Floating Rate Fd I (AFT) 0.0 $361k 23k 15.69
BlackRock Income Trust 0.0 $139k 22k 6.29
MFS Municipal Income Trust (MFM) 0.0 $226k 35k 6.38
Nuveen Insured Quality Muncipal Fund 0.0 $186k 14k 13.00
MFS High Yield Municipal Trust (CMU) 0.0 $108k 25k 4.37
Eaton Vance Mun Income Term Tr (ETX) 0.0 $162k 9.3k 17.37
Eaton Vance Fltg Rate In 0.0 $96k 6.6k 14.65
Gabelli mutual funds - (GGZ) 0.0 $152k 15k 9.91
RMR Asia Pacific Real Estate Fund 0.0 $45k 2.5k 18.19