13F-HR filed by RIVERNORTH CAPITAL MANAGEMENT, LLC
RIVERNORTH CAPITAL MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 175 holding rows worth $1,249,141,000.
- Accession
- 0000913849-14-000352
- Filer
- CIK 1447578
- Filed
- 2014-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 175 entries on the cover page, a total value of $1,249,141,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,249,137,000 with VALUE read as thousands by filing date, 13F file number 028-13256. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 282,313 | $55,621,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 2,033,214 | $45,686,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 3,225,278 | $42,928,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 3,583,368 | $31,999,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 682,375 | $28,462,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 1,746,371 | $24,344,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 608,753 | $24,198,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 1,070,982 | $22,351,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 250,000 | $22,040,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 240,668 | $21,160,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 3,570,037 | $20,813,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 1,433,074 | $20,780,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 1,486,800 | $20,444,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 1,121,632 | $19,898,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,553,740 | $19,468,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 1,778,937 | $18,892,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 2,489,106 | $18,668,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 1,551,678 | $18,512,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 2,263,676 | $17,996,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 1,453,865 | $17,170,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 1,349,332 | $16,826,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 830,914 | $16,510,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 1,913,103 | $16,281,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 4,089,921 | $15,623,000 | thousands by filing date | |
| NUVEEN DIVER CURRENCY OPPOR | 67090N109 | COM | 1,401,963 | $14,945,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 2,637,087 | $14,451,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 967,642 | $13,653,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 922,792 | $13,620,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 364,804 | $13,520,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 1,074,693 | $13,487,000 | thousands by filing date | |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 94,701 | $13,080,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 656,176 | $13,038,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 1,191,491 | $12,546,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 877,055 | $11,831,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 626,697 | $11,111,000 | thousands by filing date | |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 651,920 | $11,076,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 634,172 | $10,838,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 915,426 | $10,829,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 623,319 | $10,547,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 626,923 | $10,520,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 442,094 | $10,500,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 715,174 | $9,905,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 710,458 | $9,833,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 740,593 | $9,820,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 701,723 | $9,796,000 | thousands by filing date | |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 364,488 | $9,601,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 467,645 | $9,465,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C101 | COM | 2,272,225 | $9,339,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 656,667 | $9,147,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 736,495 | $8,860,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 952,026 | $8,435,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 484,332 | $8,374,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 328,097 | $7,878,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 610,498 | $7,558,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 531,855 | $7,531,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 517,104 | $7,369,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 499,065 | $7,306,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 400,049 | $7,277,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD 4 | 6706K4105 | COM | 540,821 | $7,247,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 502,718 | $7,204,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 571,703 | $7,038,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 143,966 | $6,925,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 1,171,169 | $6,910,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 763,862 | $6,753,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 322,279 | $6,571,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 712,445 | $6,554,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 377,940 | $6,540,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 1,006,827 | $6,464,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 540,457 | $6,264,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 355,899 | $5,911,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 271,028 | $5,788,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 338,034 | $5,645,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 398,114 | $5,617,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 321,675 | $5,491,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 292,432 | $5,392,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 293,004 | $5,119,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 610,188 | $5,004,000 | thousands by filing date | |
| ROYCE FOCUS TR | 78080N108 | COM | 633,579 | $4,986,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 408,736 | $4,880,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 966,059 | $4,656,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 378,039 | $4,627,000 | thousands by filing date | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 513,307 | $4,533,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 41,400 | $4,527,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 210,615 | $4,465,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 304,392 | $4,356,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 852,839 | $4,290,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 289,588 | $4,248,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 124,510 | $3,930,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 317,086 | $3,916,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 262,148 | $3,822,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 297,492 | $3,802,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 389,228 | $3,776,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 148,802 | $3,695,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 325,000 | $3,650,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 370,367 | $3,485,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 412,224 | $3,454,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 742,801 | $3,454,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 277,050 | $3,424,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 203,749 | $3,423,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 157,303 | $3,417,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 145,788 | $3,395,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 286,215 | $3,369,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 195,162 | $3,365,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 248,309 | $3,345,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 237,987 | $3,303,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 236,207 | $3,229,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 231,867 | $3,170,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 259,173 | $3,141,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 319,201 | $3,083,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 287,415 | $3,031,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 318,207 | $3,020,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 250,000 | $2,925,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 150,752 | $2,579,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 191,222 | $2,572,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 248,682 | $2,489,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 98,044 | $2,426,000 | thousands by filing date | |
| AFFILIATED MANAGERS GROUP COM | 008252108 | Stock | 12,100 | $2,424,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 333,668 | $2,266,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 169,884 | $2,227,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 146,744 | $2,128,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 251,345 | $2,104,000 | thousands by filing date | |
| MONTGOMERY STR INCOME SECS I | 614115103 | COM | 128,139 | $2,091,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 299,201 | $2,002,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 119,119 | $1,986,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 80,395 | $1,847,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 140,938 | $1,820,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 17,375 | $1,739,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 108,530 | $1,738,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 148,336 | $1,688,000 | thousands by filing date | |
| DWS | 23338W104 | EXCHANGE TRADED | 205,534 | $1,665,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 8,610 | $1,634,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 179,427 | $1,604,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 234,076 | $1,524,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 270,312 | $1,495,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 72,943 | $1,266,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 53,974 | $1,244,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 46,329 | $1,061,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 90,506 | $1,054,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 75,915 | $1,047,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 59,485 | $1,021,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 96,614 | $905,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 41,798 | $826,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 54,400 | $775,000 | thousands by filing date | |
| DENALI FD INC | 24823A102 | COM | 32,999 | $716,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 85,638 | $715,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 57,100 | $707,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 48,480 | $664,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 72,902 | $635,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 5,900 | $535,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 82,420 | $509,000 | thousands by filing date | |
| ARES MULTI STRATEGY CR FD IN | 04014Q108 | COM | 23,849 | $496,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 34,661 | $487,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 12,648 | $479,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 34,016 | $433,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 25,876 | $415,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 4,100 | $413,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 33,073 | $404,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 83,500 | $397,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 31,021 | $388,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 29,449 | $383,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 37,200 | $368,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 3,700 | $347,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 20,700 | $300,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 12,900 | $299,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 7,242 | $295,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 947 | $275,000 | thousands by filing date | put |
| Netflix, Inc | 64110L106 | COM | 542 | $245,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 14,338 | $245,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 11,300 | $244,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 17,100 | $243,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 4,056 | $216,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 12,700 | $208,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 9,618 | $205,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 14,654 | $204,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 16,690 | $35,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000913849-14-000352 | this filing | 2014-11-14 | acceptance time not in the bulk data set |