RIVERNORTH CAPITAL MANAGEMENT, LLC

HTTP://WWW.RIVERNORTH.COM CHICAGO, IL Investment Advisor How do I update this listing?

Also known as:

  • RIVERNORTH CAPITAL MANAGEMENT INC
  • RIVERNORTH TACTICAL OPPORTUNITIES FUND INC
  • RIVERNORTH OPPORTUNISTIC MUNICIPAL INCOME FUND II

Rivernorth Capital Management is based out of Chicago. Rivernorth Capital Management is a large advisory firm with 17 clients and discretionary assets under management (AUM) of $3,465,729,591 (Form ADV from 2019-03-30). Their last reported 13F filing for Q1 2019 included $1,517,399,000 in managed 13F securities and a top 10 holdings concentration of 30.38%. Rivernorth Capital Management's largest holding is Nuveen Dividend Advantage Municipal Fund with shares held of 4,154,927. Rivernorth Capital Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 46 13F filings, 18 13D filings, 165 13G filings, and 15 Form 4 filings

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03/31/2019

13F Sector Allocation Over Time

03/31/2019

13F Activity

  • Market Value $1.517 Billion
  • Prior Market Value $1.678 Billion
  • New Purchases23 stocks
  • Additional Purchases46 stocks
  • Sold out of81 stocks
  • Reduced holdings in77 stocks
  • Top 10 Holdings % 30.38 %
  • Turnover % [1]:44.44%
  • Turnover Alt % [2]: 28.39 %
  • Time Held Top20:7.85 quarters
  • Time Held Top10:9.20 quarters
  • Time Held All:6.32 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-05-15

Performance for Q1 2019: 3.62%
Performance Last 4 Quarters: 5.1%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR/A (Subscription required)
  • 2011-03-31 - 13F-HR/A (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR/A (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

RIVERNORTH CAPITAL MANAGEMENT, LLC
Classified as Hedge Fund
325 N LASALLE SUITE 645
CHICAGO IL    60654
Country: United States

Business Phone: 312-832-1440
Fax: 312-832-1461
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 23
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 616,911,000
Total Number of Clients: 17
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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RIVERNORTH CAPITAL MANAGEMENT, LLC

ownership team - last updated 2019-03-30
Name Title Start Date Direct/Indirect % Ownership
SCHMUCKER, BRIAN, HAROLD PRESIDENT, MANAGER 08/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE FUND MANAGEMENT, INC. PRESIDENT direct 2000-08-01
RIVERNORTH CAPITAL MANAGEMENT, LLC PRESIDENT, MANAGER direct 2000-08-01
RIVERNORTH CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01
GALLEY, PATRICK, WILLIAM CHIEF INVESTMENT OFFICER, MANAGER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIVERNORTH CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER, MANAGER direct 2004-10-01
PINNACLE FUND MANAGEMENT, INC. CHIEF INVESTMENT OFFICER direct 2004-10-01
RIVERNORTH CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2010-11-01
MOHRHARDT, JONATHAN, MICHAEL CHIEF OPERATING OFFICER, MANAGER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIVERNORTH CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2009-01-01
RIVERNORTH CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER, MANAGER direct 2009-01-01
RIVERNORTH CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, MANAGER direct 2009-01-01
RIVERNORTH CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, MANAGER direct 2009-01-01
RIVERNORTH CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER, CHIEK RISK OFFICER, MANAGER direct 2009-01-01
RIVERNORTH FINANCIAL HOLDINGS LLC MEMBER 12/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
RIVERNORTH CAPITAL MANAGEMENT, INC. MEMBER direct 2010-01-01
RIVERNORTH CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-12-01
RIVERNORTH CAPITAL MANAGEMENT, LLC MEMBER direct 2014-12-01
COLLINS, MARCUS, LANE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 06/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIVERNORTH CAPITAL MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2012-06-01
SCHMUCKER, BRIAN, HAROLD SHAREHOLDER RIVERNORTH HOLDING CO. 01/01/2010 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PINNACLE FUND MANAGEMENT, INC. PRESIDENT direct 2000-08-01
RIVERNORTH CAPITAL MANAGEMENT, LLC PRESIDENT, MANAGER direct 2000-08-01
RIVERNORTH CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01
GALLEY, PATRICK, WILLIAM SHAREHOLDER RIVERNORTH HOLDING CO. 11/01/2010 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
RIVERNORTH CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER, MANAGER direct 2004-10-01
PINNACLE FUND MANAGEMENT, INC. CHIEF INVESTMENT OFFICER direct 2004-10-01
RIVERNORTH CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2010-11-01
RIVERNORTH HOLDING CO. MEMBER RIVERNORTH FINANCIAL HOLDINGS, LLC 12/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
RIVERNORTH CAPITAL MANAGEMENT, INC. MEMBER direct 2010-01-01
RIVERNORTH CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-12-01
RIVERNORTH CAPITAL MANAGEMENT, LLC MEMBER direct 2014-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
RIVERNORTH CAPITAL PARTNERS, L.P. United States 805-7386946560 Hedge Fund 139,638,151 250,000 Fund of Funds
RIVERNORTH INSTITUTIONAL PARTNERS L.P. United States 805-3884735416 Hedge Fund 395,596,941 250,000 Master Fund Fund of Funds
RIVERNORTH SPECIALTY FINANCE, LLC United States 805-5057915570 Other Private Fund MARKETPLACE LENDING FUND 14,380,794 250,000
RIVERNORTH INSTITUTIONAL PARTNERS OFFSHORE LTD. United States 805-3445343240 Hedge Fund 4,506,887 250,000 Feeder Fund Fund of Funds

RIVERNORTH CAPITAL MANAGEMENT, LLC

ownership team - last updated 2017-03-31
Name Title Start Date Direct/Indirect % Ownership
SCHMUCKER, BRIAN, HAROLD PRESIDENT, MANAGER 08/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE FUND MANAGEMENT, INC. PRESIDENT direct 2000-08-01
RIVERNORTH CAPITAL MANAGEMENT, LLC PRESIDENT, MANAGER direct 2000-08-01
RIVERNORTH CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01
GALLEY, PATRICK, WILLIAM CHIEF INVESTMENT OFFICER, MANAGER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIVERNORTH CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER, MANAGER direct 2004-10-01
PINNACLE FUND MANAGEMENT, INC. CHIEF INVESTMENT OFFICER direct 2004-10-01
RIVERNORTH CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2010-11-01
MOHRHARDT, JONATHAN, MICHAEL CHIEF OPERATING OFFICER, MANAGER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIVERNORTH CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2009-01-01
RIVERNORTH CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER, MANAGER direct 2009-01-01
RIVERNORTH CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, MANAGER direct 2009-01-01
RIVERNORTH CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, MANAGER direct 2009-01-01
RIVERNORTH CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER, CHIEK RISK OFFICER, MANAGER direct 2009-01-01
RIVERNORTH FINANCIAL HOLDINGS LLC MEMBER 12/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
RIVERNORTH CAPITAL MANAGEMENT, INC. MEMBER direct 2010-01-01
RIVERNORTH CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-12-01
RIVERNORTH CAPITAL MANAGEMENT, LLC MEMBER direct 2014-12-01
O'NEILL, STEPHEN, ANDREW PORTFOLIO MANAGER 06/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
RIVERNORTH CAPITAL MANAGEMENT, LLC PORTFOLIO MANAGER direct 2011-06-01
COLLINS, MARCUS, LANE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 06/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIVERNORTH CAPITAL MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2012-06-01
SCHMUCKER, BRIAN, HAROLD SHAREHOLDER RIVERNORTH HOLDING CO. 01/01/2010 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PINNACLE FUND MANAGEMENT, INC. PRESIDENT direct 2000-08-01
RIVERNORTH CAPITAL MANAGEMENT, LLC PRESIDENT, MANAGER direct 2000-08-01
RIVERNORTH CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01
GALLEY, PATRICK, WILLIAM SHAREHOLDER RIVERNORTH HOLDING CO. 11/01/2010 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
RIVERNORTH CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER, MANAGER direct 2004-10-01
PINNACLE FUND MANAGEMENT, INC. CHIEF INVESTMENT OFFICER direct 2004-10-01
RIVERNORTH CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2010-11-01
RIVERNORTH HOLDING CO. MEMBER RIVERNORTH FINANCIAL HOLDINGS, LLC 12/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
RIVERNORTH CAPITAL MANAGEMENT, INC. MEMBER direct 2010-01-01
RIVERNORTH CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-12-01
RIVERNORTH CAPITAL MANAGEMENT, LLC MEMBER direct 2014-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
RIVERNORTH CAPITAL PARTNERS, L.P. United States 805-7386946560 Hedge Fund 132,747,716 250,000 Fund of Funds
RIVERNORTH INSTITUTIONAL PARTNERS L.P. United States 805-3884735416 Hedge Fund 250,117,186 250,000 Fund of Funds
RIVERNORTH SPECIALTY FINANCE, LLC United States 805-5057915570 Other Private Fund MARKETPLACE LENDING FUND 1,874,362 250,000

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