RIVERNORTH CAPITAL MANAGEMENT, LLC Diversified Active

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	BLACKROCK CR ALLCTN INC TR	3,204,313	$41,784	4.4%	$12.98	—	COM	092508100
—	PIMCO DYNAMIC INCOME FD	1,199,590	$34,416	3.6%	$29.25	—	SHS	72201Y101
OEF	ISHARES	374,942	$28,061	3.0%	$71.95	—	S&P 100 ETF	464287101
—	ROYCE VALUE TR INC	1,688,887	$27,208	2.9%	$15.16	—	COM	780910105
—	PIMCO DYNAMIC CR INCOME FD	1,159,268	$25,794	2.7%	$22.87	—	COM SHS	72202D106
—	POWERSHARES ETF TRUST	336,568	$25,408	2.7%	$72.00	—	FTSE RAFI 1000	73935X583
—	ALLIANCEBERNSTEIN INCOME FUN	3,411,821	$24,019	2.5%	$7.38	—	COM	01881E101
—	ADAMS EXPRESS CO	1,806,571	$22,383	2.4%	$11.96	—	COM	006212104
—	EATON VANCE RISK MNGD DIV EQ	2,066,792	$22,342	2.4%	$10.90	—	COM	27829G106
—	LIBERTY ALL STAR EQUITY FD	3,732,791	$20,194	2.1%	$5.20	—	SH BEN INT	530158104
—	TRI CONTL CORP	1,070,482	$19,611	2.1%	$17.90	—	COM	895436103
—	VANGUARD INDEX FDS	252,763	$19,463	2.0%	$74.74	—	S&P 500 ETF SH	922908413
—	CLOUGH GLOBAL OPPORTUNITIES	1,486,045	$19,125	2.0%	$12.87	—	SH BEN INT	18914E106
—	EATON VANCE TX MGD DIV EQ IN	1,855,179	$18,700	2.0%	$10.17	—	COM	27828N102
—	ABERDEEN ASIA PACIFIC INCOM	2,744,144	$16,630	1.7%	$6.20	—	COM	003009107
—	MORGAN STANLEY EM MKTS DM DE	1,127,468	$15,897	1.7%	$14.41	—	COM	617477104
—	BLACKROCK GLOBAL OPP EQTY TR	1,120,255	$15,672	1.6%	$13.55	—	COM	092501105
VWO	VANGUARD INTL EQUITY INDEX F	376,375	$15,106	1.6%	$38.97	—	FTSE EMR MKT ETF	922042858
—	NUVEEN DIVER CURRENCY OPPOR	1,417,093	$14,851	1.6%	$11.19	—	COM	67090N109
—	PIMCO CORPORATE & INCOME OPP	809,368	$14,609	1.5%	$19.55	—	COM	72201B101
—	ALPINE TOTAL DYNAMIC DIVID F	3,453,483	$13,883	1.5%	$3.94	—	COM SBI	021060108
—	ZWEIG TOTAL RETURN FD INC	1,015,666	$13,305	1.4%	$12.87	—	COM NEW	989837208
—	BLACKROCK MULTI-SECTOR INC T	788,757	$13,149	1.4%	$17.08	—	COM	09258A107
—	NEXPOINT CR STRATEGIES FD	1,714,410	$13,115	1.4%	$7.81	—	COM	65340G106
—	NUVEEN PREM INCOME MUN FD 2	983,161	$12,830	1.3%	$13.23	—	COM	67063W102
—	PIMCO INCOME STRATEGY FUND I	1,245,405	$12,703	1.3%	$10.52	—	COM	72201J104
—	GENERAL AMERN INVS INC	328,604	$11,219	1.2%	$31.94	—	COM	368802104
—	PUTNAM PREMIER INCOME TR	2,093,256	$11,011	1.2%	$5.34	—	SH BEN INT	746853100
—	LEGG MASON BW GLB INC OPP FD	631,506	$10,565	1.1%	$17.71	—	COM	52469B100
—	RYDEX ETF TRUST	89,963	$10,543	1.1%	$113.76	—	GUG RUSS TOP 50	78355W205
—	NUVEEN PERFORMANCE PLUS MUN	774,794	$10,467	1.1%	$13.94	—	COM	67062P108
—	NUVEEN DIVID ADVANTAGE MUN F	724,406	$9,439	1.0%	$13.44	—	COM	67066V101
—	NUVEEN INTER DURATION MN TMF	803,027	$9,219	1.0%	$11.84	—	COM	670671106
—	CENTRAL FD CDA LTD	581,847	$8,553	0.9%	$13.60	—	CL A	153501101
—	CLOUGH GLOBAL EQUITY FD	535,437	$8,045	0.8%	$14.97	—	COM	18914C100
—	EATON VANCE ENHANCED EQ INC	659,336	$7,952	0.8%	$11.55	—	COM	278274105
—	ALLIANZGI EQUITY & CONV INCO	417,817	$7,759	0.8%	$18.34	—	COM	018829101
—	WESTERN ASSET GLOBAL CP DEFI	407,622	$7,252	0.8%	$18.02	—	COM	95790C107
—	APOLLO TACTICAL INCOME FD IN	431,822	$7,211	0.8%	$17.67	—	COM	037638103
—	EATON VANCE TXMGD GL BUYWR O	634,890	$7,200	0.8%	$11.12	—	COM	27829C105
—	PIMCO INCOME STRATEGY FUND	605,036	$7,000	0.7%	$11.96	—	COM	72201H108
—	GABELLI DIVD & INCOME TR	331,670	$6,594	0.7%	$19.36	—	COM	36242H104
—	DWS HIGH INCOME OPPORT FD IN	464,860	$6,578	0.7%	$14.38	—	COM NEW	23339M204
—	MARKET VECTORS ETF TR	262,817	$6,576	0.7%	$24.56	—	GOLD MINER ETF	57060U100
—	NUVEEN PREM INCOME MUN FD	513,869	$6,567	0.7%	$13.14	—	COM	67062T100
—	NUVEEN QUALITY PFD INCOME FD	774,512	$6,320	0.7%	$8.65	—	COM	67072C105
—	CALAMOS CONV & HIGH INCOME F	488,052	$6,115	0.6%	$12.40	—	COM SHS	12811P108
—	BOULDER TOTAL RETURN FD INC	280,071	$6,106	0.6%	$21.18	—	COM	101541100
—	WESTERN ASSET CLYM INFL OPP	525,157	$6,092	0.6%	$11.85	—	COM	95766R104
—	ADVENT CLAY CONV SEC INC FD	875,525	$6,085	0.6%	$6.91	—	COM	007639107
—	BOULDER GROWTH & INCOME FD I	742,362	$5,664	0.6%	$7.44	—	COM	101507101
—	NUVEEN BUILD AMER BD FD	311,980	$5,637	0.6%	$19.12	—	COM	67074C103
—	CENTRAL EUR RUSS & TURK FD I	171,648	$5,565	0.6%	$29.82	—	COM	153436100
VEA	VANGUARD TAX MANAGED INTL FD	136,978	$5,422	0.6%	$35.60	—	FTSE DEV MKT ETF	921943858
—	WELLS FARGO ADVANTAGE MULTI	369,613	$5,226	0.5%	$14.53	—	COM SHS	94987D101
—	VIRTUS TOTAL RETURN FD	1,288,657	$5,077	0.5%	$3.88	—	COM	92829A103
—	NUVEEN PFD INCOME OPPRTNY FD	583,932	$5,069	0.5%	$9.36	—	COM	67073B106
—	PIMCO INCOME OPPORTUNITY FD	183,632	$5,048	0.5%	$28.60	—	COM	72202B100
—	POWERSHARES GLOBAL ETF TRUST	247,540	$5,025	0.5%	$19.49	—	EMER MRKT PORT	73936T763
CWB	SPDR SERIES TRUST	111,000	$5,017	0.5%	$42.68	—	BRC CNV SECS ETF	78464A359
—	VIRTUS GLOBAL MULTI-SEC INC	289,657	$4,924	0.5%	$17.36	—	COM	92829B101
—	MONTGOMERY STR INCOME SECS I	296,684	$4,661	0.5%	$16.16	—	COM	614115103
—	THAI FD INC	228,770	$4,546	0.5%	$21.60	—	COM	882904105
—	ROYCE FOCUS TR	614,038	$4,436	0.5%	$6.98	—	COM	78080N108
—	CORNERSTONE PROGRESSIVE RTN	822,469	$4,219	0.4%	$5.13	—	COM	21925C101
—	INVESCO MUN TR	354,632	$4,149	0.4%	$11.70	—	COM	46131J103
—	BLACKROCK BUILD AMER BD TR	213,822	$4,022	0.4%	$20.20	—	SHS	09248X100
—	PIMCO MUN INCOME FD II	363,431	$4,009	0.4%	$11.59	—	COM	72200W106
—	ADVENT CLAYMORE ENH GRW & IN	406,996	$3,980	0.4%	$9.78	—	COM	00765E104
—	NUVEEN BUILD AMER BD OPPTNY	212,626	$3,942	0.4%	$20.00	—	COM	67074Q102
—	BROOKFIELD TOTAL RETURN FD I	159,146	$3,651	0.4%	$23.84	—	COM	11283U108
—	BLACKROCK INTL GRWTH & INC T	469,405	$3,614	0.4%	$7.37	—	COM BENE INTER	092524107
—	WESTERN ASSET EMRG MKT DEBT	197,229	$3,538	0.4%	$18.27	—	COM	95766A101
—	BABSON CAP GLB SHT DURHGH YL	148,541	$3,391	0.4%	$22.94	—	COM	05617T100
—	BLACKROCK ENHANCED EQT DIV T	442,824	$3,330	0.4%	$7.61	—	COM	09251A104
—	MACQUARIE GLBL INFRA TOTL RE	141,885	$3,070	0.3%	$20.42	—	COM	55608D101
—	PIMCO CORPORATE INCOME STRAT	182,928	$3,053	0.3%	$17.38	—	COM	72200U100
—	NUVEEN MTG OPPORTUNITY TERM	123,415	$2,932	0.3%	$24.62	—	COM	670735109
—	FEDERATED ENHANC TREAS INCM	213,125	$2,741	0.3%	$13.01	—	COM SH BEN INT	314162108
OFS	OFS CAP CORP	213,138	$2,698	0.3%	$12.72	-5.0%	COM	67103B100
—	WESTERN ASSET WORLDWIDE INCO	213,513	$2,684	0.3%	$12.65	—	COM	957668106
—	FIRST TR HIGH INCOME L/S FD	150,872	$2,646	0.3%	$17.54	—	COM	33738E109
—	NUVEEN GBL INCOME OPPORTUN F	224,288	$2,631	0.3%	$12.06	—	COM	67073C104
SVVC	FIRSTHAND TECH VALUE FD INC	105,453	$2,581	0.3%	$19.17	+15.9%	COM	33766Y100
—	NUVEEN QUALITY PFD INC FD 3	324,718	$2,562	0.3%	$8.32	—	COM	67072W101
—	WESTERN ASSET INFL MGMT FD I	155,798	$2,558	0.3%	$16.54	—	COM	95766U107
—	EATON VANCE MUN BD FD	217,672	$2,516	0.3%	$11.89	—	COM	27827X101
—	NUVEEN MUN OPPORTUNITY FD IN	190,082	$2,471	0.3%	$13.82	—	COM	670984103
—	BLACKROCK DEBT STRAT FD INC	606,171	$2,437	0.3%	$4.25	—	COM	09255R103
—	ABERDEEN GLOBAL INCOME FD IN	213,128	$2,308	0.2%	$10.95	—	COM	003013109
AMG	AFFILIATED MANAGERS GROUP	12,100	$2,210	0.2%	$153.14	+12.3%	COM	008252108
—	PIMCO MUNICIPAL INCOME FD	167,375	$2,089	0.2%	$12.51	—	COM	72200R107
—	MFS CHARTER INCOME TR	231,546	$2,072	0.2%	$9.10	—	SH BEN INT	552727109
XLK	SELECT SECTOR SPDR TR	63,650	$2,039	0.2%	$32.03	—	TECHNOLOGY	81369Y803
—	WESTERN ASSET HIGH INCM OPP	339,689	$2,028	0.2%	$5.95	—	COM	95766K109
—	IVY HIGH INC OPPORTUNITIES F	105,933	$1,886	0.2%	$17.80	—	COM	465893105
—	SPECIAL OPPORTUNITIES FD INC	106,187	$1,870	0.2%	$16.93	—	COM	84741T104
—	NUVEEN QUALITY PFD INCOME FD	246,569	$1,864	0.2%	$8.15	—	COM	67071S101
—	PUTNAM MASTER INTER INCOME T	380,809	$1,858	0.2%	$4.97	—	SH BEN INT	746909100
—	NEUBERGER BERMAN HGH YLD FD	135,677	$1,772	0.2%	$12.83	—	COM	64128C106
—	ADVENT CLAYMORE CV SECS & IN	98,882	$1,739	0.2%	$16.94	—	COM	00764C109
—	FIRST TR STRATEGIC HIGH INC	108,545	$1,727	0.2%	$15.77	—	COM SHS NEW	337353304
—	NEUBERGER BERMAN RE ES SEC F	382,067	$1,727	0.2%	$4.68	—	COM	64190A103
—	FRANKLIN TEMPLETON LTD DUR I	131,325	$1,707	0.2%	$13.00	—	COM	35472T101
—	COHEN & STEERS REIT & PFD IN	109,526	$1,699	0.2%	$15.51	—	COM	19247X100
—	NUVEEN MTG OPPTY TERM FD 2	69,682	$1,673	0.2%	$24.01	—	COM	67074R100
—	DWS GLOBAL HIGH INCOME FD	205,534	$1,646	0.2%	$8.07	—	COM	23338W104
—	GABELLI UTIL TR	244,694	$1,554	0.2%	$6.47	—	COM	36240A101
—	CALAMOS GBL DYN INCOME FUND	182,081	$1,550	0.2%	$8.51	—	COM	12811L107
—	BLACKSTONE GSO STRATEGIC CR	84,176	$1,489	0.2%	$17.69	—	COM SHS BEN IN	09257R101
—	ABERDEEN EMERGING MKTS SMALL	76,239	$1,484	0.2%	$19.90	—	COM	00301T102
—	MORGAN STANLEY EASTN EUR FD	77,812	$1,454	0.2%	$16.17	—	COM	616988101
XMQTX	BLACKROCK MUNIY QUALITY FD I	114,705	$1,420	0.1%	$12.58	—	COM	09254G108
—	BLACKROCK INCOME OPP TRUST I	135,034	$1,337	0.1%	$9.99	—	COM	092475102
—	NUVEEN INT DUR QUAL MUN TRM	116,238	$1,336	0.1%	$11.83	—	COM	670677103
—	MORGAN STANLEY EMER MKTS DEB	133,359	$1,334	0.1%	$10.15	—	COM	61744H105
—	STRATEGIC GLOBAL INCOME FD	137,633	$1,279	0.1%	$9.35	—	COM	862719101
SPY	SPDR S&P 500 ETF TR	7,500	$1,260	0.1%	$160.45	—	TR UNIT	78462F103
—	MFS MULTIMARKET INCOME TR	184,506	$1,220	0.1%	$6.61	—	SH BEN INT	552737108
—	GOODYEAR TIRE & RUBR CO	18,900	$1,204	0.1%	$49.26	—	PFD CONV 5.875%	382550309
—	NUVEEN PREMIER MUN INCOME FD	91,400	$1,179	0.1%	$12.90	—	COM	670988104
XMUSX	BLACKROCK MUNIHOLDNGS QLTY I	93,295	$1,157	0.1%	$12.40	—	COM	09254A101
—	HELIOS STRATEGIC INCOME FD I	177,271	$1,126	0.1%	$6.11	—	COM NEW	42328A203
—	WESTERN ASSET MTG DEF OPPTY	47,050	$1,059	0.1%	$23.12	—	COM	95790B109
—	PUTMAN HIGH INCOME SEC FUND	132,648	$1,044	0.1%	$7.90	—	SHS BEN INT	746779107
—	WESTERN ASSET MGD HI INCM FD	182,654	$1,039	0.1%	$5.77	—	COM	95766L107
—	PUTNAM MANAGED MUN INCOM TR	148,674	$1,017	0.1%	$7.13	—	COM	746823103
—	WESTERN ASSET GLB HI INCOME	81,575	$1,007	0.1%	$12.32	—	COM	95766B109
—	BLACKROCK SR HIGH INCOME FD	243,706	$960	0.1%	$4.03	—	COM	09255T109
—	TCW STRATEGIC INCOME FUND IN	174,144	$939	0.1%	$5.54	—	COM	872340104
—	GLOBAL HIGH INCOME FUND INC	89,961	$926	0.1%	$10.29	—	COM	37933G108
—	CLOUGH GLOBAL ALLOCATION FD	60,150	$917	0.1%	$15.15	—	COM	18913Y103
—	WESTERN ASSET EMRG MKT INCM	72,602	$910	0.1%	$12.75	—	COM	95766E103
XXHYBXX	NEW AMER HIGH INCOME FD INC	93,512	$889	0.1%	$10.06	—	COM NEW	641876800
—	NUVEEN CAL AMT-FREE MUN INC	71,932	$888	0.1%	$12.34	—	COM	670651108
—	WESTERN ASST MNGD MUN FD INC	71,707	$886	0.1%	$13.17	—	COM	95766M105
—	GDL FUND	77,973	$880	0.1%	$11.44	—	COM SH BEN IT	361570104
—	NUVEEN MUN HIGH INCOME OPP F	74,738	$872	0.1%	$11.67	—	COM	670682103
—	JOHN HANCOCK HDG EQ & INC FD	48,304	$803	0.1%	$16.89	—	COM	47804L102
—	GSV CAP CORP	52,860	$783	0.1%	$7.86	—	COM	36191J101
—	BLACKROCK HIGH YIELD TR	109,655	$759	0.1%	$6.92	—	SHS	09248N102
—	WESTERN ASST MN PRT FD INC	52,800	$730	0.1%	$13.83	—	COM	95766P108
—	FIRST TR ENERGY INCOME & GRW	22,827	$730	0.1%	$33.98	—	COM	33738G104
—	AMERICAN CAP LTD	51,000	$701	0.1%	$13.75	—	COM	02503Y103
—	MANAGED HIGH YIELD PLUS FD I	341,936	$684	0.1%	$2.00	—	COM	561911108
—	BLACKROCK MUNIHLDGS FD II IN	42,477	$601	0.1%	$14.98	—	COM	09253P109
—	PRUDENTIAL GLB SHT DUR HG YL	33,907	$591	0.1%	$17.88	—	COM	74433A109
—	INVESCO ADVANTAGE MUNICIPAL	53,850	$577	0.1%	$10.71	—	SH BEN INT	46132E103
—	MORGAN STANLEY TRUSTS	33,713	$561	0.1%	$17.03	—	INCOME SECS INC	61745P874
EQS	EQUUS TOTAL RETURN INC	295,005	$558	0.1%	$2.08	-7.6%	COM	294766100
—	MFS HIGH INCOME MUN TR	120,141	$557	0.1%	$4.79	—	SH BEN INT	59318D104
XLF	SELECT SECTOR SPDR TR	27,100	$539	0.1%	$19.89	—	SBI INT-FINL	81369Y605
—	BLACKROCK CORPOR HI YLD FD V	40,433	$490	0.1%	$12.12	—	COM	09255N102
—	WELLS FARGO ADVANTAGE INCOME	54,302	$489	0.1%	$9.01	—	COM SHS	94987B105
—	BLACKROCK MUNIHLDS INVSTM QL	34,167	$448	0.0%	$13.11	—	COM	09254P108
—	HEWLETT PACKARD CO	21,000	$441	0.0%	$21.00	—	COM	428236103
—	KCAP FINL INC	45,015	$403	0.0%	$8.95	—	COM	48668E101
—	PCM FUND INC	35,027	$401	0.0%	$11.60	—	COM	69323T101
—	FIFTH STR SR FLOATNG RATE CO	28,400	$385	0.0%	$13.56	—	COM	31679F101
—	NUVEEN PREM INCOME MUN FD 4	31,700	$377	0.0%	$11.89	—	COM	6706K4105
—	BLACKROCK MUNIYIELD INVST FD	26,647	$368	0.0%	$13.81	—	COM	09254R104
—	INVESCO MUN OPPORTUNITY TR	30,470	$359	0.0%	$11.78	—	COM	46132C107
—	BLACKROCK DEFINED OPPRTY CR	25,086	$351	0.0%	$13.99	—	COM	09255Q105
—	HELIOS ADVANTAGE INCOME FD I	40,911	$349	0.0%	$8.33	—	COM NEW	42327W206
—	MFS HIGH YIELD MUN TR	82,979	$344	0.0%	$4.15	—	SH BEN INT	59318E102
—	TEMPLETON EMERG MKTS INCOME	23,125	$330	0.0%	$14.89	—	COM	880192109
XLP	SELECT SECTOR SPDR TR	8,100	$322	0.0%	$39.75	—	SBI CONS STPLS	81369Y308
—	DWS HIGH INCOME TR	35,528	$322	0.0%	$9.06	—	SHS NEW	23337C208
CCJ	CAMECO CORP	17,711	$320	0.0%	$17.41	0.0%	COM	13321L108
XPMQX	PIMCO MUN INCOME FD III	28,891	$302	0.0%	$11.01	—	COM	72201A103
—	BLACKROCK MUNICIPL INC QLTY	20,745	$282	0.0%	$14.20	—	COM	092479104
—	HANCOCK JOHN INCOME SECS TR	19,899	$281	0.0%	$14.12	—	COM	410123103
—	WESTERN ASSET PREMIER BD FD	19,338	$274	0.0%	$14.17	—	SHS BEN INT	957664105
—	EATON VANCE SH TM DR DIVR IN	17,516	$271	0.0%	$15.47	—	COM	27828V104
—	BLACKROCK STRTGC BOND TR	20,233	$262	0.0%	$12.95	—	COM	09249G106
—	STONE HBR EMERG MKTS TL INC	12,403	$248	0.0%	$20.00	—	COM	86164W100
—	NUVEEN MUN VALUE FD INC	24,739	$226	0.0%	$9.57	—	COM	670928100
NEM	NEWMONT MINING CORP	7,400	$208	0.0%	$22.61	0.0%	COM	651639106
—	EATON VANCE MUNI INCOME TRUS	17,600	$194	0.0%	$12.27	—	SH BEN INT	27826U108
—	BLACKROCK INCOME TR INC	27,650	$184	0.0%	$6.73	—	COM	09247F100
—	ARES DYNAMIC CR ALLOCATION F	10,000	$181	0.0%	$18.80	—	COM	04014F102
XMHIX	PIONEER MUN HIGH INCOME TR	12,121	$171	0.0%	$14.11	—	COM SHS	723763108
—	NUVEEN CA DIVIDEND ADV MUN F	11,800	$151	0.0%	$12.80	—	COM	67066Y105
—	HELIOS MULTI SEC HI INC FD I	25,875	$150	0.0%	$5.75	—	COM NEW	42327Y202
—	MFS INTER INCOME TR	20,000	$106	0.0%	$5.30	—	SH BEN INT	55273C107
—	CREDIT SUISSE ASSET MGMT INC	23,304	$86	0.0%	$3.69	—	COM	224916106
—	ARCH COAL INC	17,600	$72	0.0%	$3.87	—	COM	039380100
—	BLACKROCK HIGH INCOME SHS	25,000	$52	0.0%	$2.08	—	SHS BEN INT	09250E107