RIVERNORTH CAPITAL MANAGEMENT, LLC Diversified Active

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	PIMCO DYNAMIC CR INCOME FD	2,561,905	$57,899	4.7%	$22.67	—	COM SHS	72202D106
—	BLACKROCK CR ALLCTN INC TR	3,221,578	$43,556	3.5%	$12.98	—	COM	092508100
SPY	SPDR S&P 500 ETF TR	222,835	$41,672	3.4%	$185.07	—	TR UNIT	78462F103
—	NUVEEN CR STRATEGIES INCM FD	2,662,855	$25,324	2.1%	$9.66	—	COM SHS	67073D102
—	ROYCE VALUE TR INC	1,521,881	$23,939	1.9%	$15.16	—	COM	780910105
—	ADAMS EXPRESS CO	1,746,371	$22,668	1.8%	$11.96	—	COM	006212104
—	TRI CONTL CORP	1,070,982	$21,505	1.8%	$17.90	—	COM	895436103
—	ABERDEEN ASIA PACIFIC INCOM	3,496,412	$21,363	1.7%	$6.06	—	COM	003009107
OEF	ISHARES	250,000	$20,703	1.7%	$72.24	—	S&P 100 ETF	464287101
—	INVESCO MUN OPPORTUNITY TR	1,682,343	$20,525	1.7%	$11.71	—	COM	46132C107
—	BLACKROCK MULTI-SECTOR INC T	1,152,540	$20,458	1.7%	$17.13	—	COM	09258A107
—	POWERSHARES ETF TRUST	240,668	$20,370	1.7%	$73.13	—	FTSE RAFI 1000	73935X583
VWO	VANGUARD INTL EQUITY INDEX F	501,375	$20,346	1.7%	$39.55	—	FTSE EMR MKT ETF	922042858
—	LIBERTY ALL STAR EQUITY FD	3,451,297	$20,294	1.7%	$5.20	—	SH BEN INT	530158104
—	NUVEEN PREM INCOME MUN FD 2	1,490,544	$19,958	1.6%	$12.99	—	COM	67063W102
—	NEXPOINT CR STRATEGIES FD	1,796,854	$19,891	1.6%	$7.98	—	COM	65340G106
—	CLOUGH GLOBAL OPPORTUNITIES	1,509,739	$19,243	1.6%	$12.87	—	SH BEN INT	18914E106
—	BLACKROCK GLOBAL OPP EQTY TR	1,313,572	$19,218	1.6%	$13.75	—	COM	092501105
—	BLACKROCK DEBT STRAT FD INC	4,453,127	$18,258	1.5%	$4.04	—	COM	09255R103
—	PIMCO DYNAMIC INCOME FD	569,909	$17,280	1.4%	$29.25	—	SHS	72201Y101
—	NUVEEN INTER DURATION MN TMF	1,407,281	$16,831	1.4%	$11.70	—	COM	670671106
—	NUVEEN MUN ADVANTAGE FD INC	1,257,870	$16,327	1.3%	$12.22	—	COM	67062H106
—	ALPINE TOTAL DYNAMIC DIVID F	1,914,603	$16,064	1.3%	$3.96	—	COM SBI	021060108
—	NUVEEN DIVER CURRENCY OPPOR	1,417,093	$14,865	1.2%	$11.19	—	COM	67090N109
—	PIMCO INCOME STRATEGY FUND I	1,413,590	$14,701	1.2%	$10.51	—	COM	72201J104
—	INVESCO MUN TR	1,081,693	$13,088	1.1%	$11.63	—	COM	46131J103
—	PUTNAM PREMIER INCOME TR	2,349,879	$12,995	1.1%	$5.36	—	SH BEN INT	746853100
—	MORGAN STANLEY EM MKTS DM DE	965,909	$12,673	1.0%	$14.15	—	COM	617477104
—	TEMPLETON GLOBAL INCOME FD	1,573,373	$12,650	1.0%	$7.96	—	COM	880198106
—	RYDEX ETF TRUST	94,701	$12,280	1.0%	$114.56	—	GUG RUSS TOP 50	78355W205
—	ALLIANZGI EQUITY & CONV INCO	626,881	$12,193	1.0%	$18.72	—	COM	018829101
—	GENERAL AMERN INVS INC	344,204	$12,126	1.0%	$32.08	—	COM	368802104
—	ZWEIG TOTAL RETURN FD INC	854,653	$12,016	1.0%	$12.87	—	COM NEW	989837208
—	NUVEEN DIVID ADVANTAGE MUN F	890,991	$11,930	1.0%	$13.27	—	COM	67066V101
—	NUVEEN LG/SHT COMMODITY TOTR	689,887	$11,411	0.9%	$17.22	—	COM UT BEN INT	670731108
—	LEGG MASON BW GLB INC OPP FD	629,528	$11,055	0.9%	$17.71	—	COM	52469B100
—	NUVEEN MTG OPPORTUNITY TERM	461,131	$10,823	0.9%	$23.55	—	COM	670735109
—	WELLS FARGO ADVANTAGE MULTI	711,678	$10,319	0.8%	$14.31	—	COM SHS	94987D101
—	BLACKROCK CORPOR HI YLD FD V	832,221	$10,203	0.8%	$12.17	—	COM	09255P107
—	FIRST TR HIGH INCOME L/S FD	558,788	$9,907	0.8%	$17.32	—	COM	33738E109
—	NUVEEN PREM INCOME MUN FD	698,160	$9,153	0.7%	$12.91	—	COM	67062T100
—	NUVEEN MUN MKT OPPORTUNITY F	711,848	$9,083	0.7%	$12.09	—	COM	67062W103
—	IVY HIGH INC OPPORTUNITIES F	494,094	$9,032	0.7%	$17.95	—	COM	465893105
—	BLACKROCK MUN TARGET TERM TR	466,915	$8,909	0.7%	$17.12	—	COM SHS BEN IN	09257P105
—	WESTERN ASSET EMRG MKT INCM	707,941	$8,736	0.7%	$12.10	—	COM	95766E103
—	NUVEEN CAL AMT-FREE MUN INC	632,885	$8,417	0.7%	$12.56	—	COM	670651108
—	NUVEEN MUN OPPORTUNITY FD IN	584,985	$8,049	0.7%	$13.37	—	COM	670984103
—	WESTERN ASSET GLOBAL CP DEFI	441,606	$8,033	0.7%	$18.03	—	COM	95790C107
—	NEUBERGER BERMAN MLP INCOME	437,339	$7,885	0.6%	$19.09	—	COM	64129H104
—	CENTRAL FD CDA LTD	571,703	$7,867	0.6%	$13.60	—	CL A	153501101
—	CLOUGH GLOBAL EQUITY FD	506,421	$7,809	0.6%	$14.97	—	COM	18914C100
—	BLACKSTONE GSO STRATEGIC CR	434,020	$7,691	0.6%	$17.77	—	COM SHS BEN IN	09257R101
—	BOULDER TOTAL RETURN FD INC	312,421	$7,601	0.6%	$21.51	—	COM	101541100
—	EATON VANCE RISK MNGD DIV EQ	660,286	$7,461	0.6%	$10.90	—	COM	27829G106
—	EATON VANCE LTD DUR INCOME F	484,723	$7,392	0.6%	$15.30	—	COM	27828H105
—	DWS HIGH INCOME OPPORT FD IN	499,065	$7,291	0.6%	$14.38	—	COM NEW	23339M204
—	VIRTUS TOTAL RETURN FD	1,643,307	$7,263	0.6%	$3.90	—	COM	92829A103
—	BROOKFIELD MTG OPP INC FD IN	426,246	$7,169	0.6%	$16.66	—	COM	112792106
—	BLACKSTONE GSO LNG SHRT CR I	379,334	$6,680	0.5%	$17.86	—	COM SHS BN INT	09257D102
—	NUVEEN PFD INCOME OPPRTNY FD	699,427	$6,498	0.5%	$9.26	—	COM	67073B106
—	NUVEEN BUILD AMER BD FD	323,062	$6,338	0.5%	$19.14	—	COM	67074C103
—	WESTERN ASSET CLYM INFL OPP	540,457	$6,286	0.5%	$11.83	—	COM	95766R104
—	MARKET VECTORS ETF TR	262,017	$6,185	0.5%	$24.56	—	GOLD MINER ETF	57060U100
—	PIMCO INCOME STRATEGY FUND	525,596	$6,165	0.5%	$11.96	—	COM	72201H108
—	BOULDER GROWTH & INCOME FD I	757,862	$6,161	0.5%	$7.46	—	COM	101507101
—	POWERSHARES GLOBAL ETF TRUST	305,240	$6,068	0.5%	$19.63	—	EMER MRKT PORT	73936T763
—	CORNERSTONE STRATEGIC VALUE	917,402	$5,936	0.5%	$6.60	—	COM NEW	21924B203
—	STONE HBR EMERG MRKTS INC FD	317,862	$5,880	0.5%	$18.38	—	COM	86164T107
—	FRANKLIN TEMPLETON LTD DUR I	440,247	$5,745	0.5%	$13.01	—	COM	35472T101
—	VIRTUS GLOBAL MULTI-SEC INC	337,610	$5,706	0.5%	$17.30	—	COM	92829B101
—	INVESCO DYNAMIC CR OPP FD	430,739	$5,574	0.5%	$12.90	—	COM	46132R104
ELD	WISDOMTREE TR	120,635	$5,534	0.5%	$45.87	—	EM LCL DEBT FD	97717X867
—	AVENUE INCOME CR STRATEGIES	305,987	$5,385	0.4%	$17.58	—	COM	05358E106
—	APOLLO TACTICAL INCOME FD IN	296,843	$5,296	0.4%	$17.67	—	COM	037638103
—	NUVEEN PERFORMANCE PLUS MUN	345,616	$5,001	0.4%	$13.94	—	COM	67062P108
—	ROYCE FOCUS TR	614,488	$4,891	0.4%	$6.98	—	COM	78080N108
—	WESTERN ASSET WORLDWIDE INCO	388,486	$4,790	0.4%	$12.44	—	COM	957668106
—	PIMCO MUN INCOME FD II	408,532	$4,735	0.4%	$11.40	—	COM	72200W106
—	BLACKROCK ENHANCED EQT DIV T	588,188	$4,670	0.4%	$7.69	—	COM	09251A104
—	ADVENT CLAY CONV SEC INC FD	613,981	$4,642	0.4%	$6.93	—	COM	007639107
—	NUVEEN INT DUR QUAL MUN TRM	377,067	$4,574	0.4%	$11.92	—	COM	670677103
—	MFS CHARTER INCOME TR	478,484	$4,369	0.4%	$9.11	—	SH BEN INT	552727109
—	NUVEEN BUILD AMER BD OPPTNY	212,626	$4,359	0.4%	$20.00	—	COM	67074Q102
—	CLEARBRIDGE AMERN ENERG MLP	261,326	$4,233	0.3%	$17.84	—	COM	184691103
—	CENTRAL EUR RUSS & TURK FD I	158,676	$4,168	0.3%	$29.82	—	COM	153436100
—	ADVENT CLAYMORE ENH GRW & IN	406,996	$4,147	0.3%	$9.78	—	COM	00765E104
—	WESTERN ASSET EMRG MKT DEBT	228,659	$3,979	0.3%	$18.13	—	COM	95766A101
—	PIMCO CORPORATE & INCOME OPP	215,937	$3,900	0.3%	$18.57	—	COM	72201B101
—	MFS MULTIMARKET INCOME TR	594,453	$3,882	0.3%	$6.59	—	SH BEN INT	552737108
—	BROOKFIELD TOTAL RETURN FD I	157,232	$3,808	0.3%	$23.83	—	COM	11283U108
—	PUTNAM MASTER INTER INCOME T	724,706	$3,732	0.3%	$5.02	—	SH BEN INT	746909100
—	EATON VANCE ENHANCED EQ INC	285,032	$3,725	0.3%	$11.55	—	COM	278274105
—	PRUDENTIAL GLB SHT DUR HG YL	209,200	$3,676	0.3%	$17.38	—	COM	74433A109
—	BLACKROCK INTL GRWTH & INC T	446,005	$3,595	0.3%	$7.37	—	COM BENE INTER	092524107
—	AMERN STRATEGIC INCOME PTFL	405,383	$3,369	0.3%	$8.31	—	COM	030099105
—	STONE HBR EMERG MKTS TL INC	179,295	$3,337	0.3%	$19.06	—	COM	86164W100
—	NUVEEN GBL INCOME OPPORTUN F	278,471	$3,222	0.3%	$11.94	—	COM	67073C104
—	KAYNE ANDERSON ENRGY TTL RT	117,111	$3,198	0.3%	$27.34	—	COM	48660P104
—	FEDERATED ENHANC TREAS INCM	234,339	$3,194	0.3%	$13.07	—	COM SH BEN INT	314162108
—	INVESCO QUALITY MUNI INC TRS	262,723	$3,103	0.3%	$11.12	—	COM	46133G107
—	CBRE CLARION GLOBAL REAL EST	368,799	$3,079	0.3%	$7.94	—	COM	12504G100
—	ABERDEEN EMERGING MKTS SMALL	230,082	$3,060	0.2%	$15.57	—	COM	00301T102
—	STRATEGIC GLOBAL INCOME FD	321,433	$2,960	0.2%	$9.21	—	COM	862719101
XXHYBXX	NEW AMER HIGH INCOME FD INC	301,426	$2,957	0.2%	$9.78	—	COM NEW	641876800
—	MACQUARIE GLBL INFRA TOTL RE	123,226	$2,896	0.2%	$20.42	—	COM	55608D101
—	EATON VANCE FLTG RATE INCOM	156,615	$2,860	0.2%	$18.16	—	COM SHS BEN INT	278284104
—	PUTNAM MUN OPPORTUNITIES TR	250,700	$2,850	0.2%	$10.74	—	SH BEN INT	746922103
—	AMERICAN STRATEGIC INCOME II	400,156	$2,845	0.2%	$7.06	—	COM	03009T101
—	NUVEEN FLTNG RTE INCM OPP FD	232,415	$2,835	0.2%	$12.18	—	COM SHS	6706EN100
—	WESTERN ASSET INFL MGMT FD I	152,322	$2,720	0.2%	$16.54	—	COM	95766U107
—	NEUBERGER BERMAN RE ES SEC F	564,411	$2,664	0.2%	$4.60	—	COM	64190A103
—	NEUBERGER BERMAN HGH YLD FD	194,141	$2,644	0.2%	$13.02	—	COM	64128C106
—	NUVEEN PREMIER MUN INCOME FD	198,945	$2,614	0.2%	$12.61	—	COM	670988104
—	COHEN & STEERS LTD DUR PFD I	108,708	$2,587	0.2%	$22.62	—	COM	19248C105
—	GLOBAL HIGH INCOME FUND INC	260,792	$2,574	0.2%	$10.03	—	COM	37933G108
—	INVESCO TR INVT GRADE MUNS	198,684	$2,543	0.2%	$12.18	—	COM	46131M106
—	BLACKROCK FLOAT RATE OME STR	174,132	$2,537	0.2%	$14.60	—	COM	09255X100
—	WESTERN ASSET HGH YLD DFNDFD	141,296	$2,526	0.2%	$17.74	—	COM	95768B107
VEA	VANGUARD TAX MANAGED INTL FD	60,753	$2,507	0.2%	$35.60	—	FTSE DEV MKT ETF	921943858
—	NUVEEN MTG OPPTY TERM FD 2	106,401	$2,484	0.2%	$23.65	—	COM	67074R100
—	COHEN & STEERS REIT & PFD IN	143,776	$2,444	0.2%	$15.66	—	COM	19247X100
AMG	AFFILIATED MANAGERS GROUP	12,100	$2,421	0.2%	$153.14	+24.2%	COM	008252108
—	NUVEEN DIVID ADVANTAGE MUN I	175,932	$2,345	0.2%	$13.33	—	COM	67071L106
—	INVESCO ADVANTAGE MUNICIPAL	198,653	$2,183	0.2%	$10.57	—	SH BEN INT	46132E103
—	MORGAN STANLEY EMER MKTS DEB	219,688	$2,175	0.2%	$9.96	—	COM	61744H105
—	FIRST TR INTER DUR PFD & IN	97,105	$2,150	0.2%	$21.25	—	COM	33718W103
—	CLOUGH GLOBAL ALLOCATION FD	138,602	$2,104	0.2%	$15.18	—	COM	18913Y103
—	FIRST TR STRATEGIC HIGH INC	130,663	$2,081	0.2%	$15.87	—	COM SHS NEW	337353304
—	NUVEEN QUALITY PFD INC FD 3	247,245	$2,069	0.2%	$8.32	—	COM	67072W101
—	NUVEEN DIVERSIFIED COMMODTY	129,215	$2,052	0.2%	$15.26	—	COM UT BEN INT	67074P104
—	EATON VANCE MUN BD FD	168,972	$2,007	0.2%	$11.89	—	COM	27827X101
IWD	ISHARES	20,575	$1,985	0.2%	$95.89	—	RUS 1000 VAL ETF	464287598
—	WESTERN ASSET MGD HI INCM FD	346,040	$1,983	0.2%	$5.72	—	COM	95766L107
—	SPECIAL OPPORTUNITIES FD INC	119,119	$1,936	0.2%	$16.25	—	COM	84741T104
—	ING EMERGING MKTS HGH DIV EQ	158,557	$1,895	0.2%	$11.82	—	COM	45685X104
—	THAI FD INC	174,585	$1,891	0.2%	$21.60	—	COM	882904105
—	EATON VANCE SH TM DR DIVR IN	122,573	$1,862	0.2%	$15.30	—	COM	27828V104
—	WESTERN ASSET HIGH INCM OPP	307,550	$1,861	0.2%	$6.03	—	COM	95766K109
—	ABERDEEN GLOBAL INCOME FD IN	170,965	$1,855	0.2%	$10.95	—	COM	003013109
—	DWS HIGH INCOME TR	192,234	$1,807	0.1%	$9.19	—	SHS NEW	23337C208
—	CENTRAL SECS CORP	80,395	$1,798	0.1%	$21.72	—	COM	155123102
—	CALAMOS GBL DYN INCOME FUND	194,191	$1,748	0.1%	$8.56	—	COM	12811L107
—	DWS GLOBAL HIGH INCOME FD	205,534	$1,671	0.1%	$8.07	—	COM	23338W104
—	BLACKROCK BUILD AMER BD TR	80,053	$1,620	0.1%	$20.20	—	SHS	09248X100
SVVC	FIRSTHAND TECH VALUE FD INC	72,540	$1,549	0.1%	$19.17	+22.2%	COM	33766Y100
—	NUVEEN SELECT QUALITY MUN FD	109,220	$1,446	0.1%	$12.40	—	COM	670973106
GLD	SPDR GOLD TRUST	11,433	$1,413	0.1%	$123.59	—	GOLD SHS	78463V107
—	DREYFUS MUN BD INFRSTRCTR FD	110,099	$1,238	0.1%	$10.60	—	SHS	26203D101
—	COHEN & STEERS CLOSED END OP	95,255	$1,224	0.1%	$12.58	—	COM	19248P106
—	HELIOS STRATEGIC INCOME FD I	174,771	$1,185	0.1%	$6.11	—	COM NEW	42328A203
—	TCW STRATEGIC INCOME FUND IN	215,737	$1,178	0.1%	$5.47	—	COM	872340104
—	PIMCO MUNICIPAL INCOME FD	86,557	$1,167	0.1%	$12.47	—	COM	72200R107
—	GSV CAP CORP	113,082	$1,147	0.1%	$9.08	—	COM	36191J101
—	ARES MULTI STRATEGY CR FD IN	51,511	$1,133	0.1%	$21.17	—	COM	04014Q108
—	NUVEEN QUALITY PFD INCOME FD	130,362	$1,132	0.1%	$8.65	—	COM	67072C105
—	AMERICAN SELECT PORTFOLIO IN	107,498	$1,068	0.1%	$9.94	—	COM	029570108
—	INVESCO CALIF VALUE MUN INC	89,796	$1,060	0.1%	$11.39	—	COM	46132H106
—	COHEN & STEERS MLP INC & ENR	59,030	$1,057	0.1%	$18.25	—	COM SHS	19249B106
—	GABELLI DIVD & INCOME TR	41,909	$921	0.1%	$19.36	—	COM	36242H104
—	NUVEEN QUALITY INCOME MUN FD	68,479	$910	0.1%	$12.25	—	COM	670977107
XLF	SELECT SECTOR SPDR TR	40,600	$907	0.1%	$20.60	—	SBI INT-FINL	81369Y605
—	CORNERSTONE TOTAL RTRN FD IN	150,501	$892	0.1%	$6.05	—	COM NEW	21924U201
—	MANAGED HIGH YIELD PLUS FD I	346,875	$735	0.1%	$2.00	—	COM	561911108
—	APOLLO SR FLOATING RATE FD I	38,350	$700	0.1%	$18.10	—	COM	037636107
—	ROYCE GLOBAL VALUE TR INC	72,406	$650	0.1%	$8.89	—	COM	78081T104
OFS	OFS CAP CORP	46,531	$582	0.0%	$12.72	+0.2%	COM	67103B100
—	GOODYEAR TIRE & RUBR CO	8,003	$579	0.0%	$49.26	—	PFD CONV 5.875%	382550309
EQS	EQUUS TOTAL RETURN INC	295,005	$566	0.0%	$2.08	-7.6%	COM	294766100
—	GDL FUND	51,213	$565	0.0%	$11.44	—	COM SH BEN IT	361570104
—	COHEN & STEERS QUALITY RLTY	51,523	$543	0.0%	$9.48	—	COM	19247L106
SRLN	SSGA ACTIVE ETF TR	10,466	$524	0.0%	$50.07	—	BLKSTN GSOSRLN	78467V608
—	TIFFANY & CO NEW	5,700	$491	0.0%	$86.14	—	COM	886547108
AAPL	APPLE INC	900	$483	0.0%	$16.37	+1.3%	COM	037833100
XMQTX	BLACKROCK MUNIY QUALITY FD I	37,869	$473	0.0%	$12.58	—	COM	09254G108
XLI	SELECT SECTOR SPDR TR	9,000	$471	0.0%	$52.33	—	SBI INT-INDS	81369Y704
BMY	BRISTOL MYERS SQUIBB CO	9,000	$468	0.0%	$35.93	0.0%	COM	110122108
XEVMX	EATON VANCE CALIF MUN BD FD	42,945	$466	0.0%	$10.85	—	COM	27828A100
—	NUVEEN INVT QUALITY MUN FD I	31,690	$447	0.0%	$13.53	—	COM	67062E103
—	PUTMAN HIGH INCOME SEC FUND	46,653	$390	0.0%	$7.90	—	SHS BEN INT	746779107
—	BLACKROCK FLOATING RATE INCO	23,260	$331	0.0%	$14.23	—	COM	091941104
AMZN	AMAZON COM INC	105	$292	0.0%	—	—	Put	023135106
NEM	NEWMONT MINING CORP	10,964	$257	0.0%	$21.60	-14.7%	COM	651639106
RIO	RIO TINTO PLC	4,400	$246	0.0%	$55.91	—	SPONSORED ADR	767204100
—	EATON VANCE MUN INCOME TERM	15,142	$238	0.0%	$14.80	—	SHS	27829U105
—	NUVEEN CALIF PREM INCOME MUN	17,476	$237	0.0%	$13.56	—	COM	6706L0102
—	CALAMOS CONV & HIGH INCOME F	17,020	$229	0.0%	$12.48	—	COM SHS	12811P108
—	LMP CORPORATE LN FD INC	18,700	$227	0.0%	$12.22	—	COM	50208B100
—	MFS HIGH INCOME MUN TR	45,397	$216	0.0%	$4.79	—	SH BEN INT	59318D104
—	NUVEEN AMT-FREE MUN INCOME F	12,353	$160	0.0%	$12.04	—	COM	670657105
—	ARCH COAL INC	15,090	$73	0.0%	$3.87	—	COM	039380100