PRINCIPAL SECURITIES, INC.

Broker-Dealer

Position in RIV — Rivernorth Opportunities Fund, Inc.

CIK 12600 DES MOINES, IA

Position in RIV

as of Jun 30, 2026 · filed Aug 4, 2026 Compact

Position Value

$1,966,738

+$145,195 QoQ

Shares Held

168,674

+2.8% QoQ

Ownership

0.622%

of shares outstanding

% of Portfolio

0.07%

of 13F equity value

Holder Rank

#13

of 60 holders

Holding Since

Dec 2023

11 quarters on record

Voting authority Sole 0% Shared 0% None 100%

Financial Services · as of Jun 30, 2026

PRINCIPAL SECURITIES, INC. holds $113,662,938 across 50 Asset Management names. RIV ranks #17 (1.7% of the industry book) .

#	Ticker	Company	Shares	Value (USD)
1	ETY	Eaton Vance Tax-Managed Diversified Equity Income Fund	1,078,833	$15,686,231
2	PFG	Principal Financial Group Inc	105,857	$11,409,267
3	ETV	Eaton Vance Tax-Managed Buy-Write Opportunities Fund	591,357	$8,799,392
4	CII	BlackRock Enhanced Large Cap Core Fund, Inc.	261,662	$6,842,461
5	BN	BROOKFIELD Corp /ON/	146,164	$6,225,124
6	PCN	Pimco Corporate & Income Strategy Fund	490,377	$5,860,005
7	BLK	BlackRock, Inc.	5,658	$5,440,506
8	PDI	PIMCO Dynamic Income Fund	303,855	$5,074,378

11 filing rows on record

Report Date	Value (USD)	Shares	Change	Type	Discretion	Filed
2026-06-30	$1,966,738	168,674	+2.8%	Shares	Sole	2026-08-04
2026-03-31	$1,821,543	164,103	-6.7%	Shares	Sole	2026-05-13
2025-12-31	$2,064,866	175,883	-4.3%	Shares	Sole	2026-02-12
2025-09-30	$2,204,472	183,706	+0.6%	Shares	Sole	2025-11-12
2025-06-30	$2,238,575	182,592	+10.2%	Shares	Sole	2025-08-11
2025-03-31	$1,953,767	165,714	0.0%	Shares	Sole	2025-04-30
2024-12-31	$1,904,047	165,714	+6.6%	Shares	Sole	2025-01-30
2024-09-30	$2,008,635	155,467	+15.9%	Shares	Sole	2024-10-28
2024-06-30	$1,643,814	134,189	+10.6%	Shares	Sole	2024-07-31
2024-03-31	$1,460,618	121,314	+5.5%	Shares	Sole	2024-05-10
2023-12-31	$1,263,541	114,972	—	Shares	Sole	2024-05-10
No filing history on record for this holder in this stock.