PRINCIPAL SECURITIES, INC.
Broker-DealerPosition in RIV — Rivernorth Opportunities Fund, Inc.
CIK 12600
DES MOINES, IA
Position in RIV
as of Mar 31, 2026
· filed May 13, 2026
Position Value
$1,821,543
-$243,323 QoQ
Shares Held
164,103
-6.7% QoQ
Ownership
0.600%
of shares outstanding
% of Portfolio
0.09%
of 13F equity value
Holder Rank
—
not a current holder
Holding Since
Dec 2023
10 quarters on record
Voting authority
Sole 0%
Shared 0%
None 100%
Common Shares in RIV Over Time
Shares Held
Position Value (USD)
Position in Asset Management
Financial Services · as of Mar 31, 2026PRINCIPAL SECURITIES, INC. holds $102,825,897 across 50 Asset Management names. RIV ranks #17 (1.8% of the industry book) .
| # | Ticker | Company | Shares | Value (USD) | Open |
|---|---|---|---|---|---|
| 1 | ETY |
Eaton Vance Tax-Managed Diversified Equity Income Fund
|
1,120,472 | $15,451,308 | |
| 2 | PFG |
Principal Financial Group Inc
|
105,011 | $9,462,541 | |
| 3 | ETV |
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
|
615,740 | $8,417,165 | |
| 4 | PCN |
Pimco Corporate & Income Strategy Fund
|
483,975 | $5,759,302 | |
| 5 | BLK |
BlackRock, Inc.
|
5,881 | $5,655,816 | |
| 6 | CII |
BlackRock Enhanced Large Cap Core Fund, Inc.
|
267,616 | $5,625,288 | |
| 7 | BN |
BROOKFIELD Corp /ON/
|
137,252 | $5,554,588 | |
| 8 | PDI |
PIMCO Dynamic Income Fund
|
278,438 | $4,764,074 |
All Filings in RIV
Export CSV
10 filing rows on record
| Report Date | Value (USD) | Shares | Type | Discretion | Filed | |
|---|---|---|---|---|---|---|
| 2026-03-31 | $1,821,543 | 164,103 | Shares | Sole | 2026-05-13 | |
| 2025-12-31 | $2,064,866 | 175,883 | Shares | Sole | 2026-02-12 | |
| 2025-09-30 | $2,204,472 | 183,706 | Shares | Sole | 2025-11-12 | |
| 2025-06-30 | $2,173,374 | 182,592 | Shares | Sole | 2025-08-11 | |
| 2025-03-31 | $1,896,861 | 165,714 | Shares | Sole | 2025-04-30 | |
| 2024-12-31 | $1,848,589 | 165,714 | Shares | Sole | 2025-01-30 | |
| 2024-09-30 | $1,950,131 | 155,467 | Shares | Sole | 2024-10-28 | |
| 2024-06-30 | $1,595,936 | 134,189 | Shares | Sole | 2024-07-31 | |
| 2024-03-31 | $1,418,075 | 121,314 | Shares | Sole | 2024-05-10 | |
| 2023-12-31 | $1,226,739 | 114,972 | Shares | Sole | 2024-05-10 | |
| No filing history on record for this holder in this stock. | ||||||