Principal Securities’s RiverNorth Opportunities Fund RIV Stock Holding History

Principal Securities’s Portfolio RIV Stock Details RIV Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2026 Q1	$1.82M	Sell	164,103 -11,780	-7%	-$138K	0.03%	528
2025 Q4	$2.06M	Sell	175,883 -7,823	-4%	-$91.2K	0.03%	467
2025 Q3	$2.2M	Buy	183,706 +1,114	+0.6%	+$13.7K	0.04%	425
2025 Q2	$2.24M	Buy	182,592 +16,878	+10%	+$198K	0.04%	380
2025 Q1	$1.9M	Hold	165,714	–	–	0.04%	375
2024 Q4	$1.9M	Buy	165,714 +10,247	+7%	+$128K	0.04%	372
2024 Q3	$2.01M	Buy	155,467 +21,278	+16%	+$263K	0.05%	346
2024 Q2	$1.64M	Buy	134,189 +12,875	+11%	+$154K	0.05%	345
2024 Q1	$1.46M	Buy	121,314 +6,342	+6%	+$73.7K	0.05%	350
2023 Q4	$1.26M	Buy	+114,972	New	+$1.21M	0.05%	348

Other funds holding RIV

SIA

Sit Investment Associates Minneapolis, Minnesota $4.93B AUM 12.22% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

PCM

Penserra Capital Management Orinda, California $8.52B AUM 37.76% 1-Year Est. Return

LPL Financial San Diego, California $377B AUM 19.32% 1-Year Est. Return

AWA

Arete Wealth Advisors Chicago, Illinois $1.33B AUM 25.12% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

AIA

Absolute Investment Advisers Rosemary Beach, Florida $852M AUM 0.1% 1-Year Est. Return

YCM

Yakira Capital Management Westport, Connecticut $342M AUM 26.97% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

Principal Securities's RIV Position: Q1 2026 in Review

Principal Securities reduced its RiverNorth Opportunities Fund (RIV) stake by 6.7% in Q1 2026, selling an estimated $138K and leaving 164,103 shares worth $1.82M. The position accounts for 0.03% of the portfolio, ranked #528.

Principal Securities first reported a position in RIV in Q4 2023 and has held it in 10 quarters since. The position peaked at $2.24M in Q2 2025. 57 funds tracked by Wall St. Rank hold RIV as of Q1 2026.

Principal Securities held 164,103 shares of RiverNorth Opportunities Fund worth $1.82M as of Q1 2026.
Principal Securities sold 11,780 RiverNorth Opportunities Fund shares in Q1 2026, an estimated $138K.
RiverNorth Opportunities Fund made up 0.03% of Principal Securities's portfolio in Q1 2026, its #528 holding.
Principal Securities first reported a position in RiverNorth Opportunities Fund in Q4 2023 and has held it in 10 quarters since.
Principal Securities's RiverNorth Opportunities Fund position peaked at $2.24M in Q2 2025.
57 funds tracked by Wall St. Rank held RiverNorth Opportunities Fund as of Q1 2026.

Based on Principal Securities's 13F filing for Q1 2026, filed 13 May 2026.