-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HgBgLAhb2iBlG0GUjjMBHmFOp/CiQwRHU0DG8vhql2ozj4e00Lm9VqtHuFEtIBsy siR8LZyNM/Hy8y2r4wX53w== 0001068800-06-001824.txt : 20061228 0001068800-06-001824.hdr.sgml : 20061228 20061228145724 ACCESSION NUMBER: 0001068800-06-001824 CONFORMED SUBMISSION TYPE: N-Q PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20061031 FILED AS OF DATE: 20061228 DATE AS OF CHANGE: 20061228 EFFECTIVENESS DATE: 20061228 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE DIMENSIONS SERIES INC CENTRAL INDEX KEY: 0000049717 IRS NUMBER: 410940846 STATE OF INCORPORATION: MN FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: N-Q SEC ACT: 1940 Act SEC FILE NUMBER: 811-01629 FILM NUMBER: 061302592 BUSINESS ADDRESS: STREET 1: 50606 AMERIPRISE FINANCIAL CENTER STREET 2: H27/5228 CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 6126714321 MAIL ADDRESS: STREET 1: 50606 AMERIPRISE FINANCIAL CENTER STREET 2: H27/5228 CITY: MINNEAPOLIS STATE: MN ZIP: 55474 FORMER COMPANY: FORMER CONFORMED NAME: RIVERSOURCE DIMENSIONS SERIES, INC. DATE OF NAME CHANGE: 20060504 FORMER COMPANY: FORMER CONFORMED NAME: AXP DIMENSIONS SERIES INC DATE OF NAME CHANGE: 20021118 FORMER COMPANY: FORMER CONFORMED NAME: AXP NEW DIMENSIONS FUND INC /MN/ DATE OF NAME CHANGE: 20000417 0000049717 S000003459 RiverSource Disciplined Small Cap Value Fund C000009585 RiverSource Disciplined Small Cap Value Fund Class A C000009586 RiverSource Disciplined Small Cap Value Fund Class B C000009587 RiverSource Disciplined Small Cap Value Fund Class C C000009588 RiverSource Disciplined Small Cap Value Fund Class I C000009589 RiverSource Disciplined Small Cap Value Fund Class Y 0000049717 S000011670 RiverSource Disciplined Small and Mid Cap Equity Fund C000032029 RiverSource Disciplined Small and Mid Cap Equity Fund Class A C000032030 RiverSource Disciplined Small and Mid Cap Equity Fund Class B C000032031 RiverSource Disciplined Small and Mid Cap Equity Fund Class C C000032032 RiverSource Disciplined Small and Mid Cap Equity Fund Class I C000032033 RiverSource Disciplined Small and Mid Cap Equity Fund Class Y N-Q 1 dimensions_nq.txt RIVERSOURCE DIMENSIONS SERIES, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number 811-1629 ------------ RIVERSOURCE DIMENSIONS SERIES, INC. - -------------------------------------------------------------------------------- (Exact name of registrant as specified in charter) 50606 Ameriprise Financial Center, Minneapolis, Minnesota 55474 - -------------------------------------------------------------------------------- (Address of principal executive offices) (Zip code) Scott R. Plummer - 5228 Ameriprise Financial Center, Minneapolis, MN 55474 - -------------------------------------------------------------------------------- (Name and address of agent for service) Registrant's telephone number, including area code: (612) 330-9283 ----------------- Date of fiscal year end: 7/31 -------------- Date of reporting period: 10/31 -------------- PORTFOLIO HOLDINGS FOR RIVERSOURCE DISCIPLINED SMALL AND MID CAP EQUITY FUND AT OCT. 31, 2006 INVESTMENTS IN SECURITIES OCT. 31, 2006 (UNAUDITED) (Percentages represent value of investments compared to net assets)
COMMON STOCKS (97.1%) ISSUER SHARES VALUE(a) AIR FREIGHT & LOGISTICS (0.2%) EGL 1,104(b) $ 37,525 Hub Group Cl A 1,016(b) 27,595 ------------ Total 65,120 - -------------------------------------------------------------------------------- AIRLINES (0.8%) Continental Airlines Cl B 1,184(b) 43,666 US Airways Group 3,232(b) 161,147 ------------ Total 204,813 - -------------------------------------------------------------------------------- AUTO COMPONENTS (2.1%) American Axle & Mfg Holdings 4,893 91,744 ArvinMeritor 2,201 33,059 Autoliv 2,802(c) 159,349 BorgWarner 1,901 109,308 Cooper Tire & Rubber 2,640 28,327 Lear 3,069 92,714 Sauer-Danfoss 1,176 31,188 TRW Automotive Holdings 1,067(b) 27,369 ------------ Total 573,058 - -------------------------------------------------------------------------------- AUTOMOBILES (0.1%) Thor Inds 462 20,245 - -------------------------------------------------------------------------------- BEVERAGES (0.4%) Hansen Natural 3,304(b) 104,902 - -------------------------------------------------------------------------------- BIOTECHNOLOGY (0.9%) Cephalon 501(b) 35,160 OSI Pharmaceuticals 4,291(b) 164,259 Vertex Pharmaceuticals 958(b) 38,895 ------------ Total 238,314 - -------------------------------------------------------------------------------- BUILDING PRODUCTS (0.8%) NCI Building Systems 566(b) 33,875 USG 3,703(b) 181,040 ------------ Total 214,915 - -------------------------------------------------------------------------------- COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) CAPITAL MARKETS (2.3%) AG Edwards 1,678 $ 95,730 American Capital Strategies 2,934 126,631 Investment Technology Group 1,329(b) 62,064 Janus Capital Group 2,236 44,899 Jefferies Group 1,793 51,513 Knight Capital Group Cl A 4,223(b) 78,759 Piper Jaffray Companies 764(b,e) 52,831 Raymond James Financial 2,079 66,237 SEI Investments 616 34,668 ------------ Total 613,332 - -------------------------------------------------------------------------------- CHEMICALS (4.6%) Albemarle 1,494 97,155 Ashland 3,013 178,068 CF Inds Holdings 3,310 65,604 Cytec Inds 928 51,402 Eastman Chemical 625 38,075 Hercules 1,638(b) 29,812 Innospec 2,881(c) 96,456 NewMarket 1,080 69,444 OM Group 1,940(b) 110,580 RPM Intl 2,075 39,736 Sensient Technologies 2,124 48,958 Westlake Chemical 9,437 297,737 WR Grace & Co 4,599(b) 61,627 Zoltek Companies 1,863(b) 46,705 ------------ Total 1,231,359 - -------------------------------------------------------------------------------- COMMERCIAL BANKS (4.3%) Associated Banc-Corp 1,451 47,651 BancorpSouth 2,194 56,057 BOK Financial 838 43,073 Chemical Financial 1,104 33,021 Chittenden 1,737 51,224 Citizens Banking 1,343 34,878 City Natl 1,196 79,606 COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) COMMERCIAL BANKS (CONT.) Commerce Bancshares 1,407 $ 69,661 F.N.B 1,551 26,258 First BanCorp 4,044(c) 40,036 First Horizon Natl 4,787 188,224 FirstMerit 4,267 99,079 Fulton Financial 3,676 58,853 Hancock Holding 668 34,268 Intl Bancshares 1,130 34,668 MB Financial 692 24,954 Mercantile Bankshares 584 26,327 Susquehanna Bancshares 1,050 26,240 TCF Financial 2,161(e) 56,251 Trustmark 2,912 92,193 Whitney Holding 1,020 33,313 ------------ Total 1,155,835 - -------------------------------------------------------------------------------- COMMERCIAL SERVICES & SUPPLIES (1.9%) Allied Waste Inds 4,254(b) 51,686 Banta 984 43,572 Corrections Corp of America 2,060(b) 94,121 Deluxe 4,316 97,844 IKON Office Solutions 1,451 21,634 Mobile Mini 845(b) 27,184 Monster Worldwide 1,134(b) 45,938 United Stationers 758(b) 36,195 Viad 1,337 49,402 Watson Wyatt Worldwide Cl A 629 28,399 ------------ Total 495,975 - -------------------------------------------------------------------------------- COMMUNICATIONS EQUIPMENT (0.9%) Ciena 2,046(b) 48,101 CommScope 2,166(b) 69,117 Finisar 5,941(b) 20,675 Redback Networks 3,772(b) 59,673 Tellabs 3,805(b) 40,105 ------------ Total 237,671 - --------------------------------------------------------------------------------
See accompanying notes to investments in securities. - ------------------------------------------------------------------------------ 1 RIVERSOURCE DISCIPLINED SMALL AND MID CAP EQUITY FUND - PORTFOLIO HOLDINGS AT OCT. 31, 2006
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) COMPUTERS & PERIPHERALS (0.2%) Brocade Communications Systems 3,422(b) $ 27,752 Diebold 815 35,600 ------------ Total 63,352 - -------------------------------------------------------------------------------- CONSTRUCTION & ENGINEERING (0.3%) EMCOR Group 1,158(b) 68,496 - -------------------------------------------------------------------------------- CONSTRUCTION MATERIALS (0.1%) Eagle Materials 634 23,268 - -------------------------------------------------------------------------------- CONSUMER FINANCE (1.6%) Advance America Cash Advance Centers 4,355 65,281 AmeriCredit 3,335(b) 85,276 Cash America Intl 1,087 44,926 Credit Acceptance 1,479(b) 49,487 First Marblehead 1,942 130,989 World Acceptance 778(b) 38,892 ------------ Total 414,851 - -------------------------------------------------------------------------------- CONTAINERS & PACKAGING (0.4%) Owens-Illinois 3,213(b) 53,336 Pactiv 2,170(b) 66,923 ------------ Total 120,259 - -------------------------------------------------------------------------------- DIVERSIFIED CONSUMER SERVICES (0.3%) INVESTools 2,804(b) 35,891 Sotheby's 1,140 43,320 ------------ Total 79,211 - -------------------------------------------------------------------------------- DIVERSIFIED FINANCIAL SERVICES (0.1%) Leucadia Natl 1,386 36,549 - -------------------------------------------------------------------------------- DIVERSIFIED TELECOMMUNICATION SERVICES (0.6%) CenturyTel 2,308 92,874 Cogent Communications Group 2,179(b) 30,855 Level 3 Communications 7,073(b) 37,416 ------------ Total 161,145 - -------------------------------------------------------------------------------- ELECTRIC UTILITIES (1.3%) Allete 1,299 58,585 Duquesne Light Holdings 1,683 33,374 Great Plains Energy 3,412 111,027 Idacorp 679 26,773 Northeast Utilities 2,903 72,604 Reliant Energy 3,836(b) 48,640 ------------ Total 351,003 - -------------------------------------------------------------------------------- ELECTRICAL EQUIPMENT (2.0%) Acuity Brands 481 23,829 Belden CDT 1,341 48,544 General Cable 1,884(b) 70,838 Genlyte Group 582(b) 44,965 Regal-Beloit 965 47,719 Superior Essex 6,417(b) 240,574 Thomas & Betts 1,071(b) 55,189 ------------ Total 531,658 - -------------------------------------------------------------------------------- ELECTRONIC EQUIPMENT & INSTRUMENTS (2.8%) Daktronics 1,488 35,280 Ingram Micro Cl A 2,429(b) 50,062 Insight Enterprises 7,165(b) 153,976 COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) ELECTRONIC EQUIPMENT & INSTRUMENTS (CONT.) Plexus 1,567(b) $ 34,349 Rofin-Sinar Technologies 333(b) 20,506 Rogers 683(b) 47,790 SYNNEX 2,760(b) 61,962 Tech Data 1,305(b) 51,352 Technitrol 2,316 58,410 Tektronix 1,985 60,284 Trimble Navigation 3,981(b) 184,001 ------------ Total 757,972 - -------------------------------------------------------------------------------- ENERGY EQUIPMENT & SERVICES (1.6%) FMC Technologies 1,261(b) 76,227 Lone Star Technologies 553(b) 26,699 NS Group 828(b) 54,118 Superior Energy Services 1,469(b) 45,980 TETRA Technologies 1,895(b) 49,081 Universal Compression Holdings 748(b) 45,074 Veritas DGC 1,212(b) 87,276 W-H Energy Services 789(b) 36,949 ------------ Total 421,404 - -------------------------------------------------------------------------------- FOOD & STAPLES RETAILING (2.0%) Andersons 1,039 37,352 BJ's Wholesale Club 3,726(b) 106,750 Pantry 652(b) 35,586 Ruddick 4,452 125,546 SUPERVALU 6,131 204,776 Weis Markets 837 33,982 ------------ Total 543,992 - -------------------------------------------------------------------------------- FOOD PRODUCTS (0.8%) Corn Products Intl 1,382 50,015 Lancaster Colony 884 35,846 Pilgrim's Pride 1,055 26,354 Seaboard 33 46,596 Smithfield Foods 2,299(b) 61,797 ------------ Total 220,608 - -------------------------------------------------------------------------------- GAS UTILITIES (0.6%) Nicor 932 42,835 ONEOK 2,210 92,003 Peoples Energy 821 35,869 ------------ Total 170,707 - -------------------------------------------------------------------------------- HEALTH CARE EQUIPMENT & SUPPLIES (1.8%) DENTSPLY Intl 957 29,935 Hillenbrand Inds 737 43,247 Intuitive Surgical 674(b) 66,847 West Pharmaceutical Services 8,316 349,605 ------------ Total 489,634 - -------------------------------------------------------------------------------- HEALTH CARE PROVIDERS & SERVICES (2.2%) AMERIGROUP 2,446(b) 73,282 Magellan Health Services 934(b) 40,760 Manor Care 1,916 91,949 Molina Healthcare 2,218(b) 87,012 Tenet Healthcare 35,603(b) 251,357 VCA Antech 1,143(b) 36,999 ------------ Total 581,359 - -------------------------------------------------------------------------------- COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) HEALTH CARE TECHNOLOGY (0.2%) Emdeon 5,211(b) $ 60,708 - -------------------------------------------------------------------------------- HOTELS, RESTAURANTS & LEISURE (0.7%) Choice Hotels Intl 1,220 51,142 Jack in the Box 733(b) 41,129 Krispy Kreme Doughnuts 3,730(b) 40,098 OSI Restaurant Partners 1,301 43,284 Ryan's Restaurant Group 1,342(b) 21,754 ------------ Total 197,407 - -------------------------------------------------------------------------------- HOUSEHOLD DURABLES (4.4%) American Greetings Cl A 1,396 33,378 Beazer Homes USA 2,154 93,354 Blyth 1,648 39,420 Ethan Allen Interiors 1,260 44,881 Furniture Brands Intl 3,057 56,860 Hovnanian Enterprises Cl A 2,022(b) 62,379 KB HOME 2,206 99,138 La-Z-Boy 1,758 21,536 Leggett & Platt 1,041 24,307 M/I Homes 658 23,635 MDC Holdings 2,008 100,119 Meritage Homes 2,553(b) 116,876 NVR 125(b) 70,188 Ryland Group 1,391 63,889 Standard-Pacific 3,003 72,763 Technical Olympic USA 2,220 24,642 Tempur-Pedic Intl 2,525(b) 49,844 Toll Brothers 5,574(b) 161,144 WCI Communities 1,493(b) 24,067 ------------ Total 1,182,420 - -------------------------------------------------------------------------------- HOUSEHOLD PRODUCTS (0.4%) Energizer Holdings 1,371(b) 107,144 - -------------------------------------------------------------------------------- INDUSTRIAL CONGLOMERATES (0.1%) Carlisle Companies 299 25,023 - -------------------------------------------------------------------------------- INSURANCE (6.2%) American Natl Insurance 194 22,504 AmerUs Group 1,406 96,283 Commerce Group 3,720 110,112 Conseco 5,877(b) 119,538 Covanta Holding 1,839(b) 37,387 Erie Indemnity Cl A 1,431 72,480 First American 2,652 108,281 HCC Insurance Holdings 1,795 60,420 LandAmerica Financial Group 937 59,115 Mercury General 1,740 90,080 Natl Western Life Insurance Cl A 188 45,092 Old Republic Intl 12,639 284,756 Protective Life 3,249 143,768 Reinsurance Group of America 1,503 84,769 StanCorp Financial Group 1,907 87,131 Transatlantic Holdings 3,624 220,846 ------------ Total 1,642,562 - -------------------------------------------------------------------------------- INTERNET SOFTWARE & SERVICES (2.0%) Akamai Technologies 5,713(b) 267,712 Digital River 2,129(b) 123,163 Equinix 576(b) 39,398 WebEx Communications 2,792(b) 107,352 ------------ Total 537,625 - --------------------------------------------------------------------------------
See accompanying notes to investments in securities. - ------------------------------------------------------------------------------ 2 RIVERSOURCE DISCIPLINED SMALL AND MID CAP EQUITY FUND - PORTFOLIO HOLDINGS AT OCT. 31, 2006
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) IT SERVICES (1.9%) BISYS Group 2,872(b) $ 31,707 Convergys 4,970(b) 105,414 MoneyGram Intl 2,119 72,491 Perot Systems Cl A 4,045(b) 59,664 Sabre Holdings Cl A 1,624 41,282 Unisys 28,462(b) 186,141 ------------ Total 496,699 - -------------------------------------------------------------------------------- LEISURE EQUIPMENT & PRODUCTS (0.6%) Brunswick 2,063 64,985 Callaway Golf 2,160 29,009 JAKKS Pacific 1,025(b) 22,232 Nautilus 2,996 42,333 ------------ Total 158,559 - -------------------------------------------------------------------------------- LIFE SCIENCES TOOLS & SERVICES (0.7%) PAREXEL Intl 5,964(b) 176,534 - -------------------------------------------------------------------------------- MACHINERY (3.0%) AGCO 2,753(b) 73,643 Bucyrus Intl Cl A 1,207 50,573 Crane 1,195 46,533 Cummins 350 44,443 Flowserve 1,195(b) 63,335 Gardner Denver 2,127(b) 72,297 Joy Global 1,295 50,647 Lincoln Electric Holdings 1,100 67,639 Manitowoc 1,280 70,246 SPX 1,761 101,293 Terex 2,455(b) 127,072 Trinity Inds 1,068 38,512 ------------ Total 806,233 - -------------------------------------------------------------------------------- MARINE (1.0%) American Commercial Lines 3,409(b) 218,688 Kirby 1,739(b) 60,917 ------------ Total 279,605 - -------------------------------------------------------------------------------- MEDIA (0.8%) Discovery Holding Cl A 3,283(b) 48,720 McClatchy Cl A 1,160 50,286 New York Times Cl A 4,878 117,901 ------------ Total 216,907 - -------------------------------------------------------------------------------- METALS & MINING (3.0%) Aleris Intl 776(b) 39,972 Allegheny Technologies 851 66,999 Carpenter Technology 619 66,227 Century Aluminum 1,037(b) 40,360 Commercial Metals 3,356 89,303 Metal Management 1,164 31,987 Oregon Steel Mills 792(b) 43,085 Quanex 7,870 263,724 Reliance Steel & Aluminum 1,206 41,426 Titanium Metals 1,263(b) 37,233 United States Steel 1,222 82,607 ------------ Total 802,923 - -------------------------------------------------------------------------------- MULTILINE RETAIL (0.8%) Big Lots 2,047(b) 43,151 Dillard's Cl A 1,085 32,734 Dollar Tree Stores 2,835(b) 88,141 Family Dollar Stores 2,083 61,344 ------------ Total 225,370 - -------------------------------------------------------------------------------- COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) MULTI-UTILITIES (1.8%) Avista 5,609 $ 144,375 CenterPoint Energy 8,314 128,701 NSTAR 767 26,684 OGE Energy 1,710 65,972 TECO Energy 4,884 80,537 WPS Resources 518 27,563 ------------ Total 473,832 - -------------------------------------------------------------------------------- OIL, GAS & CONSUMABLE FUELS (3.0%) Cimarex Energy 6,139 221,126 Frontier Oil 1,407 41,366 Holly 1,454 69,152 Houston Exploration 1,788(b) 96,838 Overseas Shipholding Group 1,841 115,155 Pogo Producing 4,562 204,150 Stone Energy 1,491(b) 58,104 ------------ Total 805,891 - -------------------------------------------------------------------------------- PAPER & FOREST PRODUCTS (0.6%) Louisiana-Pacific 8,187 161,939 - -------------------------------------------------------------------------------- PERSONAL PRODUCTS (0.1%) NBTY 1,197(b) 33,301 - -------------------------------------------------------------------------------- PHARMACEUTICALS (1.8%) Andrx 2,077(b) 51,073 King Pharmaceuticals 20,477(b) 342,580 Watson Pharmaceuticals 3,113(b) 83,771 ------------ Total 477,424 - -------------------------------------------------------------------------------- REAL ESTATE INVESTMENT TRUSTS (REITS) (6.0%) American Home Mtge Investment 1,965 67,144 Annaly Capital Management 10,963 143,834 Anthracite Capital 2,652 37,977 Anworth Mtge Asset 3,451 31,335 Apartment Investment & Management Cl A 608 34,851 Camden Property Trust 708 57,150 Essex Property Trust 289 38,518 Home Properties 624 39,418 IMPAC Mtge Holdings 7,859 74,425 iStar Financial 2,866 132,782 Longview Fibre 1,270 26,746 Luminent Mtge Capital 7,608 80,721 MFA Mtge Investments 4,475 35,442 New Century Financial 2,269 89,353 Newcastle Investment 1,244 36,909 Novastar Financial 1,672 53,370 RAIT Investment Trust 793 23,838 Redwood Trust 1,066 58,598 Saxon Capital 8,511 120,431 SL Green Realty 1,413 171,043 Thornburg Mtge 6,223 159,806 United Dominion Realty Trust 1,679 54,349 Washington Real Estate Investment Trust 637 26,850 ------------ Total 1,594,890 - -------------------------------------------------------------------------------- REAL ESTATE MANAGEMENT & DEVELOPMENT (0.7%) Forest City Enterprises Cl A 953 52,320 Jones Lang LaSalle 1,335 122,820 ------------ Total 175,140 - -------------------------------------------------------------------------------- COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) ROAD & RAIL (2.4%) Amerco 560(b) $ 51,363 Arkansas Best 5,861 240,184 Ryder System 1,713 90,189 Werner Enterprises 5,716 104,889 YRC Worldwide 4,173(b) 161,662 ------------ Total 648,287 - -------------------------------------------------------------------------------- SEMICONDUCTORS & SEMICONDUCTOR EQUIPMENT (1.7%) Agere Systems 8,163(b) 138,607 Atmel 17,869(b) 102,747 FormFactor 4,010(b) 153,101 MEMC Electronic Materials 1,347(b) 47,819 Rambus 1,128(b) 18,680 ------------ Total 460,954 - -------------------------------------------------------------------------------- SOFTWARE (2.1%) Ansoft 4,144(b) 110,479 ANSYS 444(b) 20,424 Citrix Systems 804(b) 23,742 Macrovision 1,067(b) 28,393 Mentor Graphics 11,471(b) 193,516 Nuance Communications 4,887(b) 56,396 Take-Two Interactive Software 8,696(b) 121,657 ------------ Total 554,607 - -------------------------------------------------------------------------------- SPECIALTY RETAIL (6.1%) American Eagle Outfitters 3,747 171,612 AnnTaylor Stores 1,074(b) 47,277 Asbury Automotive Group 1,169 28,056 AutoNation 7,498(b) 150,335 Blockbuster Cl A 7,245(b,e) 28,400 Borders Group 7,692 158,378 CarMax 1,332(b) 59,008 Children's Place Retail Stores 724(b) 50,818 Christopher & Banks 1,500 40,485 Dress Barn 1,747(b) 37,945 Foot Locker 5,738 133,064 Group 1 Automotive 1,750 100,293 OfficeMax 1,865 88,737 Pacific Sunwear of California 5,584(b) 98,390 Pier 1 Imports 4,513 29,515 RadioShack 3,997 71,306 Rent-A-Center 5,053(b) 145,324 Sonic Automotive 1,372 36,084 Talbots 2,190 61,408 Tween Brands 870(b) 36,383 Zale 2,243(b) 64,688 ------------ Total 1,637,506 - -------------------------------------------------------------------------------- TEXTILES, APPAREL & LUXURY GOODS (2.2%) Brown Shoe 1,000 38,960 Columbia Sportswear 1,183(b) 66,059 Deckers Outdoor 454(b) 24,139 Jones Apparel Group 6,200 207,080 Kellwood 860 26,316 Liz Claiborne 5,327 224,639 ------------ Total 587,193 - --------------------------------------------------------------------------------
See accompanying notes to investments in securities. - ------------------------------------------------------------------------------ 3 RIVERSOURCE DISCIPLINED SMALL AND MID CAP EQUITY FUND - PORTFOLIO HOLDINGS AT OCT. 31, 2006
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) THRIFTS & MORTGAGE FINANCE (3.7%) Accredited Home Lenders Holding 764(b) $ 23,378 Astoria Financial 2,681 77,776 Doral Financial 10,868(c) 49,993 Downey Financial 517 35,611 Flagstar Bancorp 1,742 26,182 Fremont General 6,127 89,026 IndyMac Bancorp 1,831 83,219 New York Community Bancorp 2,967 48,510 Ocwen Financial 1,928(b) 30,173 People's Bank 879 35,775 PMI Group 4,753 202,716 Radian Group 1,241 66,145 Triad Guaranty 717(b) 36,933 W Holding 14,557(c) 82,829 Washington Federal 2,183 50,733 Webster Financial 1,058 51,123 ------------ Total 990,122 - -------------------------------------------------------------------------------- COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) TOBACCO (0.2%) Universal 1,476 $ 54,346 - -------------------------------------------------------------------------------- TRADING COMPANIES & DISTRIBUTORS (0.5%) United Rentals 1,859(b) 44,040 WESCO Intl 1,186(b) 77,410 ------------ Total 121,450 - -------------------------------------------------------------------------------- WIRELESS TELECOMMUNICATION SERVICES (0.4%) NII Holdings 1,465(b) 95,269 - -------------------------------------------------------------------------------- TOTAL COMMON STOCKS (Cost: $26,323,055) $25,978,877 - -------------------------------------------------------------------------------- MONEY MARKET FUND (2.9%) SHARES VALUE(a) RiverSource Short-Term Cash Fund 772,820(d) $772,820 - -------------------------------------------------------------------------------- TOTAL MONEY MARKET FUND (Cost: $772,820) $772,820 - -------------------------------------------------------------------------------- TOTAL INVESTMENTS IN SECURITIES (Cost: $27,095,875)(f) $26,751,697 ================================================================================ NOTES TO INVESTMENTS IN SECURITIES (a) Securities are valued by procedures described in Note 1 to the financial statements in the most recent Annual Report dated July 31, 2006. (b) Non-income producing. (c) Foreign security values are stated in U.S. dollars. At Oct. 31, 2006, the value of foreign securities represented 1.6% of net assets. (d) Affiliated Money Market Fund - The Fund may invest its daily cash balance in RiverSource Short-Term Cash Fund, a money market fund established for the exclusive use of the RiverSource funds and other institutional clients of RiverSource Investments. (e) Partially pledged as initial margin deposit on the following open stock index futures contracts: TYPE OF SECURITY CONTRACTS -------------------------------------------------------------------------- PURCHASE CONTRACTS Russell Mini, Dec. 2006 6 S&P Mid 400 E-Mini, Dec. 2006 3 (f) At Oct. 31, 2006, the cost of securities for federal income tax purposes was approximately $27,096,000 and the approximate aggregate gross unrealized appreciation and depreciation based on that cost was: Unrealized appreciation $ 765,000 Unrealized depreciation (1,109,000) -------------------------------------------------------------------------- Net unrealized depreciation $ (344,000) --------------------------------------------------------------------------
The Global Industry Classification Standard (GICS) was developed by and is the exclusive property of Morgan Stanley Capital International Inc. and Standard & Poor's, a division of The McGraw-Hill Companies, Inc. HOW TO FIND INFORMATION ABOUT THE FUND'S PORTFOLIO HOLDINGS (i) The Fund files its complete schedule of portfolio holdings with the Securities and Exchange Commission (Commission) for the first and third quarters of each fiscal year on Form N-Q; (ii) The Fund's Forms N-Q are available on the Commission's website at http://www.sec.gov; (iii) The Fund's Forms N-Q may be reviewed and copied at the Commission's Public Reference Room in Washington, DC (information on the operations of the Public Reference Room may be obtained by calling 1-800-SEC-0330); and (iv) The Fund's complete schedule of portfolio holdings, as disclosed in its annual and semiannual shareholder reports and in its filings on Form N-Q, can be found at riversource.com/funds. - ------------------------------------------------------------------------------ 4 RIVERSOURCE DISCIPLINED SMALL AND MID CAP EQUITY FUND - PORTFOLIO HOLDINGS AT OCT. 31, 2006 S-6505-80 F (12/06) PORTFOLIO HOLDINGS FOR RIVERSOURCE DISCIPLINED SMALL CAP VALUE FUND AT OCT. 31, 2006 INVESTMENTS IN SECURITIES OCT. 31, 2006 (UNAUDITED) (Percentages represent value of investments compared to net assets)
COMMON STOCKS (97.4%) ISSUER SHARES VALUE(a) AEROSPACE & DEFENSE (0.2%) Ladish 1,354(b) $42,272 - ----------------------------------------------------------------------- AUTO COMPONENTS (2.6%) American Axle & Mfg Holdings 2,683 50,306 ArvinMeritor 2,883 43,303 Autoliv 1,475(c) 83,883 BorgWarner 1,402 80,615 Lear 3,213 97,065 Sauer-Danfoss 3,240 85,925 Shiloh Inds 2,667(b) 39,578 ---------- Total 480,675 - ----------------------------------------------------------------------- BIOTECHNOLOGY (0.3%) Savient Pharmaceuticals 6,706(b) 51,033 - ----------------------------------------------------------------------- BUILDING PRODUCTS (1.1%) Ameron Intl 751 55,011 USG 2,849(b) 139,287 ---------- Total 194,298 - ----------------------------------------------------------------------- CAPITAL MARKETS (1.8%) American Capital Strategies 1,754 75,703 Knight Capital Group Cl A 3,153(b) 58,803 LaBranche & Co 5,179(b) 45,938 Piper Jaffray Companies 1,465(b) 101,304 SWS Group 1,902 52,857 ---------- Total 334,605 - ----------------------------------------------------------------------- CHEMICALS (3.1%) Ashland 1,594 94,205 CF Inds Holdings 2,779 55,080 Innospec 2,391(c) 80,051 OM Group 2,963(b) 168,891 Sensient Technologies 4,722 108,842 WR Grace & Co 4,263(b) 57,124 ---------- Total 564,193 - ----------------------------------------------------------------------- COMMERCIAL BANKS (8.5%) BancorpSouth 3,091 78,975 Banner 1,649 71,666 Cascade Bancorp 3,027 110,364 Chemical Financial 3,741 111,893 Citizens Banking 5,005 129,980 COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) COMMERCIAL BANKS (CONT.) City Natl 1,055 $70,221 Commerce Bancshares 1,401 69,364 Community Trust Bancorp 3,168 121,588 First BanCorp 9,971(c) 98,713 First Horizon Natl 1,742 68,495 First Indiana 2,778 70,895 FirstMerit 5,243 121,742 Hancock Holding 910 46,683 Intervest Bancshares 2,138(b) 76,412 Preferred Bank 863 50,546 Susquehanna Bancshares 4,708 117,653 TCF Financial 1,823 47,453 Trustmark 2,990 94,663 Whitney Holding 777 25,377 ---------- Total 1,582,683 - ----------------------------------------------------------------------- COMMERCIAL SERVICES & SUPPLIES (4.2%) AMREP 1,100 78,760 Banta 2,061 91,261 CBIZ 8,113(b) 57,116 Deluxe 7,611 172,541 IKON Office Solutions 2,461 36,694 Layne Christensen 2,251(b) 66,337 Mobile Mini 1,216(b) 39,119 Sitel 9,858(b) 42,389 Viad 3,215 118,794 Waste Inds USA 2,210 63,692 ---------- Total 766,703 - ----------------------------------------------------------------------- COMMUNICATIONS EQUIPMENT (2.2%) Anaren 5,817(b) 116,979 Carrier Access 7,083(b) 44,340 MasTec 8,813(b) 96,502 MRV Communications 10,049(b) 34,368 Oplink Communications 5,401(b) 106,940 ---------- Total 399,129 - ----------------------------------------------------------------------- COMPUTERS & PERIPHERALS (0.4%) Brocade Communications Systems 4,281(b) 34,719 Neoware 2,758(b) 33,013 ---------- Total 67,732 - ----------------------------------------------------------------------- COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) CONSTRUCTION & ENGINEERING (1.0%) Comfort Systems USA 4,699 $54,555 EMCOR Group 1,072(b) 63,409 Perini 2,357(b) 58,265 ---------- Total 176,229 - ----------------------------------------------------------------------- CONSTRUCTION MATERIALS (0.3%) U.S. Concrete 9,511(b) 60,110 - ----------------------------------------------------------------------- CONSUMER FINANCE (1.5%) AmeriCredit 1,952(b) 49,913 Cash America Intl 2,489 102,870 Rewards Network 9,052(b) 51,234 World Acceptance 1,432(b) 71,586 ---------- Total 275,603 - ----------------------------------------------------------------------- DIVERSIFIED CONSUMER SERVICES (0.4%) INVESTools 5,224(b) 66,867 - ----------------------------------------------------------------------- DIVERSIFIED TELECOMMUNICATION SERVICES (1.1%) Alaska Communications Systems Group 3,575 51,444 Atlantic Tele-Network 1,816 35,121 CenturyTel 1,148 46,196 Cogent Communications Group 5,130(b) 72,641 ---------- Total 205,402 - ----------------------------------------------------------------------- ELECTRIC UTILITIES (0.9%) Allete 1,813 81,766 Duquesne Light Holdings 1,372 27,207 Great Plains Energy 1,997 64,982 ---------- Total 173,955 - ----------------------------------------------------------------------- ELECTRICAL EQUIPMENT (2.0%) AO Smith 1,162 40,856 Belden CDT 1,329 48,110 General Cable 1,754(b,d) 65,950 Regal-Beloit 2,175 107,554 Superior Essex 2,569(b) 96,312 ---------- Total 358,782 - ----------------------------------------------------------------------- See accompanying notes to investments in securities. - -------------------------------------------------------------------------------- 1 RIVERSOURCE DISCIPLINED SMALL CAP VALUE FUND -- PORTFOLIO HOLDINGS AT OCT. 31, 2006 COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) ELECTRONIC EQUIPMENT & INSTRUMENTS (1.6%) Rofin-Sinar Technologies 810(b) $49,880 SYNNEX 4,474(b) 100,441 Technitrol 3,693 93,137 TTM Technologies 3,551(b) 43,145 ---------- Total 286,603 - ----------------------------------------------------------------------- ENERGY EQUIPMENT & SERVICES (0.6%) NS Group 897(b) 58,628 Universal Compression Holdings 857(b) 51,643 ---------- Total 110,271 - ----------------------------------------------------------------------- FOOD & STAPLES RETAILING (1.8%) Pantry 898(b) 49,013 Ruddick 3,235 91,227 Spartan Stores 2,706 55,960 SUPERVALU 2,816 94,054 Weis Markets 1,005 40,803 ---------- Total 331,057 - ----------------------------------------------------------------------- FOOD PRODUCTS (1.3%) Imperial Sugar 2,072 54,970 Lance 5,109 99,728 Pilgrim's Pride 1,577 39,393 Smithfield Foods 1,427(b) 38,358 ---------- Total 232,449 - ----------------------------------------------------------------------- GAS UTILITIES (0.3%) Nicor 727 33,413 Peoples Energy 651 28,442 ---------- Total 61,855 - ----------------------------------------------------------------------- HEALTH CARE EQUIPMENT & SUPPLIES (0.3%) Hillenbrand Inds 824 48,352 - ----------------------------------------------------------------------- HEALTH CARE PROVIDERS & SERVICES (2.3%) Air Methods 1,737(b) 42,035 Alliance Imaging 6,002(b) 50,777 AMERIGROUP 1,567(b) 46,947 CorVel 1,565(b) 67,686 Emeritus 1,784(b) 42,816 Molina Healthcare 3,184(b) 124,909 Tenet Healthcare 5,632(b) 39,762 ---------- Total 414,932 - ----------------------------------------------------------------------- HOTELS, RESTAURANTS & LEISURE (1.1%) Ambassadors Intl 1,779 69,381 Bally Total Fitness Holding 17,441(b) 49,009 Bob Evans Farms 1,229 41,675 Ryan's Restaurant Group 2,180(b) 35,338 ---------- Total 195,403 - ----------------------------------------------------------------------- HOUSEHOLD DURABLES (4.7%) Beazer Homes USA 2,231 96,692 Blyth 1,775 42,458 Ethan Allen Interiors 1,289(d) 45,914 Furniture Brands Intl 1,887 35,098 Hovnanian Enterprises Cl A 1,996(b) 61,577 KB HOME 1,978 88,891 La-Z-Boy 2,083 25,517 M/I Homes 734 26,365 MDC Holdings 1,933 96,379 Meritage Homes 1,266(b) 57,957 Ryland Group 1,296 59,525 COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) HOUSEHOLD DURABLES (CONT.) Standard-Pacific 2,691 $65,203 Technical Olympic USA 3,106 34,477 Toll Brothers 4,039(b) 116,768 ---------- Total 852,821 - ----------------------------------------------------------------------- INSURANCE (7.2%) Alfa 2,791 51,550 AmerUs Group 1,402 96,009 CNA Surety 3,065(b) 62,342 Commerce Group 3,668 108,573 EMC Insurance Group 3,767 115,535 First American 2,295 93,705 LandAmerica Financial Group 802 50,598 Mercury General 1,384 71,650 Natl Western Life Insurance Cl A 185 44,372 Old Republic Intl 5,077 114,385 Presidential Life 3,482 82,175 Protective Life 2,145 94,916 Reinsurance Group of America 917 51,719 Safety Insurance Group 1,132 56,611 SCPIE Holdings 1,006(b) 28,218 StanCorp Financial Group 1,602 73,195 Stewart Information Services 821 30,426 Transatlantic Holdings 1,888 115,055 ---------- Total 1,341,034 - ----------------------------------------------------------------------- INTERNET SOFTWARE & SERVICES (0.3%) SonicWALL 4,973(b) 52,217 - ----------------------------------------------------------------------- IT SERVICES (2.1%) Convergys 4,596(b) 97,482 iGATE 8,596(b) 48,567 Infocrossing 3,961(b) 50,027 Lightbridge 8,758(b) 101,243 StarTek 6,371 86,900 ---------- Total 384,219 - ----------------------------------------------------------------------- LEISURE EQUIPMENT & PRODUCTS (0.6%) Brunswick 1,717 54,085 JAKKS Pacific 2,475(b) 53,683 ---------- Total 107,768 - ----------------------------------------------------------------------- MACHINERY (2.1%) AGCO 2,289(b) 61,231 Ampco-Pittsburgh 1,330 44,156 Cascade 1,491 76,340 Crane 1,013 39,446 Flowserve 724(b) 38,372 Mueller Inds 1,417 51,961 SPX 1,245 71,612 ---------- Total 383,118 - ----------------------------------------------------------------------- MEDIA (0.3%) New York Times Cl A 2,587 62,528 - ----------------------------------------------------------------------- METALS & MINING (3.8%) AM Castle & Co 1,822 60,928 Century Aluminum 1,748(b) 68,032 Commercial Metals 2,773 73,790 Metal Management 3,710 101,951 Olympic Steel 2,919 72,070 Quanex 3,391 113,631 Reliance Steel & Aluminum 1,193 40,980 COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) METALS & MINING (CONT.) Ryerson 2,206 $53,165 Stillwater Mining 4,488(b,d) 48,246 Wheeling-Pittsburgh 2,955(b) 58,420 ---------- Total 691,213 - ----------------------------------------------------------------------- MULTILINE RETAIL (0.8%) Dollar Tree Stores 2,807(b) 87,269 Family Dollar Stores 2,030 59,784 ---------- Total 147,053 - ----------------------------------------------------------------------- MULTI-UTILITIES (1.3%) Avista 4,893 125,946 CenterPoint Energy 3,513 54,381 TECO Energy 3,112 51,317 ---------- Total 231,644 - ----------------------------------------------------------------------- OIL, GAS & CONSUMABLE FUELS (1.7%) Cimarex Energy 1,553 55,939 Houston Exploration 589(b) 31,900 Overseas Shipholding Group 1,189 74,372 Stone Energy 2,105(b) 82,032 Swift Energy 1,276(b) 59,615 ---------- Total 303,858 - ----------------------------------------------------------------------- PAPER & FOREST PRODUCTS (0.3%) Schweitzer-Mauduit Intl 2,094 48,288 - ----------------------------------------------------------------------- PHARMACEUTICALS (1.4%) King Pharmaceuticals 7,112(b) 118,984 New River Pharmaceuticals 2,657(b) 135,135 ---------- Total 254,119 - ----------------------------------------------------------------------- REAL ESTATE INVESTMENT TRUSTS (REITS) (8.7%) American Home Mtge Investment 2,025 69,194 Annaly Capital Management 8,542 112,071 Anthracite Capital 8,647 123,825 Anworth Mtge Asset 9,310 84,535 FelCor Lodging Trust 5,405 112,208 IMPAC Mtge Holdings 9,844 93,223 iStar Financial 1,182 54,762 Luminent Mtge Capital 7,480 79,363 MFA Mtge Investments 13,901 110,096 New Century Financial 2,885 113,611 Newcastle Investment 2,043 60,616 NorthStar Realty Finance 8,002 121,230 RAIT Investment Trust 3,805 114,378 Redwood Trust 2,341 128,686 Saxon Capital 8,836 125,029 Thornburg Mtge 4,540 116,587 ---------- Total 1,619,414 - ----------------------------------------------------------------------- REAL ESTATE MANAGEMENT & DEVELOPMENT (0.6%) Trammell Crow 2,158(b) 105,203 - ----------------------------------------------------------------------- ROAD & RAIL (2.6%) Amerco 493(b) 45,218 Arkansas Best 1,161 47,578 Marten Transport 2,298(b) 39,089 P.A.M. Transportation Services 1,760(b) 44,563 Ryder System 1,212 63,812 Saia 1,679(b) 44,997 U.S. Xpress Enterprises Cl A 2,314(b) 45,678 Werner Enterprises 1,928 35,379 YRC Worldwide 2,837(b) 109,905 ---------- Total 476,219 - ----------------------------------------------------------------------- See accompanying notes to investments in securities. - -------------------------------------------------------------------------------- 2 RIVERSOURCE DISCIPLINED SMALL CAP VALUE FUND -- PORTFOLIO HOLDINGS AT OCT. 31, 2006 COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) SEMICONDUCTORS & SEMICONDUCTOR EQUIPMENT (0.5%) Atmel 8,493(b) $48,835 Zoran 3,170(b) 44,126 ---------- Total 92,961 - ----------------------------------------------------------------------- SOFTWARE (3.9%) Actuate 16,335(b) 85,269 Aspen Technology 8,758(b) 87,755 Blackbaud 4,446 111,150 Intergraph 2,196(b) 95,943 Macrovision 5,092(b) 135,499 Mentor Graphics 6,316(b) 106,551 NetScout Systems 6,813(b) 55,117 OPNET Technologies 2,449(b) 35,804 ---------- Total 713,088 - ----------------------------------------------------------------------- SPECIALTY RETAIL (4.2%) AutoNation 4,964(b) 99,528 Books-A-Million 2,702 54,013 Borders Group 3,565 73,403 Foot Locker 3,183 73,814 Group 1 Automotive 1,913 109,634 Pier 1 Imports 3,766 24,630 RadioShack 2,616 46,669 Rent-A-Center 3,908(b) 112,394 Sonic Automotive 1,852 48,708 COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) SPECIALTY RETAIL (CONT.) Talbots 2,121 $59,473 Zale 2,079(b) 59,958 ---------- Total 762,224 - ----------------------------------------------------------------------- TEXTILES, APPAREL & LUXURY GOODS (3.2%) Brown Shoe 921 35,882 Columbia Sportswear 1,355(b) 75,663 Deckers Outdoor 1,247(b) 66,303 Jones Apparel Group 3,440 114,896 Kellwood 1,018 31,151 Liz Claiborne 2,879 121,407 Skechers USA Cl A 4,844(b) 144,788 ---------- Total 590,090 - ----------------------------------------------------------------------- THRIFTS & MORTGAGE FINANCE (5.1%) Accredited Home Lenders Holding 1,756(b) 53,734 Astoria Financial 1,620 46,996 Citizens First Bancorp 2,220 65,201 City Bank Lynnwood 1,092 58,684 Doral Financial 13,361(c) 61,461 Flagstar Bancorp 6,414 96,402 Fremont General 5,802 84,303 IndyMac Bancorp 1,123 51,040 Ocwen Financial 6,989(b) 109,378 COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) THRIFTS & MORTGAGE FINANCE (CONT.) PMI Group 2,635 $112,383 Triad Guaranty 1,784(b) 91,894 W Holding 14,110(c) 80,286 Washington Federal 2,037 47,340 ---------- Total 959,102 - ----------------------------------------------------------------------- TOBACCO (0.6%) Universal 2,776 102,212 - ----------------------------------------------------------------------- WIRELESS TELECOMMUNICATION SERVICES (0.5%) @Road 15,854(b) 99,722 - ----------------------------------------------------------------------- TOTAL COMMON STOCKS (Cost: $17,305,834) $17,861,308 - ----------------------------------------------------------------------- MONEY MARKET FUND (2.7%) SHARES VALUE(a) RiverSource Short-Term Cash Fund 495,219(e) $495,219 - ----------------------------------------------------------------------- TOTAL MONEY MARKET FUND (Cost: $495,219) $495,219 - ----------------------------------------------------------------------- TOTAL INVESTMENTS IN SECURITIES (Cost: $17,801,053)(f) $18,356,527 ======================================================================= NOTES TO INVESTMENTS IN SECURITIES (a) Securities are valued by procedures described in Note 1 to the financial statements in the most recent Annual Report dated July 31, 2006. (b) Non-income producing. (c) Foreign security values are stated in U.S. dollars. At Oct. 31, 2006, the value of foreign securities represented 2.2% of net assets. (d) Partially pledged as initial margin deposit on the following open stock index futures contracts: TYPE OF SECURITY CONTRACTS ------------------------------------------------------------------------ PURCHASE CONTRACTS Russell Mini, Dec 2006 6 (e) Affiliated Money Market Fund -- The Fund may invest its daily cash balance in RiverSource Short-Term Cash Fund, a money market fund established for the exclusive use of the RiverSource funds and other institutional clients of RiverSource Investments. (f) At Oct. 31, 2006, the cost of securities for federal income tax purposes was approximately $17,801,000 and the approximate aggregate gross unrealized appreciation and depreciation based on that cost was: Unrealized appreciation $ 1,562,000 Unrealized depreciation (1,006,000) ------------------------------------------------------------------------- Net unrealized appreciation $ 556,000 -------------------------------------------------------------------------
The Global Industry Classification Standard (GICS) was developed by and is the exclusive property of Morgan Stanley Capital International Inc. and Standard & Poor's, a division of The McGraw-Hill Companies, Inc. HOW TO FIND INFORMATION ABOUT THE FUND'S PORTFOLIO HOLDINGS (i) The Fund files its complete schedule of portfolio holdings with the Securities and Exchange Commission (Commission) for the first and third quarters of each fiscal year on Form N-Q; (ii) The Fund's Forms N-Q are available on the Commission's website at http://www.sec.gov; (iii) The Fund's Forms N-Q may be reviewed and copied at the Commission's Public Reference Room in Washington, DC (information on the operations of the Public Reference Room may be obtained by calling 1-800-SEC-0330); and (iv) The Fund's complete schedule of portfolio holdings, as disclosed in its annual and semiannual shareholder reports and in its filings on Form N-Q, can be found at riversource.com/funds. - -------------------------------------------------------------------------------- 3 RIVERSOURCE DISCIPLINED SMALL CAP VALUE FUND -- PORTFOLIO HOLDINGS AT OCT. 31, 2006 S-6397-80 F (12/06) Item 2. Control and Procedures. (a) Based upon their evaluation of the registrant's disclosure controls and procedures as conducted within 90 days of the filing date of this report, the registrant's principal financial officer and principal executive officer have concluded that those disclosure controls and procedures provide reasonable assurance that the material information required to be disclosed by the registrant on this report is recorded, processed, summarized and reported within the time periods specified in the Securities and Exchange Commission's rules and forms. (b) There were no changes in the registrant's internal control over financial reporting that occurred during the registrant's last fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting. Item 3. Exhibits. Separate certification for the Registrant's principal executive officer and principal financial officer as required by Rule 30a-2(a) under the Investment Company Act of 1940. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. (Registrant) RiverSource Dimensions Series, Inc. By /s/ Patrick T. Bannigan ----------------------- Patrick T. Bannigan President and Principal Executive Officer Date December 28, 2006 Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated. By /s/ Patrick T. Bannigan ----------------------- Patrick T. Bannigan President and Principal Executive Officer Date December 28, 2006 By /s/ Jeffrey P. Fox ----------------------- Jeffrey P. Fox Treasurer and Principal Financial Officer Date December 28, 2006 EX-99.CERT 2 dimensions_ex99cert.txt CERTIFICATION PURSUANT TO 270.30A-2 OF THE INVESTMENT COMPANY ACT OF 1940 Certification Pursuant to 270.30a-2 of the Investment Company Act of 1940 I, Patrick T. Bannigan, certify that: 1. I have reviewed this report on Form N-Q of RiverSource Dimensions Series, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the schedule of investments included in this report, fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed; 4. The registrant's other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have: a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principals; c) Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures as of a date within 90 days prior to the filing date of this report based on such evaluation and d) Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and 5. The registrant's other certifying officer and I have disclosed, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting. Date: December 20, 2006 /s/ Patrick T. Bannigan ------------------- Name: Patrick T. Bannigan Title: President and Principal Executive Officer Certification Pursuant to 270.30a-2 of the Investment Company Act of 1940 I, Jeffrey P. Fox, certify that: 1. I have reviewed this report on Form N-Q of RiverSource Dimensions Series, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the schedule of investments included in this report, fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed; 4. The registrant's other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have: a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principals; c) Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures as of a date within 90 days prior to the filing date of this report based on such evaluation and d) Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and 5. The registrant's other certifying officer and I have disclosed, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting. Date: December 20, 2006 /s/ Jeffrey P. Fox -------------- Name: Jeffrey P. Fox Title: Treasurer and Principal Financial Officer -----END PRIVACY-ENHANCED MESSAGE-----