Nuveen Floating Rate Income Opportunity Fund
JRODelisted Jul 31, 2023- SEC CIK
- 0001289213
Nuveen Floating Rate Income Opportunity Fund was delisted on Jul 31, 2023; its insiders filed their last Form 4 on May 13, 2022; 97 institutions reported holding it in 13F filings for Q2 2023, worth $92.8M in total; Oaktree Capital was the only superinvestor holding it.
13F holders, Q3 2021
Institutional positions in Nuveen Floating Rate Income Opportunity Fund as of Sep 30, 2021. Investment managers with $100 million or more in US stocks report their long positions on Form 13F within 45 days after each quarter ends. How 13F works
- Institutional holders
- 86
- −3 vs. Q2 2021
- Shares held
- 13.9M
- −1.85M (−11.8%) vs. Q2 2021
- Total value
- $138.3M
- −$15.0M (−9.8%) vs. Q2 2021
- New holders
- 3
- 31 more added
- Sold out
- 6
- 31 more reduced
Compare with Q2 2021: new holders, sold out and not filed yet
Holders and value by quarter
Institutions reporting JRO on Form 13F each quarter since Q1 2021, and the total value they reported. Values are as of each quarter end, so they also move with the share price.
| Quarter | Holders | Value |
|---|---|---|
| Q2 2026 | 1 | $8 |
| Q1 2026 | 1 | $8 |
| Q4 2025 | 1 | $8 |
| Q3 2025 | 1 | $8 |
| Q2 2025 | 1 | $8 |
| Q1 2025 | 1 | $8 |
| Q4 2024 | 1 | $8 |
| Q3 2024 | 1 | $8 |
| Q2 2024 | 1 | $8 |
| Q1 2024 | 1 | $8 |
| Q4 2023 | 1 | $8 |
| Q3 2023 | 3 | $4.18K |
| Q2 2023 | 97 | $92.8M |
| Q1 2023 | 96 | $91.9M |
| Q4 2022 | 90 | $85.2M |
| Q3 2022 | 76 | $86.4M |
| Q2 2022 | 81 | $87.6M |
| Q1 2022 | 75 | $98.8M |
| Q4 2021 | 84 | $117.7M |
| Q3 2021 | 86 | $138.3M |
| Q2 2021 | 89 | $153.2M |
| Q1 2021 | 85 | $171.6M |
Institutions, Q3 2021
Shares, value and share of portfolio for each institution holding Nuveen Floating Rate Income Opportunity Fund; share changes are against Q2 2021.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Bank of America Corp | 2,136,249 | $21.3M | 0.00% | +106,917+5.3% | Added |
| Saba Capital Management, L.P. | 1,660,546 | $16.6M | 0.53% | −1,686,581−50.4% | Reduced |
| Morgan Stanley | 1,401,521 | $14.0M | 0.00% | +147,319+11.7% | Added |
| Rivernorth Capital Management, LLC | 1,184,348 | $11.8M | 0.63% | +884,542+295.0% | Added |
| Sit Investment Associates Inc | 729,865 | $7.28M | 0.19% | −36,702−4.8% | Reduced |
| Guggenheim Capital LLC | 645,851 | $6.45M | 0.04% | +18,411+2.9% | Added |
| Capital Investment Advisors, LLC | 561,273 | $5.60M | 0.19% | +38,784+7.4% | Added |
| Advisors Asset Management, Inc. | 469,000 | $4.68M | 0.07% | −15,979−3.3% | Reduced |
| 1607 Capital Partners, LLC | 371,800 | $3.71M | 0.19% | 00.0% | Unchanged |
| Goldman Sachs Group Inc | 348,796 | $3.48M | 0.00% | 00.0% | Unchanged |
| Next Capital Management LLC | 302,016 | $3.02M | 2.19% | −14,862−4.7% | Reduced |
| Eaton Vance Management | 274,352 | $2.74M | 0.00% | 00.0% | Unchanged |
| LPL Financial LLC | 259,395 | $2.59M | 0.00% | +141,079+119.2% | Added |
| Shaker Financial Services, LLC | 212,370 | $2.12M | 0.85% | +42,447+25.0% | Added |
| RFG Advisory, LLC | 192,994 | $1.93M | 0.16% | +2,727+1.4% | Added |
| Thomas J. Herzfeld Advisors, Inc. | 182,277 | $1.82M | 0.80% | +4,442+2.5% | Added |
| UBS Group AG | 178,295 | $1.78M | 0.00% | −2,828−1.6% | Reduced |
| Invesco Ltd. | 174,723 | $1.74M | 0.00% | +47,865+37.7% | Added |
| Envestnet Asset Management Inc | 165,930 | $1.66M | 0.00% | +12,704+8.3% | Added |
| Parametric Portfolio Associates LLC | 161,747 | $1.61M | 0.00% | +6,207+4.0% | Added |
| Aviance Capital Partners, LLC | 161,720 | $1.61M | 0.29% | +7,782+5.1% | Added |
| Royal Bank of Canada | 146,246 | $1.46M | 0.00% | −6,066−4.0% | Reduced |
| Wells Fargo & Company | 142,713 | $1.42M | 0.00% | −3,445−2.4% | Reduced |
| Raymond James & Associates | 131,958 | $1.32M | 0.00% | −38,178−22.4% | Reduced |
| Park Avenue Securities LLC | 105,248 | $1.05M | 0.02% | +7,668+7.9% | Added |
| Mid Atlantic Financial Management Inc | 91,100 | $909.0K | 0.06% | −27,800−23.4% | Reduced |
| Wela Strategies, Inc. | 88,754 | $886.0K | 0.46% | −22,448−20.2% | Reduced |
| Pekin Hardy Strauss, Inc. | 77,255 | $771.0K | 0.11% | +4,500+6.2% | Added |
| Cohen & Steers, Inc. | 76,620 | $765.0K | 0.00% | −70,000−47.7% | Reduced |
| FourThought Financial, LLC | 71,581 | $714.0K | 0.10% | +51,342+253.7% | Added |
| Dynamic Advisor Solutions LLC | 68,811 | $687.0K | 0.05% | −12,913−15.8% | Reduced |
| 6 Meridian | 64,359 | $642.0K | 0.05% | −18,450−22.3% | Reduced |
| Ameriprise Financial Inc | 60,954 | $608.0K | 0.00% | −3,356−5.2% | Reduced |
| Horizon Kinetics Asset Management LLC | 56,984 | $569.0K | 0.01% | −2,185−3.7% | Reduced |
| D.A. Davidson & Co. | 55,070 | $550.0K | 0.01% | +40,784+285.5% | Added |
| Kestra Advisory Services, LLC | 51,555 | $515.0K | 0.01% | +39,345+322.2% | Added |
| Virtus ETF Advisers LLC | 50,876 | $508.0K | 0.22% | −1,822−3.5% | Reduced |
| Advisor Group Holdings, Inc. | 48,687 | $487.0K | 0.00% | −4,837−9.0% | Reduced |
| Zazove Associates LLC | 46,255 | $462.0K | 0.04% | 00.0% | Unchanged |
| Raymond James Financial Services Advisors, Inc. | 43,923 | $438.0K | 0.00% | −1,974−4.3% | Reduced |
| Stifel Financial Corp | 43,025 | $429.0K | 0.00% | −189−0.4% | Reduced |
| Congress Park Capital LLC | 42,500 | $424.0K | 0.22% | +18,500+77.1% | Added |
| Commonwealth Equity Services, LLC | 41,848 | $417.0K | 0.00% | +11,555+38.1% | Added |
| Kovack Advisors, Inc. | 40,647 | $406.0K | 0.04% | −3,345−7.6% | Reduced |
| Wedbush Securities Inc | 40,600 | $405.0K | 0.02% | +3,200+8.6% | Added |
| ProVise Management Group, LLC | 39,255 | $392.0K | 0.04% | +12,000+44.0% | Added |
| Truist Financial Corp | 35,245 | $352.0K | 0.00% | +970+2.8% | Added |
| Cambridge Investment Research Advisors, Inc. | 26,450 | $264.0K | 0.00% | +15,011+131.2% | Added |
| Sigma Planning Corp | 22,596 | $226.0K | 0.01% | +8,191+56.9% | Added |
| Integrated Capital Management, Inc. | 19,748 | $197.0K | 0.16% | +2,583+15.0% | Added |
| National Asset Management, Inc. | 16,075 | $161.0K | 0.01% | −118−0.7% | Reduced |
| Jaffetilchin Investment Partners, LLC | 15,144 | $151.0K | 0.02% | −2,799−15.6% | Reduced |
| Ameritas Investment Company, LLC | 14,523 | $145.0K | 0.01% | +9+0.1% | Added |
| Sheets Smith Wealth Management | 14,400 | $144.0K | 0.02% | 00.0% | Unchanged |
| Oppenheimer & Co Inc | 14,270 | $142.0K | 0.00% | +69+0.5% | Added |
| Belpointe Asset Management LLC | 14,050 | $140.0K | 0.01% | −5,450−27.9% | Reduced |
| Transform Wealth, LLC | 13,342 | $133.0K | 0.02% | 00.0% | Unchanged |
| Family Management Corp | 12,513 | $125.0K | 0.03% | 00.0% | Unchanged |
| Koshinski Asset Management, Inc. | 12,053 | $120.3K | 0.01% | 00.0% | Unchanged |
| Apollon Wealth Management, LLC | 11,893 | $119.0K | 0.02% | +208+1.8% | Added |
| FNY Investment Advisers, LLC | 11,817 | $117.0K | 0.05% | −18,183−60.6% | Reduced |
| Klingman & Associates, LLC | 10,510 | $105.0K | 0.01% | 00.0% | Unchanged |
| Two Sigma Securities, LLC | 10,503 | $105.0K | 0.02% | +10,503 | New |
| The PNC Financial Services Group, Inc. | 10,185 | $102.0K | 0.00% | 00.0% | Unchanged |
| Stratos Wealth Partners, LTD. | 10,123 | $101.0K | 0.00% | 00.0% | Unchanged |
| Camden Capital, LLC | 10,081 | $101.0K | 0.02% | +10,081 | New |
| GPS Wealth Strategies Group, LLC | 9,525 | $95.0K | 0.02% | −4,000−29.6% | Reduced |
| NEXT Financial Group, Inc | 6,800 | $68.0K | 0.01% | 00.0% | Unchanged |
| Cullen/Frost Bankers, Inc. | 5,000 | $50.0K | 0.00% | 00.0% | Unchanged |
| Steward Partners Investment Advisory, LLC | 5,044 | $50.0K | 0.00% | 00.0% | Unchanged |
| Gradient Investments LLC | 4,098 | $41.0K | 0.00% | −84−2.0% | Reduced |
| Northwestern Mutual Wealth Management Co | 3,178 | $32.0K | 0.00% | +3,178 | New |
| Hexagon Capital Partners LLC | 2,955 | $29.0K | 0.01% | 00.0% | Unchanged |
| American Portfolios Advisors | 2,000 | $20.0K | 0.00% | 00.0% | Unchanged |
| Proequities, Inc. | 1,500 | $15.0K | 0.00% | +500+50.0% | Added |
| Accel Wealth Management | 1,079 | $11.0K | 0.01% | +475+78.6% | Added |
| Princeton Global Asset Management LLC | 1,040 | $10.0K | 0.00% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 1,000 | $9.00K | 0.00% | 00.0% | Unchanged |
| CoreFirst Bank & Trust | 832 | $8.00K | 0.01% | 00.0% | Unchanged |
| Security National Trust Co | 758 | $7.00K | 0.00% | 00.0% | Unchanged |
| Robinson Capital Management, LLC | 350 | $3.00K | 0.00% | −84,431−99.6% | Reduced |
| McIlrath & Eck, LLC | 250 | $2.00K | 0.00% | −1,050−80.8% | Reduced |
| Lindbrook Capital, LLC | 28 | $0 | 0.00% | −1,194,279−100.0% | Reduced |
| Signaturefd, LLC | 9 | $0 | 0.00% | −1,543−99.4% | Reduced |
| Citigroup Inc | 9 | $0 | 0.00% | −1,126−99.2% | Reduced |
| Loring Wolcott & Coolidge Fiduciary Advisors LLP | 14 | $0 | 0.00% | 00.0% | Unchanged |
| Mariner Investment Group LLC | 0 | $0 | 0.00% | −129,585−100.0% | Sold out |
| Bulldog Investors, LLP | 0 | $0 | 0.00% | −100,345−100.0% | Sold out |
| Ieq Capital, LLC | 0 | $0 | 0.00% | −15,836−100.0% | Sold out |
| Cetera Advisor Networks LLC | 0 | $0 | 0.00% | −12,000−100.0% | Sold out |
| Strategic Blueprint, LLC | 0 | $0 | 0.00% | −4,700−100.0% | Sold out |
| Panagora Asset Management Inc | 0 | $0 | 0.00% | −39−100.0% | Sold out |