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 |
|---|---|---|---|---|---|
| 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 |
| McIlrath & Eck, LLC | 250 | $2.00K | 0.00% | −1,050−80.8% | Reduced |
| Robinson Capital Management, LLC | 350 | $3.00K | 0.00% | −84,431−99.6% | Reduced |
| Security National Trust Co | 758 | $7.00K | 0.00% | 00.0% | Unchanged |
| CoreFirst Bank & Trust | 832 | $8.00K | 0.01% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 1,000 | $9.00K | 0.00% | 00.0% | Unchanged |
| Princeton Global Asset Management LLC | 1,040 | $10.0K | 0.00% | 00.0% | Unchanged |
| Accel Wealth Management | 1,079 | $11.0K | 0.01% | +475+78.6% | Added |
| Proequities, Inc. | 1,500 | $15.0K | 0.00% | +500+50.0% | Added |
| American Portfolios Advisors | 2,000 | $20.0K | 0.00% | 00.0% | Unchanged |
| Hexagon Capital Partners LLC | 2,955 | $29.0K | 0.01% | 00.0% | Unchanged |
| Northwestern Mutual Wealth Management Co | 3,178 | $32.0K | 0.00% | +3,178 | New |
| Gradient Investments LLC | 4,098 | $41.0K | 0.00% | −84−2.0% | Reduced |
| 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 |
| NEXT Financial Group, Inc | 6,800 | $68.0K | 0.01% | 00.0% | Unchanged |
| GPS Wealth Strategies Group, LLC | 9,525 | $95.0K | 0.02% | −4,000−29.6% | Reduced |
| 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 |
| The PNC Financial Services Group, Inc. | 10,185 | $102.0K | 0.00% | 00.0% | Unchanged |
| 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 |
| FNY Investment Advisers, LLC | 11,817 | $117.0K | 0.05% | −18,183−60.6% | Reduced |
| Apollon Wealth Management, LLC | 11,893 | $119.0K | 0.02% | +208+1.8% | Added |
| Koshinski Asset Management, Inc. | 12,053 | $120.3K | 0.01% | 00.0% | Unchanged |
| Family Management Corp | 12,513 | $125.0K | 0.03% | 00.0% | Unchanged |
| Transform Wealth, LLC | 13,342 | $133.0K | 0.02% | 00.0% | Unchanged |
| Belpointe Asset Management LLC | 14,050 | $140.0K | 0.01% | −5,450−27.9% | Reduced |
| Oppenheimer & Co Inc | 14,270 | $142.0K | 0.00% | +69+0.5% | Added |
| Sheets Smith Wealth Management | 14,400 | $144.0K | 0.02% | 00.0% | Unchanged |
| Ameritas Investment Company, LLC | 14,523 | $145.0K | 0.01% | +9+0.1% | Added |
| Jaffetilchin Investment Partners, LLC | 15,144 | $151.0K | 0.02% | −2,799−15.6% | Reduced |
| National Asset Management, Inc. | 16,075 | $161.0K | 0.01% | −118−0.7% | Reduced |
| Integrated Capital Management, Inc. | 19,748 | $197.0K | 0.16% | +2,583+15.0% | Added |
| Sigma Planning Corp | 22,596 | $226.0K | 0.01% | +8,191+56.9% | Added |
| Cambridge Investment Research Advisors, Inc. | 26,450 | $264.0K | 0.00% | +15,011+131.2% | Added |
| Truist Financial Corp | 35,245 | $352.0K | 0.00% | +970+2.8% | Added |
| ProVise Management Group, LLC | 39,255 | $392.0K | 0.04% | +12,000+44.0% | Added |
| Wedbush Securities Inc | 40,600 | $405.0K | 0.02% | +3,200+8.6% | Added |
| Kovack Advisors, Inc. | 40,647 | $406.0K | 0.04% | −3,345−7.6% | Reduced |
| Commonwealth Equity Services, LLC | 41,848 | $417.0K | 0.00% | +11,555+38.1% | Added |
| Congress Park Capital LLC | 42,500 | $424.0K | 0.22% | +18,500+77.1% | Added |
| Stifel Financial Corp | 43,025 | $429.0K | 0.00% | −189−0.4% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 43,923 | $438.0K | 0.00% | −1,974−4.3% | Reduced |
| Zazove Associates LLC | 46,255 | $462.0K | 0.04% | 00.0% | Unchanged |
| Advisor Group Holdings, Inc. | 48,687 | $487.0K | 0.00% | −4,837−9.0% | Reduced |
| Virtus ETF Advisers LLC | 50,876 | $508.0K | 0.22% | −1,822−3.5% | Reduced |
| Kestra Advisory Services, LLC | 51,555 | $515.0K | 0.01% | +39,345+322.2% | Added |
| D.A. Davidson & Co. | 55,070 | $550.0K | 0.01% | +40,784+285.5% | Added |
| Horizon Kinetics Asset Management LLC | 56,984 | $569.0K | 0.01% | −2,185−3.7% | Reduced |
| Ameriprise Financial Inc | 60,954 | $608.0K | 0.00% | −3,356−5.2% | Reduced |
| 6 Meridian | 64,359 | $642.0K | 0.05% | −18,450−22.3% | Reduced |
| Dynamic Advisor Solutions LLC | 68,811 | $687.0K | 0.05% | −12,913−15.8% | Reduced |
| FourThought Financial, LLC | 71,581 | $714.0K | 0.10% | +51,342+253.7% | Added |
| Cohen & Steers, Inc. | 76,620 | $765.0K | 0.00% | −70,000−47.7% | Reduced |
| Pekin Hardy Strauss, Inc. | 77,255 | $771.0K | 0.11% | +4,500+6.2% | Added |
| Wela Strategies, Inc. | 88,754 | $886.0K | 0.46% | −22,448−20.2% | Reduced |
| Mid Atlantic Financial Management Inc | 91,100 | $909.0K | 0.06% | −27,800−23.4% | Reduced |
| Park Avenue Securities LLC | 105,248 | $1.05M | 0.02% | +7,668+7.9% | Added |
| Raymond James & Associates | 131,958 | $1.32M | 0.00% | −38,178−22.4% | Reduced |
| Wells Fargo & Company | 142,713 | $1.42M | 0.00% | −3,445−2.4% | Reduced |
| Royal Bank of Canada | 146,246 | $1.46M | 0.00% | −6,066−4.0% | Reduced |
| 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 |
| Envestnet Asset Management Inc | 165,930 | $1.66M | 0.00% | +12,704+8.3% | Added |
| Invesco Ltd. | 174,723 | $1.74M | 0.00% | +47,865+37.7% | Added |
| UBS Group AG | 178,295 | $1.78M | 0.00% | −2,828−1.6% | Reduced |
| Thomas J. Herzfeld Advisors, Inc. | 182,277 | $1.82M | 0.80% | +4,442+2.5% | Added |
| RFG Advisory, LLC | 192,994 | $1.93M | 0.16% | +2,727+1.4% | Added |
| Shaker Financial Services, LLC | 212,370 | $2.12M | 0.85% | +42,447+25.0% | Added |
| LPL Financial LLC | 259,395 | $2.59M | 0.00% | +141,079+119.2% | Added |
| Eaton Vance Management | 274,352 | $2.74M | 0.00% | 00.0% | Unchanged |
| Next Capital Management LLC | 302,016 | $3.02M | 2.19% | −14,862−4.7% | Reduced |
| Goldman Sachs Group Inc | 348,796 | $3.48M | 0.00% | 00.0% | Unchanged |
| 1607 Capital Partners, LLC | 371,800 | $3.71M | 0.19% | 00.0% | Unchanged |
| Advisors Asset Management, Inc. | 469,000 | $4.68M | 0.07% | −15,979−3.3% | Reduced |
| Capital Investment Advisors, LLC | 561,273 | $5.60M | 0.19% | +38,784+7.4% | Added |
| Guggenheim Capital LLC | 645,851 | $6.45M | 0.04% | +18,411+2.9% | Added |
| Sit Investment Associates Inc | 729,865 | $7.28M | 0.19% | −36,702−4.8% | Reduced |
| Rivernorth Capital Management, LLC | 1,184,348 | $11.8M | 0.63% | +884,542+295.0% | Added |
| Morgan Stanley | 1,401,521 | $14.0M | 0.00% | +147,319+11.7% | Added |
| Saba Capital Management, L.P. | 1,660,546 | $16.6M | 0.53% | −1,686,581−50.4% | Reduced |
| Bank of America Corp | 2,136,249 | $21.3M | 0.00% | +106,917+5.3% | Added |
| 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 |