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, Q4 2021
Institutional positions in Nuveen Floating Rate Income Opportunity Fund as of Dec 31, 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
- 84
- +2 vs. Q3 2021
- Shares held
- 11.6M
- −2.08M (−15.2%) vs. Q3 2021
- Total value
- $117.7M
- −$19.0M (−13.9%) vs. Q3 2021
- New holders
- 11
- 31 more added
- Sold out
- 9
- 24 more reduced
4 institutions that held it in Q3 2021 haven't filed for Q4 2021 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q3 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, Q4 2021
Shares, value and share of portfolio for each institution holding Nuveen Floating Rate Income Opportunity Fund; share changes are against Q3 2021.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Bank of America Corp | 2,194,017 | $22.2M | 0.00% | +57,768+2.7% | Added |
| Morgan Stanley | 1,417,703 | $14.4M | 0.00% | +16,182+1.2% | Added |
| Rivernorth Capital Management, LLC | 822,588 | $8.33M | 0.34% | −361,760−30.5% | Reduced |
| Sit Investment Associates Inc | 708,486 | $7.18M | 0.17% | −21,379−2.9% | Reduced |
| Guggenheim Capital LLC | 677,785 | $6.87M | 0.04% | +31,934+4.9% | Added |
| Capital Investment Advisors, LLC | 559,920 | $5.67M | 0.17% | −1,353−0.2% | Reduced |
| Advisors Asset Management, Inc. | 492,774 | $4.99M | 0.07% | +23,774+5.1% | Added |
| LPL Financial LLC | 370,637 | $3.75M | 0.00% | +111,242+42.9% | Added |
| 1607 Capital Partners, LLC | 364,300 | $3.69M | 0.20% | −7,500−2.0% | Reduced |
| Goldman Sachs Group Inc | 348,796 | $3.53M | 0.00% | 00.0% | Unchanged |
| Eaton Vance Management | 274,352 | $2.78M | 0.00% | 00.0% | Unchanged |
| Next Capital Management LLC | 267,548 | $2.71M | 1.86% | −34,468−11.4% | Reduced |
| Shaker Financial Services, LLC | 201,076 | $2.04M | 0.72% | −11,294−5.3% | Reduced |
| Invesco Ltd. | 188,968 | $1.91M | 0.00% | +14,245+8.2% | Added |
| RFG Advisory, LLC | 186,694 | $1.89M | 0.13% | −6,300−3.3% | Reduced |
| UBS Group AG | 185,229 | $1.88M | 0.00% | +6,934+3.9% | Added |
| Aviance Capital Partners, LLC | 166,477 | $1.69M | 0.28% | +4,757+2.9% | Added |
| Wells Fargo & Company | 155,522 | $1.58M | 0.00% | +12,809+9.0% | Added |
| Royal Bank of Canada | 147,568 | $1.50M | 0.00% | +1,322+0.9% | Added |
| Envestnet Asset Management Inc | 143,050 | $1.45M | 0.00% | −22,880−13.8% | Reduced |
| Raymond James & Associates | 140,590 | $1.42M | 0.00% | +8,632+6.5% | Added |
| Park Avenue Securities LLC | 115,420 | $1.17M | 0.02% | +10,172+9.7% | Added |
| Parametric Portfolio Associates LLC | 105,405 | $1.07M | 0.00% | −56,342−34.8% | Reduced |
| Wela Strategies, Inc. | 88,949 | $901.0K | 0.45% | +195+0.2% | Added |
| Ameriprise Financial Inc | 88,019 | $891.0K | 0.00% | +27,065+44.4% | Added |
| FourThought Financial, LLC | 85,023 | $861.0K | 0.11% | +13,442+18.8% | Added |
| Dynamic Advisor Solutions LLC | 77,235 | $782.0K | 0.06% | +8,424+12.2% | Added |
| Cohen & Steers, Inc. | 76,620 | $776.0K | 0.00% | 00.0% | Unchanged |
| Advisor Group Holdings, Inc. | 73,536 | $746.0K | 0.00% | +24,849+51.0% | Added |
| GWM Advisors LLC | 68,600 | $695.0K | 0.01% | +68,600 | New |
| D.A. Davidson & Co. | 63,667 | $645.0K | 0.01% | +8,597+15.6% | Added |
| Horizon Kinetics Asset Management LLC | 55,869 | $566.0K | 0.01% | −1,115−2.0% | Reduced |
| Commonwealth Equity Services, LLC | 48,465 | $490.0K | 0.00% | +6,617+15.8% | Added |
| Wedbush Securities Inc | 46,100 | $467.0K | 0.02% | +5,500+13.5% | Added |
| Virtus ETF Advisers LLC | 45,039 | $456.0K | 0.17% | −5,837−11.5% | Reduced |
| Congress Park Capital LLC | 42,500 | $431.0K | 0.21% | 00.0% | Unchanged |
| ProVise Management Group, LLC | 38,355 | $389.0K | 0.04% | −900−2.3% | Reduced |
| Kovack Advisors, Inc. | 36,588 | $371.0K | 0.04% | −4,059−10.0% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 35,807 | $363.0K | 0.00% | −8,116−18.5% | Reduced |
| Cambridge Investment Research Advisors, Inc. | 31,616 | $320.0K | 0.00% | +5,166+19.5% | Added |
| Truist Financial Corp | 26,220 | $266.0K | 0.00% | −9,025−25.6% | Reduced |
| Stifel Financial Corp | 25,876 | $262.0K | 0.00% | −17,149−39.9% | Reduced |
| Sigma Planning Corp | 22,727 | $230.0K | 0.01% | +131+0.6% | Added |
| Integrated Capital Management, Inc. | 20,706 | $209.0K | 0.16% | +958+4.9% | Added |
| Millennium Management LLC | 17,392 | $176.0K | 0.00% | +17,392 | New |
| National Asset Management, Inc. | 15,983 | $162.0K | 0.00% | −92−0.6% | Reduced |
| Jaffetilchin Investment Partners, LLC | 15,494 | $157.0K | 0.01% | +350+2.3% | Added |
| Aristides Capital LLC | 15,178 | $154.0K | 0.09% | +15,178 | New |
| Oppenheimer & Co Inc | 14,735 | $149.0K | 0.00% | +465+3.3% | Added |
| Ameritas Advisory Services, LLC | 14,535 | $147.0K | 0.01% | +14,535 | New |
| Sheets Smith Wealth Management | 14,400 | $146.0K | 0.02% | 00.0% | Unchanged |
| Family Management Corp | 12,513 | $127.0K | 0.03% | 00.0% | Unchanged |
| Koshinski Asset Management, Inc. | 12,153 | $123.1K | 0.01% | +100+0.8% | Added |
| Apollon Wealth Management, LLC | 12,168 | $123.0K | 0.01% | +275+2.3% | Added |
| Transform Wealth, LLC | 11,919 | $121.0K | 0.01% | −1,423−10.7% | Reduced |
| Belpointe Asset Management LLC | 11,800 | $119.0K | 0.01% | −2,250−16.0% | Reduced |
| CTC Capital Management, LLC | 10,730 | $109.0K | 0.84% | +10,730 | New |
| Pekin Hardy Strauss, Inc. | 10,600 | $107.0K | 0.01% | −66,655−86.3% | Reduced |
| Klingman & Associates, LLC | 10,510 | $106.0K | 0.01% | 00.0% | Unchanged |
| The PNC Financial Services Group, Inc. | 10,185 | $104.0K | 0.00% | 00.0% | Unchanged |
| Stratos Wealth Partners, LTD. | 10,023 | $102.0K | 0.00% | −100−1.0% | Reduced |
| CoreCap Advisors, LLC | 9,265 | $94.0K | 0.01% | +9,265 | New |
| GPS Wealth Strategies Group, LLC | 8,575 | $87.0K | 0.02% | −950−10.0% | Reduced |
| NEXT Financial Group, Inc | 6,800 | $69.0K | 0.00% | 00.0% | Unchanged |
| Spire Wealth Management | 6,000 | $61.0K | 0.00% | +6,000 | New |
| Cullen/Frost Bankers, Inc. | 5,000 | $51.0K | 0.00% | 00.0% | Unchanged |
| Steward Partners Investment Advisory, LLC | 5,044 | $51.0K | 0.00% | 00.0% | Unchanged |
| Gradient Investments LLC | 4,009 | $41.0K | 0.00% | −89−2.2% | Reduced |
| Northwestern Mutual Wealth Management Co | 3,178 | $32.0K | 0.00% | 00.0% | Unchanged |
| CoreFirst Bank & Trust | 3,192 | $32.0K | 0.02% | +2,360+283.7% | Added |
| Hexagon Capital Partners LLC | 2,955 | $30.0K | 0.01% | 00.0% | Unchanged |
| Segantii Capital Management Ltd | 2,850 | $29.0K | 0.00% | +2,850 | New |
| Fortitude Advisory Group L.L.C. | 2,056 | $21.0K | 0.01% | +2,056 | New |
| American Portfolios Advisors | 2,000 | $20.3K | 0.00% | 00.0% | Unchanged |
| McIlrath & Eck, LLC | 1,300 | $13.0K | 0.00% | +1,050+420.0% | Added |
| Howe & Rusling Inc | 1,300 | $13.0K | 0.00% | +1,300 | New |
| Accel Wealth Management | 1,093 | $11.0K | 0.01% | +14+1.3% | Added |
| Princeton Global Asset Management LLC | 1,040 | $11.0K | 0.00% | 00.0% | Unchanged |
| Proequities, Inc. | 1,000 | $10.0K | 0.00% | −500−33.3% | Reduced |
| Geneos Wealth Management Inc. | 1,000 | $10.0K | 0.00% | 00.0% | Unchanged |
| Lindbrook Capital, LLC | 644 | $7.00K | 0.00% | +616+2,200.0% | Added |
| National Bank of Canada | 600 | $6.00K | 0.00% | +600 | New |
| Loring Wolcott & Coolidge Fiduciary Advisors LLP | 14 | $0 | 0.00% | 00.0% | Unchanged |
| Signaturefd, LLC | 9 | $0 | 0.00% | 00.0% | Unchanged |
| Saba Capital Management, L.P. | 0 | $0 | 0.00% | −1,660,546−100.0% | Sold out |
| Thomas J. Herzfeld Advisors, Inc. | 0 | $0 | 0.00% | −182,277−100.0% | Sold out |
| 6 Meridian | 0 | $0 | 0.00% | −64,359−100.0% | Sold out |
| Kestra Advisory Services, LLC | 0 | $0 | 0.00% | −51,555−100.0% | Sold out |
| FNY Investment Advisers, LLC | 0 | $0 | 0.00% | −11,817−100.0% | Sold out |
| Two Sigma Securities, LLC | 0 | $0 | 0.00% | −10,503−100.0% | Sold out |
| Camden Capital, LLC | 0 | $0 | 0.00% | −10,081−100.0% | Sold out |
| Robinson Capital Management, LLC | 0 | $0 | 0.00% | −350−100.0% | Sold out |
| Citigroup Inc | 0 | $0 | 0.00% | −9−100.0% | Sold out |
| Mid Atlantic Financial Management Inc | – | – | – | – | Not filed |
| Zazove Associates LLC | – | – | – | – | Not filed |
| Ameritas Investment Company, LLC | – | – | – | – | Not filed |
| Security National Trust Co | – | – | – | – | Not filed |