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 |
|---|---|---|---|---|---|
| Loring Wolcott & Coolidge Fiduciary Advisors LLP | 14 | $0 | 0.00% | 00.0% | Unchanged |
| Signaturefd, LLC | 9 | $0 | 0.00% | 00.0% | Unchanged |
| National Bank of Canada | 600 | $6.00K | 0.00% | +600 | New |
| Lindbrook Capital, LLC | 644 | $7.00K | 0.00% | +616+2,200.0% | Added |
| 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 |
| 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 |
| 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 |
| American Portfolios Advisors | 2,000 | $20.3K | 0.00% | 00.0% | Unchanged |
| Fortitude Advisory Group L.L.C. | 2,056 | $21.0K | 0.01% | +2,056 | New |
| Segantii Capital Management Ltd | 2,850 | $29.0K | 0.00% | +2,850 | New |
| Hexagon Capital Partners LLC | 2,955 | $30.0K | 0.01% | 00.0% | Unchanged |
| 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 |
| Gradient Investments LLC | 4,009 | $41.0K | 0.00% | −89−2.2% | Reduced |
| 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 |
| Spire Wealth Management | 6,000 | $61.0K | 0.00% | +6,000 | New |
| NEXT Financial Group, Inc | 6,800 | $69.0K | 0.00% | 00.0% | Unchanged |
| GPS Wealth Strategies Group, LLC | 8,575 | $87.0K | 0.02% | −950−10.0% | Reduced |
| CoreCap Advisors, LLC | 9,265 | $94.0K | 0.01% | +9,265 | New |
| Stratos Wealth Partners, LTD. | 10,023 | $102.0K | 0.00% | −100−1.0% | Reduced |
| The PNC Financial Services Group, Inc. | 10,185 | $104.0K | 0.00% | 00.0% | Unchanged |
| Klingman & Associates, LLC | 10,510 | $106.0K | 0.01% | 00.0% | Unchanged |
| Pekin Hardy Strauss, Inc. | 10,600 | $107.0K | 0.01% | −66,655−86.3% | Reduced |
| CTC Capital Management, LLC | 10,730 | $109.0K | 0.84% | +10,730 | New |
| Belpointe Asset Management LLC | 11,800 | $119.0K | 0.01% | −2,250−16.0% | Reduced |
| Transform Wealth, LLC | 11,919 | $121.0K | 0.01% | −1,423−10.7% | Reduced |
| Apollon Wealth Management, LLC | 12,168 | $123.0K | 0.01% | +275+2.3% | Added |
| Koshinski Asset Management, Inc. | 12,153 | $123.1K | 0.01% | +100+0.8% | Added |
| Family Management Corp | 12,513 | $127.0K | 0.03% | 00.0% | Unchanged |
| Sheets Smith Wealth Management | 14,400 | $146.0K | 0.02% | 00.0% | Unchanged |
| Ameritas Advisory Services, LLC | 14,535 | $147.0K | 0.01% | +14,535 | New |
| Oppenheimer & Co Inc | 14,735 | $149.0K | 0.00% | +465+3.3% | Added |
| Aristides Capital LLC | 15,178 | $154.0K | 0.09% | +15,178 | New |
| Jaffetilchin Investment Partners, LLC | 15,494 | $157.0K | 0.01% | +350+2.3% | Added |
| National Asset Management, Inc. | 15,983 | $162.0K | 0.00% | −92−0.6% | Reduced |
| Millennium Management LLC | 17,392 | $176.0K | 0.00% | +17,392 | New |
| Integrated Capital Management, Inc. | 20,706 | $209.0K | 0.16% | +958+4.9% | Added |
| Sigma Planning Corp | 22,727 | $230.0K | 0.01% | +131+0.6% | Added |
| Stifel Financial Corp | 25,876 | $262.0K | 0.00% | −17,149−39.9% | Reduced |
| Truist Financial Corp | 26,220 | $266.0K | 0.00% | −9,025−25.6% | Reduced |
| Cambridge Investment Research Advisors, Inc. | 31,616 | $320.0K | 0.00% | +5,166+19.5% | Added |
| Raymond James Financial Services Advisors, Inc. | 35,807 | $363.0K | 0.00% | −8,116−18.5% | Reduced |
| Kovack Advisors, Inc. | 36,588 | $371.0K | 0.04% | −4,059−10.0% | Reduced |
| ProVise Management Group, LLC | 38,355 | $389.0K | 0.04% | −900−2.3% | Reduced |
| Congress Park Capital LLC | 42,500 | $431.0K | 0.21% | 00.0% | Unchanged |
| Virtus ETF Advisers LLC | 45,039 | $456.0K | 0.17% | −5,837−11.5% | Reduced |
| Wedbush Securities Inc | 46,100 | $467.0K | 0.02% | +5,500+13.5% | Added |
| Commonwealth Equity Services, LLC | 48,465 | $490.0K | 0.00% | +6,617+15.8% | Added |
| Horizon Kinetics Asset Management LLC | 55,869 | $566.0K | 0.01% | −1,115−2.0% | Reduced |
| D.A. Davidson & Co. | 63,667 | $645.0K | 0.01% | +8,597+15.6% | Added |
| GWM Advisors LLC | 68,600 | $695.0K | 0.01% | +68,600 | New |
| Advisor Group Holdings, Inc. | 73,536 | $746.0K | 0.00% | +24,849+51.0% | Added |
| Cohen & Steers, Inc. | 76,620 | $776.0K | 0.00% | 00.0% | Unchanged |
| Dynamic Advisor Solutions LLC | 77,235 | $782.0K | 0.06% | +8,424+12.2% | Added |
| FourThought Financial, LLC | 85,023 | $861.0K | 0.11% | +13,442+18.8% | Added |
| Ameriprise Financial Inc | 88,019 | $891.0K | 0.00% | +27,065+44.4% | Added |
| Wela Strategies, Inc. | 88,949 | $901.0K | 0.45% | +195+0.2% | Added |
| Parametric Portfolio Associates LLC | 105,405 | $1.07M | 0.00% | −56,342−34.8% | Reduced |
| Park Avenue Securities LLC | 115,420 | $1.17M | 0.02% | +10,172+9.7% | Added |
| Raymond James & Associates | 140,590 | $1.42M | 0.00% | +8,632+6.5% | Added |
| Envestnet Asset Management Inc | 143,050 | $1.45M | 0.00% | −22,880−13.8% | Reduced |
| Royal Bank of Canada | 147,568 | $1.50M | 0.00% | +1,322+0.9% | Added |
| Wells Fargo & Company | 155,522 | $1.58M | 0.00% | +12,809+9.0% | Added |
| Aviance Capital Partners, LLC | 166,477 | $1.69M | 0.28% | +4,757+2.9% | Added |
| UBS Group AG | 185,229 | $1.88M | 0.00% | +6,934+3.9% | Added |
| RFG Advisory, LLC | 186,694 | $1.89M | 0.13% | −6,300−3.3% | Reduced |
| Invesco Ltd. | 188,968 | $1.91M | 0.00% | +14,245+8.2% | Added |
| Shaker Financial Services, LLC | 201,076 | $2.04M | 0.72% | −11,294−5.3% | Reduced |
| Next Capital Management LLC | 267,548 | $2.71M | 1.86% | −34,468−11.4% | Reduced |
| Eaton Vance Management | 274,352 | $2.78M | 0.00% | 00.0% | Unchanged |
| Goldman Sachs Group Inc | 348,796 | $3.53M | 0.00% | 00.0% | Unchanged |
| 1607 Capital Partners, LLC | 364,300 | $3.69M | 0.20% | −7,500−2.0% | Reduced |
| LPL Financial LLC | 370,637 | $3.75M | 0.00% | +111,242+42.9% | Added |
| Advisors Asset Management, Inc. | 492,774 | $4.99M | 0.07% | +23,774+5.1% | Added |
| Capital Investment Advisors, LLC | 559,920 | $5.67M | 0.17% | −1,353−0.2% | Reduced |
| Guggenheim Capital LLC | 677,785 | $6.87M | 0.04% | +31,934+4.9% | Added |
| Sit Investment Associates Inc | 708,486 | $7.18M | 0.17% | −21,379−2.9% | Reduced |
| Rivernorth Capital Management, LLC | 822,588 | $8.33M | 0.34% | −361,760−30.5% | Reduced |
| Morgan Stanley | 1,417,703 | $14.4M | 0.00% | +16,182+1.2% | Added |
| Bank of America Corp | 2,194,017 | $22.2M | 0.00% | +57,768+2.7% | Added |
| 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 |