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, Q1 2022
Institutional positions in Nuveen Floating Rate Income Opportunity Fund as of Mar 31, 2022. 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
- 75
- −8 vs. Q4 2021
- Shares held
- 9.66M
- −1.95M (−16.8%) vs. Q4 2021
- Total value
- $98.8M
- −$18.9M (−16.0%) vs. Q4 2021
- New holders
- 9
- 29 more added
- Sold out
- 17
- 19 more reduced
1 institution that held it in Q4 2021 haven't filed for Q1 2022 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q4 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, Q1 2022
Shares, value and share of portfolio for each institution holding Nuveen Floating Rate Income Opportunity Fund; share changes are against Q4 2021.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Lindbrook Capital, LLC | 28 | $0 | 0.00% | −616−95.7% | Reduced |
| Loring Wolcott & Coolidge Fiduciary Advisors LLP | 14 | $0 | 0.00% | 00.0% | Unchanged |
| Signaturefd, LLC | 9 | $0 | 0.00% | 00.0% | Unchanged |
| Capital Directions Investment Advisors, LLC | 250 | $3.00K | 0.00% | +250 | New |
| Beacon Capital Management, LLC | 477 | $5.00K | 0.00% | +477 | New |
| National Bank of Canada | 600 | $6.00K | 0.00% | 00.0% | Unchanged |
| Hazlett, Burt & Watson, Inc. | 774 | $8.00K | 0.01% | +774 | New |
| Proequities, Inc. | 1,000 | $10.0K | 0.00% | 00.0% | Unchanged |
| McIlrath & Eck, LLC | 1,050 | $11.0K | 0.00% | −250−19.2% | Reduced |
| Princeton Global Asset Management LLC | 1,040 | $11.0K | 0.00% | 00.0% | Unchanged |
| Accel Wealth Management | 1,104 | $11.0K | 0.01% | +11+1.0% | Added |
| American Portfolios Advisors | 2,000 | $20.3K | 0.00% | 00.0% | Unchanged |
| Fortitude Advisory Group L.L.C. | 2,056 | $21.0K | 0.01% | 00.0% | Unchanged |
| Hexagon Capital Partners LLC | 2,955 | $30.0K | 0.01% | 00.0% | Unchanged |
| CoreFirst Bank & Trust | 3,192 | $32.0K | 0.02% | 00.0% | Unchanged |
| Gradient Investments LLC | 3,864 | $39.0K | 0.00% | −145−3.6% | Reduced |
| IFP Advisors, Inc | 4,177 | $45.0K | 0.00% | +4,177 | New |
| Cullen/Frost Bankers, Inc. | 5,000 | $51.0K | 0.00% | 00.0% | Unchanged |
| Huntington National Bank | – | $52.0K | 0.00% | – | New |
| Northwestern Mutual Wealth Management Co | 6,178 | $62.0K | 0.00% | +3,000+94.4% | Added |
| GPS Wealth Strategies Group, LLC | 8,575 | $87.0K | 0.02% | 00.0% | Unchanged |
| The PNC Financial Services Group, Inc. | 10,187 | $104.0K | 0.00% | +20.0% | Added |
| CoreCap Advisors, LLC | 10,315 | $105.0K | 0.01% | +1,050+11.3% | Added |
| Pekin Hardy Strauss, Inc. | 10,600 | $107.0K | 0.01% | 00.0% | Unchanged |
| Transform Wealth, LLC | 11,439 | $116.0K | 0.01% | −480−4.0% | Reduced |
| Belpointe Asset Management LLC | 11,800 | $119.0K | 0.01% | 00.0% | Unchanged |
| Koshinski Asset Management, Inc. | 12,153 | $123.2K | 0.01% | 00.0% | Unchanged |
| Apollon Wealth Management, LLC | 12,310 | $125.0K | 0.01% | +142+1.2% | Added |
| Jaffetilchin Investment Partners, LLC | 15,860 | $132.0K | 0.02% | +366+2.4% | Added |
| Sheets Smith Wealth Management | 14,400 | $146.0K | 0.02% | 00.0% | Unchanged |
| Ameritas Advisory Services, LLC | 14,542 | $147.0K | 0.01% | +70.0% | Added |
| Klingman & Associates, LLC | 15,550 | $158.0K | 0.01% | +5,040+48.0% | Added |
| National Asset Management, Inc. | 16,073 | $163.0K | 0.01% | +90+0.6% | Added |
| Oppenheimer & Co Inc | 18,684 | $189.0K | 0.00% | +3,949+26.8% | Added |
| Western Wealth Management, LLC | 21,105 | $214.0K | 0.01% | +21,105 | New |
| Roosevelt Investment Group LLC | 21,410 | $217.0K | 0.01% | +21,410 | New |
| Sigma Planning Corp | 21,520 | $218.0K | 0.01% | −1,207−5.3% | Reduced |
| Stifel Financial Corp | 21,848 | $222.0K | 0.00% | −4,028−15.6% | Reduced |
| Steward Partners Investment Advisory, LLC | 22,680 | $230.0K | 0.00% | +17,636+349.6% | Added |
| Envestnet Asset Management Inc | 23,009 | $233.0K | 0.00% | −120,041−83.9% | Reduced |
| Truist Financial Corp | 25,116 | $255.0K | 0.00% | −1,104−4.2% | Reduced |
| GWM Advisors LLC | 28,500 | $289.0K | 0.00% | −40,100−58.5% | Reduced |
| Congress Park Capital LLC | 28,500 | $289.0K | 0.15% | −14,000−32.9% | Reduced |
| Kovack Advisors, Inc. | 34,202 | $346.0K | 0.04% | −2,386−6.5% | Reduced |
| ProVise Management Group, LLC | 35,475 | $360.0K | 0.03% | −2,880−7.5% | Reduced |
| Cambridge Investment Research Advisors, Inc. | 36,421 | $369.0K | 0.00% | +4,805+15.2% | Added |
| Wedbush Securities Inc | 44,600 | $452.0K | 0.02% | −1,500−3.3% | Reduced |
| Virtus ETF Advisers LLC | 47,895 | $486.0K | 0.22% | +2,856+6.3% | Added |
| Commonwealth Equity Services, LLC | 49,113 | $498.0K | 0.00% | +648+1.3% | Added |
| Horizon Kinetics Asset Management LLC | 55,869 | $567.0K | 0.01% | 00.0% | Unchanged |
| Gladstone Institutional Advisory LLC | 57,946 | $588.0K | 0.04% | +57,946 | New |
| D.A. Davidson & Co. | 68,486 | $694.0K | 0.01% | +4,819+7.6% | Added |
| Cohen & Steers, Inc. | 76,620 | $777.0K | 0.00% | 00.0% | Unchanged |
| Dynamic Advisor Solutions LLC | 80,864 | $820.0K | 0.06% | +3,629+4.7% | Added |
| FourThought Financial, LLC | 89,993 | $914.0K | 0.12% | +4,970+5.8% | Added |
| Ameriprise Financial Inc | 91,683 | $931.0K | 0.00% | +3,664+4.2% | Added |
| Raymond James Financial Services Advisors, Inc. | 91,979 | $933.0K | 0.00% | +56,172+156.9% | Added |
| Royal Bank of Canada | 110,050 | $1.12M | 0.00% | −37,518−25.4% | Reduced |
| Capital Investment Advisors, LLC | 115,902 | $1.18M | 0.04% | −444,018−79.3% | Reduced |
| International Assets Investment Management, LLC | 141,475 | $1.44M | 0.26% | +141,475 | New |
| Wells Fargo & Company | 144,857 | $1.47M | 0.00% | −10,665−6.9% | Reduced |
| Advisor Group Holdings, Inc. | 85,944 | $1.68M | 0.00% | +12,408+16.9% | Added |
| RFG Advisory, LLC | 178,405 | $1.81M | 0.12% | −8,289−4.4% | Reduced |
| UBS Group AG | 196,031 | $1.99M | 0.00% | +10,802+5.8% | Added |
| Aviance Capital Partners, LLC | 198,419 | $2.01M | 0.37% | +31,942+19.2% | Added |
| Next Capital Management LLC | 239,494 | $2.43M | 1.68% | −28,054−10.5% | Reduced |
| Invesco Ltd. | 258,475 | $2.62M | 0.00% | +69,507+36.8% | Added |
| Raymond James & Associates | 268,443 | $2.72M | 0.00% | +127,853+90.9% | Added |
| Eaton Vance Management | 274,352 | $2.78M | 0.00% | 00.0% | Unchanged |
| Sit Investment Associates Inc | 284,090 | $2.88M | 0.08% | −424,396−59.9% | Reduced |
| Goldman Sachs Group Inc | 432,590 | $4.39M | 0.00% | +83,794+24.0% | Added |
| LPL Financial LLC | 788,232 | $7.99M | 0.01% | +417,595+112.7% | Added |
| Guggenheim Capital LLC | 851,676 | $8.64M | 0.05% | +173,891+25.7% | Added |
| Morgan Stanley | 1,545,676 | $15.7M | 0.00% | +127,973+9.0% | Added |
| Bank of America Corp | 2,252,810 | $22.8M | 0.00% | +58,793+2.7% | Added |
| Rivernorth Capital Management, LLC | 0 | $0 | 0.00% | −822,588−100.0% | Sold out |
| Advisors Asset Management, Inc. | 0 | $0 | 0.00% | −492,774−100.0% | Sold out |
| 1607 Capital Partners, LLC | 0 | $0 | 0.00% | −364,300−100.0% | Sold out |
| Shaker Financial Services, LLC | 0 | $0 | 0.00% | −201,076−100.0% | Sold out |
| Park Avenue Securities LLC | 0 | $0 | 0.00% | −115,420−100.0% | Sold out |
| Parametric Portfolio Associates LLC | 0 | $0 | 0.00% | −105,405−100.0% | Sold out |
| Wela Strategies, Inc. | 0 | $0 | 0.00% | −88,949−100.0% | Sold out |
| Integrated Capital Management, Inc. | 0 | $0 | 0.00% | −20,706−100.0% | Sold out |
| Millennium Management LLC | 0 | $0 | 0.00% | −17,392−100.0% | Sold out |
| Aristides Capital LLC | 0 | $0 | 0.00% | −15,178−100.0% | Sold out |
| Family Management Corp | 0 | $0 | 0.00% | −12,513−100.0% | Sold out |
| CTC Capital Management, LLC | 0 | $0 | 0.00% | −10,730−100.0% | Sold out |
| Stratos Wealth Partners, LTD. | 0 | $0 | 0.00% | −10,023−100.0% | Sold out |
| Spire Wealth Management | 0 | $0 | 0.00% | −6,000−100.0% | Sold out |
| Segantii Capital Management Ltd | 0 | $0 | 0.00% | −2,850−100.0% | Sold out |
| Howe & Rusling Inc | 0 | $0 | 0.00% | −1,300−100.0% | Sold out |
| Geneos Wealth Management Inc. | 0 | $0 | 0.00% | −1,000−100.0% | Sold out |
| NEXT Financial Group, Inc | – | – | – | – | Not filed |