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 2022
Institutional positions in Nuveen Floating Rate Income Opportunity Fund as of Sep 30, 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
- 76
- −5 vs. Q2 2022
- Shares held
- 10.7M
- +7.33K (+0.1%) vs. Q2 2022
- Total value
- $86.4M
- −$1.22M (−1.4%) vs. Q2 2022
- New holders
- 5
- 27 more added
- Sold out
- 10
- 28 more reduced
Compare with Q2 2022: 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 2022
Shares, value and share of portfolio for each institution holding Nuveen Floating Rate Income Opportunity Fund; share changes are against Q2 2022.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Bank of America Corp | 1,618,681 | $13.0M | 0.00% | −94,113−5.5% | Reduced |
| Morgan Stanley | 1,268,871 | $10.2M | 0.00% | −122,732−8.8% | Reduced |
| Guggenheim Capital LLC | 798,422 | $6.43M | 0.06% | −21,836−2.7% | Reduced |
| Oaktree Capital Management LPSuperinvestorOaktree Capital | 767,730 | $6.19M | 0.07% | +127,222+19.9% | Added |
| LPL Financial LLC | 762,677 | $6.15M | 0.01% | −57,270−7.0% | Reduced |
| Advisors Asset Management, Inc. | 558,897 | $4.50M | 0.09% | +12,263+2.2% | Added |
| Goldman Sachs Group Inc | 432,590 | $3.49M | 0.00% | 00.0% | Unchanged |
| Invesco Ltd. | 390,181 | $3.15M | 0.00% | +93,372+31.5% | Added |
| Raymond James Financial Services Advisors, Inc. | 357,207 | $2.88M | 0.01% | +213,083+147.8% | Added |
| Sit Investment Associates Inc | 289,357 | $2.33M | 0.07% | −7,543−2.5% | Reduced |
| Eaton Vance Management | 274,352 | $2.21M | 0.00% | −269,352−49.5% | Reduced |
| Advisor Group Holdings, Inc. | 246,678 | $1.99M | 0.00% | +27,213+12.4% | Added |
| Royal Bank of Canada | 243,825 | $1.97M | 0.00% | +72,619+42.4% | Added |
| Aviance Capital Partners, LLC | 227,846 | $1.84M | 0.46% | −569−0.2% | Reduced |
| City of London Investment Management Co Ltd | 213,805 | $1.72M | 0.15% | +213,805 | New |
| Raymond James & Associates | 212,124 | $1.71M | 0.00% | −32,680−13.3% | Reduced |
| UBS Group AG | 192,646 | $1.55M | 0.00% | −1,714−0.9% | Reduced |
| RFG Advisory, LLC | 158,578 | $1.30M | 0.07% | −38,221−19.4% | Reduced |
| International Assets Investment Management, LLC | 151,864 | $1.22M | 0.26% | +42,239+38.5% | Added |
| FourThought Financial, LLC | 117,913 | $950.0K | 0.14% | +8,746+8.0% | Added |
| Wells Fargo & Company | 112,599 | $908.0K | 0.00% | −14,435−11.4% | Reduced |
| Ameriprise Financial Inc | 103,081 | $831.0K | 0.00% | +16,194+18.6% | Added |
| Capital Investment Advisors, LLC | 96,967 | $782.0K | 0.03% | −1,647−1.7% | Reduced |
| Cohen & Steers, Inc. | 88,734 | $715.0K | 0.00% | +12,114+15.8% | Added |
| D.A. Davidson & Co. | 70,386 | $567.0K | 0.01% | +1,900+2.8% | Added |
| Gladstone Institutional Advisory LLC | 57,972 | $467.0K | 0.04% | +140.0% | Added |
| Congress Park Capital LLC | 57,500 | $463.0K | 0.31% | +27,500+91.7% | Added |
| Shaker Financial Services, LLC | 56,103 | $452.0K | 0.22% | −7,460−11.7% | Reduced |
| Horizon Kinetics Asset Management LLC | 55,869 | $450.0K | 0.01% | 00.0% | Unchanged |
| Cambridge Investment Research Advisors, Inc. | 55,690 | $449.0K | 0.00% | +1,700+3.1% | Added |
| Commonwealth Equity Services, LLC | 54,798 | $441.0K | 0.00% | +1,881+3.6% | Added |
| Mariner Investment Group LLC | 52,000 | $419.0K | 0.47% | 00.0% | Unchanged |
| Landscape Capital Management, L.L.C. | 47,369 | $382.0K | 0.05% | −16,235−25.5% | Reduced |
| Virtus ETF Advisers LLC | 44,691 | $360.0K | 0.14% | −13,309−22.9% | Reduced |
| Wedbush Securities Inc | 42,600 | $343.0K | 0.02% | −4,550−9.7% | Reduced |
| Walleye Capital LLC | 31,682 | $255.0K | 0.01% | −26,006−45.1% | Reduced |
| ProVise Management Group, LLC | 27,275 | $220.0K | 0.02% | −900−3.2% | Reduced |
| GWM Advisors LLC | 26,400 | $213.0K | 0.00% | −1,000−3.6% | Reduced |
| Kovack Advisors, Inc. | 23,193 | $187.0K | 0.03% | +60.0% | Added |
| Sigma Planning Corp | 23,246 | $187.0K | 0.01% | +1,000+4.5% | Added |
| Oppenheimer & Co Inc | 22,221 | $179.0K | 0.00% | +3,459+18.4% | Added |
| Klingman & Associates, LLC | 21,084 | $170.0K | 0.02% | +463+2.2% | Added |
| Western Wealth Management, LLC | 21,155 | $167.0K | 0.01% | +24+0.1% | Added |
| Integrated Wealth Concepts LLC | 20,385 | $164.0K | 0.01% | +1,004+5.2% | Added |
| Steward Partners Investment Advisory, LLC | 20,004 | $161.0K | 0.00% | −4,130−17.1% | Reduced |
| National Asset Management, Inc. | 16,113 | $130.0K | 0.00% | +18+0.1% | Added |
| Lloyd Park, LLC | 15,429 | $125.0K | 0.15% | −10,332−40.1% | Reduced |
| Koshinski Asset Management, Inc. | 14,753 | $119.0K | 0.01% | +2,600+21.4% | Added |
| Ameritas Advisory Services, LLC | 14,564 | $117.0K | 0.01% | +12+0.1% | Added |
| Sheets Smith Wealth Management | 14,400 | $116.0K | 0.02% | 00.0% | Unchanged |
| Transform Wealth, LLC | 13,944 | $113.0K | 0.01% | 00.0% | Unchanged |
| Apollon Wealth Management, LLC | 12,819 | $103.0K | 0.01% | +282+2.2% | Added |
| Truist Financial Corp | 12,564 | $101.0K | 0.00% | −10,440−45.4% | Reduced |
| Synovus Financial Corp | 11,065 | $89.0K | 0.00% | +11,065 | New |
| CTC Capital Management, LLC | 10,730 | $86.0K | 0.07% | 00.0% | Unchanged |
| Envestnet Asset Management Inc | 10,069 | $81.0K | 0.00% | −10,892−52.0% | Reduced |
| The PNC Financial Services Group, Inc. | 10,160 | $81.0K | 0.00% | −40.0% | Reduced |
| IFP Advisors, Inc | 4,215 | $45.0K | 0.00% | +38+0.9% | Added |
| CWM, LLC | 5,244 | $42.0K | 0.00% | 00.0% | Unchanged |
| Cullen/Frost Bankers, Inc. | 5,000 | $40.0K | 0.00% | 00.0% | Unchanged |
| GPS Wealth Strategies Group, LLC | 4,400 | $35.0K | 0.01% | −2,975−40.3% | Reduced |
| Gradient Investments LLC | 3,573 | $29.0K | 0.00% | 00.0% | Unchanged |
| Northwestern Mutual Wealth Management Co | 3,178 | $26.0K | 0.00% | −2,579−44.8% | Reduced |
| CoreFirst Bank & Trust | 3,192 | $26.0K | 0.02% | 00.0% | Unchanged |
| Hexagon Capital Partners LLC | 2,955 | $24.0K | 0.01% | 00.0% | Unchanged |
| McIlrath & Eck, LLC | 1,647 | $13.0K | 0.00% | 00.0% | Unchanged |
| Rockefeller Capital Management L.P. | 1,570 | $12.0K | 0.00% | +1,570 | New |
| American Portfolios Advisors | 1,450 | $11.7K | 0.00% | −1,000−40.8% | Reduced |
| Accel Wealth Management | 1,132 | $9.00K | 0.00% | +15+1.3% | Added |
| Princeton Global Asset Management LLC | 1,040 | $8.00K | 0.00% | 00.0% | Unchanged |
| Glen Eagle Advisors, LLC | 681 | $5.49K | 0.00% | +681 | New |
| National Bank of Canada | 600 | $5.00K | 0.00% | 00.0% | Unchanged |
| Beacon Capital Management, LLC | 477 | $4.00K | 0.00% | 00.0% | Unchanged |
| Lindbrook Capital, LLC | 28 | $0 | 0.00% | −184−86.8% | Reduced |
| Signaturefd, LLC | 9 | $0 | 0.00% | 00.0% | Unchanged |
| FMR LLC | 1 | $0 | 0.00% | +1 | New |
| Huntington National Bank | 0 | $0 | 0.00% | – | Sold out |
| Proequities, Inc. | 0 | $0 | 0.00% | −1,000−100.0% | Sold out |
| Wolverine Asset Management LLC | 0 | $0 | 0.00% | −40,924−100.0% | Sold out |
| Roosevelt Investment Group LLC | 0 | $0 | 0.00% | −21,410−100.0% | Sold out |
| Quantedge Capital Pte Ltd | 0 | $0 | 0.00% | −13,500−100.0% | Sold out |
| Bluefin Capital Management, LLC | 0 | $0 | 0.00% | −12,126−100.0% | Sold out |
| Pekin Hardy Strauss, Inc. | 0 | $0 | 0.00% | −10,600−100.0% | Sold out |
| CoreCap Advisors, LLC | 0 | $0 | 0.00% | −10,315−100.0% | Sold out |
| Allworth Financial LP | 0 | $0 | 0.00% | −2,000−100.0% | Sold out |
| Hazlett, Burt & Watson, Inc. | 0 | $0 | 0.00% | −788−100.0% | Sold out |