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 2022
Institutional positions in Nuveen Floating Rate Income Opportunity Fund as of Dec 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
- 90
- +18 vs. Q3 2022
- Shares held
- 10.9M
- +588.2K (+5.7%) vs. Q3 2022
- Total value
- $85.2M
- +$2.14M (+2.6%) vs. Q3 2022
- New holders
- 21
- 32 more added
- Sold out
- 3
- 22 more reduced
4 institutions that held it in Q3 2022 haven't filed for Q4 2022 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q3 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, Q4 2022
Shares, value and share of portfolio for each institution holding Nuveen Floating Rate Income Opportunity Fund; share changes are against Q3 2022.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Morgan Stanley | 1,509,835 | $11.8M | 0.00% | +240,964+19.0% | Added |
| Bank of America Corp | 1,209,448 | $9.45M | 0.00% | −409,233−25.3% | Reduced |
| Oaktree Capital Management LPSuperinvestorOaktree Capital | 807,842 | $6.31M | 0.07% | +40,112+5.2% | Added |
| Guggenheim Capital LLC | 678,323 | $5.30M | 0.05% | −120,099−15.0% | Reduced |
| LPL Financial LLC | 494,339 | $3.86M | 0.00% | −268,338−35.2% | Reduced |
| Advisors Asset Management, Inc. | 460,969 | $3.60M | 0.07% | −97,928−17.5% | Reduced |
| Goldman Sachs Group Inc | 432,590 | $3.38M | 0.00% | 00.0% | Unchanged |
| Raymond James & Associates | 409,075 | $3.19M | 0.00% | +196,951+92.8% | Added |
| Invesco Ltd. | 404,746 | $3.16M | 0.00% | +14,565+3.7% | Added |
| Raymond James Financial Services Advisors, Inc. | 366,505 | $2.86M | 0.01% | +9,298+2.6% | Added |
| City of London Investment Management Co Ltd | 347,665 | $2.71M | 0.22% | +133,860+62.6% | Added |
| Sit Investment Associates Inc | 319,357 | $2.49M | 0.07% | +30,000+10.4% | Added |
| Advisor Group Holdings, Inc. | 264,001 | $2.06M | 0.00% | +17,323+7.0% | Added |
| Logan Stone Capital, LLC | 251,901 | $1.97M | 0.74% | +251,901 | New |
| Royal Bank of Canada | 248,864 | $1.94M | 0.00% | +5,039+2.1% | Added |
| RFG Advisory, LLC | 196,536 | $1.68M | 0.08% | +37,958+23.9% | Added |
| UBS Group AG | 191,438 | $1.50M | 0.00% | −1,208−0.6% | Reduced |
| Aviance Capital Partners, LLC | 182,027 | $1.42M | 0.33% | −45,819−20.1% | Reduced |
| International Assets Investment Management, LLC | 169,445 | $1.32M | 0.14% | +17,581+11.6% | Added |
| 1607 Capital Partners, LLC | 154,800 | $1.21M | 0.08% | +154,800 | New |
| Ameriprise Financial Inc | 124,451 | $968.0K | 0.00% | +21,370+20.7% | Added |
| Cohen & Steers, Inc. | 117,756 | $920.0K | 0.00% | +29,022+32.7% | Added |
| Capital Investment Advisors, LLC | 98,025 | $766.0K | 0.02% | +1,058+1.1% | Added |
| Wolverine Asset Management LLC | 75,961 | $593.3K | 0.01% | +75,961 | New |
| Congress Park Capital LLC | 75,000 | $585.8K | 0.37% | +17,500+30.4% | Added |
| D.A. Davidson & Co. | 64,966 | $507.4K | 0.01% | −5,420−7.7% | Reduced |
| Wells Fargo & Company | 64,626 | $504.7K | 0.00% | −47,973−42.6% | Reduced |
| Cambridge Investment Research Advisors, Inc. | 60,349 | $471.0K | 0.00% | +4,659+8.4% | Added |
| Next Capital Management LLC | 59,807 | $467.0K | 0.25% | +59,807 | New |
| Gladstone Institutional Advisory LLC | 57,995 | $452.9K | 0.03% | +230.0% | Added |
| Horizon Kinetics Asset Management LLC | 56,984 | $445.0K | 0.01% | +1,115+2.0% | Added |
| Shaker Financial Services, LLC | 54,693 | $427.2K | 0.20% | −1,410−2.5% | Reduced |
| Commonwealth Equity Services, LLC | 53,559 | $418.0K | 0.00% | −1,239−2.3% | Reduced |
| Wedbush Securities Inc | 42,600 | $333.0K | 0.02% | 00.0% | Unchanged |
| Virtus ETF Advisers LLC | 40,057 | $312.8K | 0.16% | −4,634−10.4% | Reduced |
| Landscape Capital Management, L.L.C. | 37,833 | $295.5K | 0.04% | −9,536−20.1% | Reduced |
| Ahrens Investment Partners LLC | 37,000 | $289.0K | 0.13% | +37,000 | New |
| FourThought Financial Partners, LLC | 36,862 | $287.9K | 0.04% | +36,862 | New |
| CNH Partners LLC | 35,345 | $276.0K | 0.01% | +35,345 | New |
| Sigma Planning Corp | 33,466 | $261.4K | 0.01% | +10,220+44.0% | Added |
| Kovack Advisors, Inc. | 32,604 | $254.6K | 0.04% | +9,411+40.6% | Added |
| Ameritas Advisory Services, LLC | 29,168 | $227.8K | 0.01% | +14,604+100.3% | Added |
| Envestnet Asset Management Inc | 28,766 | $224.7K | 0.00% | +18,697+185.7% | Added |
| Rivernorth Capital Management, LLC | 28,766 | $224.7K | 0.01% | +28,766 | New |
| Farther Finance Advisors, LLC | 28,154 | $219.9K | 0.09% | +28,154 | New |
| ProVise Management Group, LLC | 24,550 | $191.7K | 0.02% | −2,725−10.0% | Reduced |
| GWM Advisors LLC | 24,300 | $189.8K | 0.01% | −2,100−8.0% | Reduced |
| Oppenheimer & Co Inc | 23,994 | $187.4K | 0.00% | +1,773+8.0% | Added |
| Klingman & Associates, LLC | 21,828 | $170.5K | 0.01% | +744+3.5% | Added |
| Integrated Wealth Concepts LLC | 20,383 | $159.0K | 0.00% | −20.0% | Reduced |
| Steward Partners Investment Advisory, LLC | 19,923 | $155.6K | 0.00% | −81−0.4% | Reduced |
| Axxcess Wealth Management, LLC | 18,512 | $144.6K | 0.01% | +18,512 | New |
| Western Wealth Management, LLC | 18,111 | $141.4K | 0.01% | −3,044−14.4% | Reduced |
| National Asset Management, Inc. | 17,382 | $135.8K | 0.00% | +1,269+7.9% | Added |
| Walleye Capital LLC | 15,803 | $123.4K | 0.00% | −15,879−50.1% | Reduced |
| Transform Wealth, LLC | 15,519 | $121.2K | 0.01% | +1,575+11.3% | Added |
| Sheets Smith Wealth Management | 14,400 | $112.5K | 0.02% | 00.0% | Unchanged |
| Apollon Wealth Management, LLC | 13,271 | $103.7K | 0.01% | +452+3.5% | Added |
| Truist Financial Corp | 12,876 | $100.6K | 0.00% | +312+2.5% | Added |
| Melfa Wealth Management, LLC | 12,666 | $98.9K | 0.10% | +12,666 | New |
| Koshinski Asset Management, Inc. | 12,553 | $98.0K | 0.01% | −2,200−14.9% | Reduced |
| Wealth Alliance Advisory Group, LLC | 12,412 | $96.9K | 0.04% | +12,412 | New |
| Weiss Asset Management LP | 11,087 | $86.6K | 0.00% | +11,087 | New |
| Synovus Financial Corp | 11,065 | $86.4K | 0.00% | 00.0% | Unchanged |
| CTC Capital Management, LLC | 10,730 | $83.8K | 0.10% | 00.0% | Unchanged |
| The PNC Financial Services Group, Inc. | 10,160 | $79.3K | 0.00% | 00.0% | Unchanged |
| Cerity Partners LLC | 10,000 | $78.1K | 0.00% | +10,000 | New |
| CoreCap Advisors, LLC | 9,290 | $72.6K | 0.01% | +9,290 | New |
| Cary Street Partner Investment Advisory LLC | 8,750 | $68.3K | 0.01% | +8,750 | New |
| Belpointe Asset Management LLC | 8,000 | $62.5K | 0.00% | +8,000 | New |
| CWM, LLC | 7,692 | $60.0K | 0.00% | +2,448+46.7% | Added |
| Hollencrest Capital Management | 7,120 | $55.6K | 0.01% | +7,120 | New |
| Cullen/Frost Bankers, Inc. | 5,000 | $39.0K | 0.00% | 00.0% | Unchanged |
| Gradient Investments LLC | 3,231 | $25.2K | 0.00% | −342−9.6% | Reduced |
| CoreFirst Bank & Trust | 3,192 | $24.9K | 0.02% | 00.0% | Unchanged |
| Hexagon Capital Partners LLC | 2,955 | $23.1K | 0.01% | 00.0% | Unchanged |
| Rockefeller Capital Management L.P. | 2,724 | $21.0K | 0.00% | +1,154+73.5% | Added |
| IFP Advisors, Inc | 1,758 | $19.0K | 0.00% | −2,457−58.3% | Reduced |
| McIlrath & Eck, LLC | 1,647 | $12.9K | 0.00% | 00.0% | Unchanged |
| Accel Wealth Management | 1,150 | $8.98K | 0.00% | +18+1.6% | Added |
| Princeton Global Asset Management LLC | 1,040 | $8.00K | 0.00% | 00.0% | Unchanged |
| Northwestern Mutual Wealth Management Co | 1,024 | $8.00K | 0.00% | −2,154−67.8% | Reduced |
| JPMorgan Chase & Co | 879 | $7.00K | 0.00% | +879 | New |
| Glen Eagle Advisors, LLC | 705 | $5.51K | 0.00% | +24+3.5% | Added |
| National Bank of Canada | 600 | $4.67K | 0.00% | 00.0% | Unchanged |
| Beacon Capital Management, LLC | 477 | $3.73K | 0.00% | 00.0% | Unchanged |
| Lindbrook Capital, LLC | 28 | $219 | 0.00% | 00.0% | Unchanged |
| Signaturefd, LLC | 9 | $71 | 0.00% | 00.0% | Unchanged |
| Huntington National Bank | – | $8 | 0.00% | – | New |
| Tower Research Capital LLC (TRC) | 12 | $0 | 0.00% | +12 | New |
| Mariner Investment Group LLC | 0 | $0 | 0.00% | −52,000−100.0% | Sold out |
| GPS Wealth Strategies Group, LLC | 0 | $0 | 0.00% | −4,400−100.0% | Sold out |
| FMR LLC | 0 | $0 | 0.00% | −1−100.0% | Sold out |
| Eaton Vance Management | – | – | – | – | Not filed |
| FourThought Financial, LLC | – | – | – | – | Not filed |
| Lloyd Park, LLC | – | – | – | – | Not filed |
| American Portfolios Advisors | – | – | – | – | Not filed |