Vault-13

NUVEEN PFD & INCOME OPPORTUN JPC

COM · Closed-End Fund · CUSIP 67073B106

140 institutional holders +11 vs Q2 2023
22,213,74722.2m shares reported held*
$140.6mreported value*
21 new 32 added 44 reduced 11 sold out net bought ≈ $11.5m (+1.8m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $6.33.

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 134Q4 22: 138Q1 23: 134Q2 23: 129Q3 23: 140140Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022134
Q4 2022138
Q1 2023134
Q2 2023129
Q3 2023140

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
1000100Q4 22: 53 bought or addedQ4 22: 65 cut or sold outQ4 22Q1 23: 56 bought or addedQ1 23: 60 cut or sold outQ1 23Q2 23: 47 bought or addedQ2 23: 61 cut or sold outQ2 23Q3 23: 53 bought or addedQ3 23: 55 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 20225365
Q1 20235660
Q2 20234761
Q3 20235355

Biggest buyers

RIVERNORTH CAPITAL MANAGEMENT, LLC New +1,684,591+1.7m
MORGAN STANLEY Added +600,841+600.8k
Penserra Capital Management LLC Added +464,683+464.7k
AQR Arbitrage LLC Added +461,304+461.3k
Forum Private Client Group LLC New +440,000+440.0k
RPO LLC New +428,442+428.4k
BOOTHBAY FUND MANAGEMENT, LLC Added +200,799+200.8k
Jupiter Wealth Management LLC New +182,794+182.8k
ALGEBRIS (UK) LTD Added +147,506+147.5k
Creative Planning New +101,881+101.9k

Biggest sellers

Bramshill Investments, LLC Reduced -1,868,060-1.9m
SIT INVESTMENT ASSOCIATES INC Sold out -493,719-493.7k
Orion Porfolio Solutions, LLC Reduced -316,987-317.0k
Orion Portfolio Solutions, LLC Reduced -316,987-317.0k
Woodline Partners LP Reduced -177,839-177.8k
UBS Group AG Reduced -101,736-101.7k
Invesco Ltd. Reduced -90,942-90.9k
Janney Montgomery Scott LLC Reduced -71,400-71.4k
Almitas Capital LLC Sold out -53,916-53.9k
Carnegie Investment Counsel Sold out -42,102-42.1k

Insider purchases and sales in Q3 2023

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

None reported in Q3 2023.

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,846,7951.8m $11.7m $11.7m 0.00% Added +600.8k +600,841
2 Penserra Capital Management LLC 0.22% of their portfolio ORINDA, CA 1,719,6291.7m $10.9m $10.9m 0.22% Added +464.7k +464,683
3 RIVERNORTH CAPITAL MANAGEMENT, LLC 0.56% of their portfolio WEST PALM BEACH, FL 1,684,5911.7m $10.7m $10.7m 0.56% New
4 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 1,579,1671.6m $10.0m $10.0m 0.00% Added +58.9k +58,895
5 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 1,576,6131.6m $10.0m $10.0m 0.00% Reduced -90.9k -90,942
6 COHEN & STEERS, INC. 0.01% of their portfolio NEW YORK, NY 881,424881.4k $5.6m $5.6m 0.01% Reduced -22.5k -22,495
7 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 809,467809.5k $5.1m $5.1m 0.00% Added +35.1k +35,120
8 AQR Arbitrage LLC 0.23% of their portfolio Greenwich, CT 802,725802.7k $5.1m $5.1m 0.23% Added +461.3k +461,304
9 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 561,216561.2k $3.6m $3.6m 0.01% Added +91.3k +91,287
10 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 442,262442.3k $2.8m $2.8m 0.00% Added +43.4k +43,394
11 PROTECTIVE LIFE CORP 21.03% of their portfolio BIRMINGHAM, AL 440,000440.0k $2.8m $2.8m 21.03% Unchanged
12 Forum Private Client Group LLC 21.03% of their portfolio FISHERS, IN 440,000440.0k $2.8m $2.8m 21.03% New
13 RPO LLC 4.62% of their portfolio Stamford, CT 428,442428.4k $2.7m $2.7m 4.62% New
14 Claybrook Capital, LLC 1.29% of their portfolio WELLESLEY, MA 357,226357.2k $2.3m $2.3m 1.29% Unchanged
15 Hennion & Walsh Asset Management, Inc. 0.13% of their portfolio Parsippany, NJ 329,363329.4k $2.1m $2.1m 0.13% Added +61.8k +61,803
16 Moors & Cabot, Inc. 0.14% of their portfolio BOSTON, MA 317,164317.2k $2.0m $2.0m 0.14% Reduced -16.9k -16,923
17 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 313,874313.9k $2.0m $2.0m 0.00% Reduced -951 -951
18 GUGGENHEIM CAPITAL LLC 0.02% of their portfolio CHICAGO, IL 296,466296.5k $1.9m $1.9m 0.02% Reduced -12.3k -12,267
19 Rockefeller Capital Management L.P. 0.01% of their portfolio NEW YORK, NY 289,883289.9k $1.8m $1.8m 0.01% Added +2.3k +2,338
20 Orion Porfolio Solutions, LLC 0.02% of their portfolio OMAHA, NE 282,188282.2k $1.8m $1.8m 0.02% Reduced -317.0k -316,987
21 Orion Portfolio Solutions, LLC 0.02% of their portfolio Omaha, NE 282,188282.2k $1.8m $1.8m 0.02% Reduced -317.0k -316,987
22 Fiera Capital Corp 0.01% of their portfolio MONTREAL, A8 275,262275.3k $1.7m $1.7m 0.01% Reduced -390 -390
23 UBS Group AG 0.00% of their portfolio ZURICH, V8 268,932268.9k $1.7m $1.7m 0.00% Reduced -101.7k -101,736
24 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 264,166264.2k $1.7m $1.7m 0.00% Added +56.2k +56,153
25 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 251,317251.3k $1.6m $1.6m 0.00% Reduced -232 -232
26 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 248,418248.4k $1.6m $1.6m 0.00% Reduced -2.1k -2,107
27 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 233,197233.2k $1.5m $1.5m 0.01% Reduced -71.4k -71,400
28 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 221,285221.3k $1.4m $1.4m 0.00% Added +47.2k +47,204
29 BOOTHBAY FUND MANAGEMENT, LLC 0.04% of their portfolio NEW YORK, NY 216,799216.8k $1.4m $1.4m 0.04% Added +200.8k +200,799
30 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 211,551211.6k $1.3m $1.3m 0.00% Reduced -9.4k -9,411
31 ALGEBRIS (UK) LTD 0.62% of their portfolio London, X0 191,034191.0k $1.2m $1.2m 0.62% Added +147.5k +147,506
32 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 188,011188.0k $1.2m $1.2m 0.00% Reduced -1.5k -1,549
33 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 187,334187.3k $1.2m $1.2m 0.00% Reduced -13.3k -13,310
34 Jupiter Wealth Management LLC 0.73% of their portfolio GLENDALE, CO 182,794182.8k $1.1m $1.1m 0.73% New
35 Stratos Wealth Partners, LTD. 0.02% of their portfolio BEACHWOOD, OH 181,566181.6k $1.1m $1.1m 0.02% Added +19.7k +19,732
36 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.14% of their portfolio Englewood, NJ 167,373167.4k $1.1m $1.1m 0.14% Added +35.2k +35,172
37 Shaker Financial Services, LLC 0.50% of their portfolio Arlington, VA 166,631166.6k $1.1m $1.1m 0.50% Unchanged
38 E&G Advisors, LLC 0.32% of their portfolio HOUSTON, TX 139,100139.1k $880.7k $880.7k 0.32% Reduced -2.7k -2,700
39 MSH Capital Advisors LLC 0.30% of their portfolio SCOTTSDALE, AZ 122,703122.7k $776.7k $776.7k 0.30% Unchanged
40 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 119,943119.9k $759.2k $759.2k 0.01% Reduced -2.7k -2,712
41 WOLVERINE ASSET MANAGEMENT LLC 0.01% of their portfolio CHICAGO, IL 103,243103.2k $653.5k $653.5k 0.01% Added +25.9k +25,857
42 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 101,881101.9k $644.9k $644.9k 0.00% New
43 CARY STREET PARTNERS INVESTMENT ADVISORY LLC 0.03% of their portfolio RICHMOND, VA 101,002101.0k $639.3k $639.3k 0.03% Unchanged
44 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 95,22695.2k $602.8k $602.8k 0.00% Added +2.3k +2,289
45 Capital Investment Advisors, LLC 0.02% of their portfolio ATLANTA, GA 94,83094.8k $600.3k $600.3k 0.02% New
46 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 93,80093.8k $594.0k $594.0k 0.00% Unchanged
47 Woodline Partners LP 0.01% of their portfolio San Francisco, CA 89,31289.3k $565.3k $565.3k 0.01% Reduced -177.8k -177,839
48 Advisors Asset Management, Inc. 0.01% of their portfolio Monument, CO 84,69284.7k $536.1k $536.1k 0.01% New
49 MOSAIC FAMILY WEALTH PARTNERS, LLC 0.10% of their portfolio ST. LOUIS, MO 78,74678.7k $498.5k $498.5k 0.10% Reduced -5.8k -5,796
50 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 77,79677.8k $492.4k $492.4k 0.00% Reduced -699 -699
51 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 68,04068.0k $430.7k $430.7k 0.00% Reduced -6.9k -6,873
52 MELFA WEALTH MANAGEMENT, INC. 0.43% of their portfolio WESTBOROUGH, MA 63,03763.0k $399.0k $399.0k 0.43% Added +87 +87
53 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 59,44559.4k $376.0k $376.0k 0.00% Added +16.4k +16,374
54 RVW Wealth, LLC 0.04% of their portfolio LOS ANGELES, CA 58,50058.5k $370.3k $370.3k 0.04% Unchanged
55 Bramshill Investments, LLC 0.04% of their portfolio NAPLES, FL 57,76157.8k $365.6k $365.6k 0.04% Reduced -1.9m -1,868,060
56 Live Oak Private Wealth LLC 0.07% of their portfolio WILMINGTON, NC 51,46051.5k $325.7k $325.7k 0.07% Unchanged
57 LexAurum Advisors, LLC 0.09% of their portfolio OVERLAND PARK, KS 49,94049.9k $316.1k $316.1k 0.09% Reduced -3.0k -3,000
58 Operose Advisors LLC 0.11% of their portfolio MILWAUKEE, WI 44,46544.5k $281.5k $281.5k 0.11% Unchanged
59 Jackson Hole Capital Partners, LLC 0.08% of their portfolio TULSA, OK 43,49643.5k $275.3k $275.3k 0.08% Unchanged
60 LEVEL FOUR ADVISORY SERVICES, LLC 0.02% of their portfolio DALLAS, TX 43,47943.5k $275.2k $275.2k 0.02% Added +2.2k +2,170
61 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 41,93541.9k $265.4k $265.4k 0.00% Reduced -1.2k -1,193
62 Saba Capital Management, L.P. 0.01% of their portfolio NEW YORK, NY 41,36341.4k $261.8k $261.8k 0.01% New
63 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 41,36041.4k $261.8k $261.8k 0.01% Unchanged
64 WEDBUSH SECURITIES INC 0.01% of their portfolio PASADENA, CA 40,69640.7k $258.0k $258.0k 0.01% Reduced -20.3k -20,300
65 OPPENHEIMER & CO INC 0.00% of their portfolio NEW YORK, NY 37,64937.6k $238.3k $238.3k 0.00% Reduced -286 -286
66 Curi Capital, LLC 0.01% of their portfolio CHICAGO, IL 37,58537.6k $237.9k $237.9k 0.01% Reduced -5.5k -5,525
67 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 35,90135.9k $227.0k $227.0k 0.00% Added +856 +856
68 INVESTORS ASSET MANAGEMENT OF GEORGIA INC /GA/ /ADV 0.12% of their portfolio ATLANTA, GA 35,00035.0k $221.0k $221.0k 0.12% Unchanged
69 HUB Investment Partners, LLC 0.03% of their portfolio AUSTIN, TX 34,83534.8k $220.5k $220.5k 0.03% Added +68 +68
70 Biechele Royce Advisors 0.08% of their portfolio FISHERS, IN 34,09034.1k $216.0k $216.0k 0.08% Unchanged
71 MERIDIAN INVESTMENT COUNSEL INC. 0.08% of their portfolio LAFAYETTE, CA 32,85032.9k $207.9k $207.9k 0.08% Unchanged
72 KEYBANK NATIONAL ASSOCIATION/OH 0.00% of their portfolio BROOKLYN, OH 32,00032.0k $202.6k $202.6k 0.00% Unchanged
73 Gerber Kawasaki Wealth & Investment Management 0.01% of their portfolio SANTA MONICA, CA 30,05030.1k $190.2k $190.2k 0.01% Reduced -7.4k -7,420
74 Ameritas Advisory Services, LLC 0.01% of their portfolio Lincoln, NE 30,00430.0k $181.8k $181.8k 0.01% Added +9.1k +9,100
75 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 27,89127.9k $176.5k $176.5k 0.00% Reduced -17.0k -16,953
76 Wealthcare Advisory Partners LLC 0.01% of their portfolio WEST CHESTER, PA 26,94026.9k $170.5k $170.5k 0.01% Added +2.0k +2,030
77 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 26,65626.7k $168.7k $168.7k 0.00% New
78 PATHSTONE FAMILY OFFICE, LLC 0.00% of their portfolio ENGLEWOOD, NJ 25,00025.0k $158.2k $158.2k 0.00% New
79 Palogic Value Management, L.P. 0.08% of their portfolio DALLAS, TX 24,73724.7k $156.6k $156.6k 0.08% Unchanged
80 Ausdal Financial Partners, Inc. 0.02% of their portfolio Davenport, IA 24,33624.3k $154.0k $154.0k 0.02% Reduced -71 -71
81 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 22,51122.5k $142.5k $142.5k 0.00% Reduced -950 -950
82 FIFTH THIRD BANCORP 0.00% of their portfolio CINCINNATI, OH 22,11522.1k $140.0k $140.0k 0.00% Reduced -1.2k -1,185
83 NWF Advisory Services Inc. 0.03% of their portfolio Los Angeles, CA 21,20021.2k $134.2k $134.2k 0.03% Reduced -1.0k -1,000
84 COMERICA BANK 0.00% of their portfolio DALLAS, TX 20,44220.4k $129.4k $129.4k 0.00% New
85 Stonegate Investment Group, LLC 0.00% of their portfolio BIRMINGHAM, AL 19,59919.6k $124.1k $124.1k 0.00% Unchanged
86 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 18,95819.0k $120.0k $120.0k 0.00% Added +4.6k +4,591
87 Imprint Wealth LLC 0.10% of their portfolio MOUNT PLEASANT, SC 18,30018.3k $116.6k $116.6k 0.10% Unchanged
88 SHUFRO ROSE & CO LLC 0.01% of their portfolio NEW YORK, NY 17,50017.5k $110.8k $110.8k 0.01% Unchanged
89 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 17,08617.1k $108.2k $108.2k 0.00% Added +32 +32
90 CoreCap Advisors, LLC 0.01% of their portfolio SOUTHFIELD, MI 17,02917.0k $107.8k $107.8k 0.01% Unchanged
91 Atria Wealth Solutions, Inc. 0.00% of their portfolio NEW YORK, NY 16,42516.4k $104.7k $104.7k 0.00% Added +100 +100
92 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 16,05216.1k $101.6k $101.6k 0.00% New
93 EXENCIAL WEALTH ADVISORS, LLC 0.00% of their portfolio OKLAHOMA CITY, OK 15,49915.5k $98.1k $98.1k 0.00% Reduced -696 -696
94 Logan Stone Capital, LLC 0.03% of their portfolio CHICAGO, IL 15,00015.0k $95.0k $95.0k 0.03% New
95 Beacon Pointe Advisors, LLC 0.00% of their portfolio NEWPORT BEACH, CA 14,54114.5k $92.0k $92.0k 0.00% Added +200 +200
96 DAVENPORT & Co LLC 0.00% of their portfolio RICHMOND, VA 13,80513.8k $87.4k $87.4k 0.00% Unchanged
97 KESTRA PRIVATE WEALTH SERVICES, LLC 0.00% of their portfolio AUSTIN, TX 13,80013.8k $87.4k $87.4k 0.00% New
98 INDEPENDENT FINANCIAL GROUP, LLC 0.01% of their portfolio SAN DIEGO, CA 13,70413.7k $86.7k $86.7k 0.01% Reduced -2.5k -2,529
99 Prospera Financial Services Inc 0.00% of their portfolio Dallas, TX 13,63013.6k $86.3k $86.3k 0.00% New
100 Cetera Advisors LLC 0.00% of their portfolio DENVER, CO 13,31713.3k $84.3k $84.3k 0.00% Unchanged