Vault-13

NUVEEN PFD & INCOME OPPORTUN JPC

COM · Closed-End Fund · CUSIP 67073B106

287 institutional holders -13 vs Q4 2023
109,309,311109.3m shares reported held*
$787.3mreported value*
33 new 94 added 88 reduced 48 sold out net bought ≈ $90.5m (+12.6m 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 ≈ $7.20.

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 134Q4 22: 138Q1 23: 134Q2 23: 129Q3 23: 140Q4 23: 300Q1 24: 287287Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 2022134
Q4 2022138
Q1 2023134
Q2 2023129
Q3 2023140
Q4 2023300
Q1 2024287

Buyers vs sellers

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

Bought or addedCut or sold out
4000400Q4 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 23Q4 23: 245 bought or addedQ4 23: 26 cut or sold outQ4 23Q1 24: 127 bought or addedQ1 24: 136 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 20225365
Q1 20235660
Q2 20234761
Q3 20235355
Q4 202324526
Q1 2024127136

Biggest buyers

MORGAN STANLEY Added +15,371,164+15.4m
ALGEBRIS (UK) LTD Added +1,429,820+1.4m
LPL Financial LLC Added +1,200,496+1.2m
BANK OF AMERICA CORP /DE/ Added +610,025+610.0k
Baird Financial Group, Inc. Added +323,669+323.7k
Cetera Investment Advisers Added +215,668+215.7k
Advisors Asset Management, Inc. Added +176,037+176.0k
GUGGENHEIM CAPITAL LLC Added +128,786+128.8k
Hennion & Walsh Asset Management, Inc. Added +119,218+119.2k
WELLS FARGO & COMPANY/MN Added +112,760+112.8k

Biggest sellers

RIVERNORTH CAPITAL MANAGEMENT, LLC Reduced -2,563,375-2.6m
Saba Capital Management, L.P. Sold out -897,248-897.2k
RPO LLC Sold out -687,473-687.5k
Rockefeller Capital Management L.P. Reduced -517,058-517.1k
AQR Arbitrage LLC Reduced -400,525-400.5k
AE Wealth Management LLC Sold out -366,678-366.7k
LANDSCAPE CAPITAL MANAGEMENT, L.L.C. Reduced -346,416-346.4k
BOOTHBAY FUND MANAGEMENT, LLC Reduced -321,363-321.4k
Shaker Financial Services, LLC Reduced -314,123-314.1k
HighTower Advisors, LLC Reduced -285,927-285.9k

Insider purchases and sales in Q1 2024

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.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
101Q2 22: 0 buyingQ2 22: 0 sellingQ3 22: 0 buyingQ3 22: 0 sellingQ3 22Q4 22: 0 buyingQ4 22: 0 sellingQ1 23: 0 buyingQ1 23: 0 sellingQ1 23Q2 23: 0 buyingQ2 23: 0 sellingQ3 23: 0 buyingQ3 23: 0 sellingQ3 23Q4 23: 1 buyingQ4 23: 0 sellingQ1 24: 1 buyingQ1 24: 0 sellingQ1 24
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q2 20220—0——
Q3 20220—0——
Q4 20220—0——
Q1 20230—0——
Q2 20230—0——
Q3 20230—0——
Q4 20231$15.6k0——
Q1 20241$56.8k0——
DateInsiderTradeSharesPrice ValueTheir holding
2024-03-11 PERRY MICHAEL A Vice President Bought 7,900 $7.19 $56.8k7.9k shares new

Their holding: how much the trade added to or took from the insider's holding (direct, or the trust or fund named). The same trade is sometimes reported by more than one insider, such as a fund and the director who represents it; totals count it once. A value is left blank where the reported price is far from the market price (usually a typo).

Holders, Q1 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 40,378,69840.4m $290.3m $290.3m 0.01% Added +15.4m +15,371,164
2 RIVERNORTH CAPITAL MANAGEMENT, LLC 2.45% of their portfolio WEST PALM BEACH, FL 7,042,2697.0m $50.6m $50.6m 2.45% Reduced -2.6m -2,563,375
3 SIT INVESTMENT ASSOCIATES INC 1.09% of their portfolio Minneapolis, MN 6,578,6676.6m $47.3m $47.3m 1.09% Added +72.8k +72,775
4 Invesco Ltd. 0.01% of their portfolio ATLANTA, GA 4,420,5834.4m $31.8m $31.8m 0.01% Added +107.4k +107,415
5 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 3,345,4323.3m $24.1m $24.1m 0.01% Added +112.8k +112,760
6 UBS Group AG 0.01% of their portfolio ZURICH, V8 3,319,6163.3m $23.9m $23.9m 0.01% Reduced -66.8k -66,838
7 ALGEBRIS (UK) LTD 3.86% of their portfolio London, X0 2,859,6402.9m $19.1m $19.1m 3.86% Added +1.4m +1,429,820
8 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 2,809,7942.8m $20.2m $20.2m 0.01% Added +1.2m +1,200,496
9 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 2,500,0252.5m $18.0m $18.0m 0.00% Added +610.0k +610,025
10 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 2,269,9852.3m $16.3m $16.3m 0.01% Added +104.4k +104,414
11 Penserra Capital Management LLC 0.17% of their portfolio ORINDA, CA 1,854,8721.9m $13.3m $13.3m 0.17% Added +7.4k +7,373
12 AQR Arbitrage LLC 0.46% of their portfolio Greenwich, CT 1,818,5911.8m $13.1m $13.1m 0.46% Reduced -400.5k -400,525
13 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 1,763,4211.8m $12.7m $12.7m 0.02% Reduced -28.3k -28,336
14 COHEN & STEERS, INC. 0.02% of their portfolio NEW YORK, NY 1,395,7411.4m $10.0m $10.0m 0.02% Unchanged
15 Thomas J. Herzfeld Advisors, Inc. 2.96% of their portfolio MIAMI BEACH, FL 1,165,0601.2m $8.4m $8.4m 2.96% Reduced -152.5k -152,496
16 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 1,067,3381.1m $7.7m $7.7m 0.00% Reduced -1.5k -1,481
17 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 996,590996.6k $7.2m $7.2m 0.00% Reduced -165.9k -165,933
18 GREATMARK INVESTMENT PARTNERS, INC. 0.99% of their portfolio COLUMBUS, GA 967,236967.2k $7.0m $7.0m 0.99% Added +104.5k +104,523
19 Capital Investment Advisors, LLC 0.16% of their portfolio ATLANTA, GA 926,888926.9k $6.7m $6.7m 0.16% Added +87.2k +87,213
20 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 815,105815.1k $5.9m $5.9m 0.01% Reduced -15.7k -15,714
21 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 704,485704.5k $5.1m $5.1m 0.00% Added +4.5k +4,546
22 Hennion & Walsh Asset Management, Inc. 0.26% of their portfolio Parsippany, NJ 677,633677.6k $4.9m $4.9m 0.26% Added +119.2k +119,218
23 CAPTRUST FINANCIAL ADVISORS 0.02% of their portfolio RALEIGH, NC 675,202675.2k $4.9m $4.9m 0.02% Added +89.1k +89,054
24 GUGGENHEIM CAPITAL LLC 0.03% of their portfolio CHICAGO, IL 582,384582.4k $4.2m $4.2m 0.03% Added +128.8k +128,786
25 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 578,624578.6k $4.2m $4.2m 0.01% Reduced -8.9k -8,906
26 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 549,787549.8k $4.0m $4.0m 0.00% Added +34.3k +34,309
27 Moors & Cabot, Inc. 0.21% of their portfolio BOSTON, MA 542,696542.7k $3.9m $3.9m 0.21% Reduced -24.0k -23,952
28 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 532,770532.8k $3.8m $3.8m 0.01% Added +101.4k +101,383
29 Stratos Wealth Partners, LTD. 0.06% of their portfolio BEACHWOOD, OH 532,426532.4k $3.8m $3.8m 0.06% Reduced -4.4k -4,361
30 ROTHSCHILD INVESTMENT LLC 0.28% of their portfolio CHICAGO, IL 528,701528.7k $3.8m $3.8m 0.28% Added +8.5k +8,512
31 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 482,325482.3k $3.5m $3.5m 0.01% Added +323.7k +323,669
32 Advisors Asset Management, Inc. 0.07% of their portfolio Monument, CO 477,939477.9k $3.4m $3.4m 0.07% Added +176.0k +176,037
33 Pathstone Holdings, LLC 0.02% of their portfolio ENGLEWOOD, NJ 476,282476.3k $3.4m $3.4m 0.02% Reduced -77.2k -77,165
34 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 475,059475.1k $3.4m $3.4m 0.01% Reduced -7.4k -7,367
35 PROTECTIVE LIFE CORP 100.00% of their portfolio BIRMINGHAM, AL 440,000440.0k $3.2m $3.2m 100.00% Unchanged
36 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.28% of their portfolio Englewood, NJ 438,121438.1k $3.2m $3.2m 0.28% Reduced -346.4k -346,416
37 Lido Advisors, LLC 0.03% of their portfolio Los Angeles, CA 400,716400.7k $2.9m $2.9m 0.03% Added +33.5k +33,522
38 CAMPBELL CAPITAL MANAGEMENT INC 1.26% of their portfolio MIAMI, FL 399,064399.1k $2.9m $2.9m 1.26% Added +3.2k +3,207
39 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 345,396345.4k $2.5m $2.5m 0.01% Added +215.7k +215,668
40 Cerity Partners LLC 0.01% of their portfolio NEW YORK, NY 343,262343.3k $2.5m $2.5m 0.01% Added +68.5k +68,507
41 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 334,445334.4k $2.4m $2.4m 0.00% Added +19.4k +19,435
42 Sowell Financial Services LLC 0.11% of their portfolio NORTH LITTLE ROCK, AR 330,100330.1k $2.4m $2.4m 0.11% Added +78.5k +78,533
43 PARK AVENUE SECURITIES LLC 0.03% of their portfolio NEW YORK, NY 326,379326.4k $2.3m $2.3m 0.03% Added +56.2k +56,245
44 Chicago Partners Investment Group LLC 0.09% of their portfolio CHICAGO, IL 300,509300.5k $2.1m $2.1m 0.09% Added +31.0k +30,974
45 Rareview Capital LLC 2.05% of their portfolio LAS VEGAS, NV 289,879289.9k $2.1m $2.1m 2.05% Reduced -118.7k -118,736
46 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 280,545280.5k $2.0m $2.0m 0.00% Added +24.3k +24,320
47 Fiera Capital Corp 0.01% of their portfolio MONTREAL, A8 277,253277.3k $2.0m $2.0m 0.01% Added +2.0k +1,991
48 NewEdge Advisors, LLC 0.02% of their portfolio NEW ORLEANS, LA 245,115245.1k $1.8m $1.8m 0.02% Added +33.4k +33,356
49 CoreCap Advisors, LLC 0.09% of their portfolio SOUTHFIELD, MI 240,931240.9k $1.7m $1.7m 0.09% Reduced -23.8k -23,784
50 DAVENPORT & Co LLC 0.01% of their portfolio RICHMOND, VA 219,873219.9k $1.6m $1.6m 0.01% Reduced -857 -857
51 PETRA FINANCIAL ADVISORS INC 1.08% of their portfolio COLORADO SRPINGS, CO 204,892204.9k $1.5m $1.5m 1.08% Reduced -1.6k -1,597
52 FCA CORP /TX 0.47% of their portfolio HOUSTON, TX 203,555203.6k $1.5m $1.5m 0.47% Added +26.0k +26,049
53 MSH Capital Advisors LLC 0.50% of their portfolio SCOTTSDALE, AZ 196,211196.2k $1.4m $1.4m 0.50% Added +4.1k +4,079
54 Jupiter Wealth Management LLC 0.70% of their portfolio GLENDALE, CO 182,794182.8k $1.3m $1.3m 0.70% Unchanged
55 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 175,476175.5k $1.3m $1.3m 0.01% Reduced -7.5k -7,488
56 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 158,412158.4k $1.1m $1.1m 0.00% Reduced -14.0k -14,000
57 Shaker Financial Services, LLC 0.44% of their portfolio Arlington, VA 158,013158.0k $1.1m $1.1m 0.44% Reduced -314.1k -314,123
58 Geneos Wealth Management Inc. 0.05% of their portfolio ENGLEWOOD, CO 152,772152.8k $1.1m $1.1m 0.05% Reduced -10.9k -10,934
59 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 128,821128.8k $926.2k $926.2k 0.00% Reduced -517.1k -517,058
60 E&G Advisors, LLC 0.25% of their portfolio HOUSTON, TX 112,350112.3k $807.1k $807.1k 0.25% Reduced -1.1k -1,050
61 Kestra Advisory Services, LLC 0.01% of their portfolio AUSTIN, TX 108,844108.8k $782.6k $782.6k 0.01% Added +2.0k +1,962
62 Mariner, LLC 0.00% of their portfolio Overland Park, KS 107,967108.0k $776.3k $776.3k 0.00% Added +1.7k +1,711
63 MELFA WEALTH MANAGEMENT, INC. 0.54% of their portfolio WESTBOROUGH, MA 104,456104.5k $751.0k $751.0k 0.54% Added +15 +15
64 WEDBUSH SECURITIES INC 0.03% of their portfolio PASADENA, CA 103,154103.2k $742.0k $742.0k 0.03% Reduced -832 -832
65 Palogic Value Management, L.P. 0.32% of their portfolio DALLAS, TX 102,293102.3k $735.5k $735.5k 0.32% Unchanged
66 CARY STREET PARTNERS INVESTMENT ADVISORY LLC 0.03% of their portfolio RICHMOND, VA 99,74299.7k $717.1k $717.1k 0.03% Added +3.6k +3,637
67 Samalin Investment Counsel, LLC 0.32% of their portfolio CHAPPAQUA, NY 94,74094.7k $681.2k $681.2k 0.32% Added +2.1k +2,137
68 PREVAIL INNOVATIVE WEALTH ADVISORS, LLC 0.25% of their portfolio LEAWOOD, KS 92,24892.2k $663.3k $663.3k 0.25% Added +56.8k +56,755
69 WHITTIER TRUST CO 0.01% of their portfolio SOUTH PASADENA, CA 91,50791.5k $657.9k $657.9k 0.01% Reduced -7.2k -7,171
70 Wealthcare Advisory Partners LLC 0.02% of their portfolio WEST CHESTER, PA 91,29091.3k $656.4k $656.4k 0.02% Reduced -6.7k -6,664
71 Shulman DeMeo Asset Management LLC 0.17% of their portfolio LAKE SUCCESS, NY 90,69590.7k $652.1k $652.1k 0.17% Reduced -474 -474
72 Wela Strategies, Inc. 0.30% of their portfolio ATLANTA, GA 89,22689.2k $641.5k $641.5k 0.30% Reduced -54.7k -54,690
73 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 88,80488.8k $637.0k $637.0k 0.00% Reduced -285.9k -285,927
74 Benchmark Investment Advisors LLC 0.50% of their portfolio CHICAGO, IL 88,00088.0k $632.7k $632.7k 0.50% New
75 COMERICA BANK 0.00% of their portfolio DALLAS, TX 87,44587.4k $628.7k $628.7k 0.00% Reduced -2.2k -2,171
76 SageView Advisory Group, LLC 0.18% of their portfolio Newport Beach, CA 86,26586.3k $3.6m $3.6m 0.18% Added +67.8k +67,824
77 Spire Wealth Management 0.01% of their portfolio MCLEAN, VA 85,64985.6k $615.8k $615.8k 0.01% Added +14.3k +14,348
78 Accel Wealth Management 0.26% of their portfolio WAVERLY, IA 84,11984.1k $604.8k $604.8k 0.26% Added +1.1k +1,145
79 All Season Financial Advisors, Inc. 0.50% of their portfolio DENVER, CO 83,89883.9k $603.2k $603.2k 0.50% Added +4.7k +4,715
80 CHOREO, LLC 0.02% of their portfolio ROCKFORD, IL 83,36283.4k $599.4k $599.4k 0.02% New
81 PRINCIPAL SECURITIES, INC. 0.02% of their portfolio DES MOINES, IA 80,57980.6k $579.4k $579.4k 0.02% Reduced -864 -864
82 MARINO, STRAM & ASSOCIATES LLC 0.13% of their portfolio BRAINTREE, MA 79,16179.2k $569.2k $569.2k 0.13% Unchanged
83 Eudaimonia Partners, LLC 0.14% of their portfolio Winchester, TN 79,06179.1k $568.4k $568.4k 0.14% Reduced -9.3k -9,259
84 LEVEL FOUR ADVISORY SERVICES, LLC 0.03% of their portfolio DALLAS, TX 76,33776.3k $516.0k $516.0k 0.03% Unchanged
85 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 73,86973.9k $533.8k $533.8k 0.01% Reduced -24.6k -24,648
86 Diversify Advisory Services, LLC 0.03% of their portfolio SANDY, UT 73,00073.0k $522.7k $522.7k 0.03% First filing
87 Financial Enhancement Group LLC 0.08% of their portfolio ANDERSON, IN 71,97772.0k $497.4k $497.4k 0.08% Reduced -2.6k -2,591
88 Stolper Co 0.18% of their portfolio TULSA, OK 68,77668.8k $494.0k $494.0k 0.18% Added +676 +676
89 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 61,12661.1k $439.5k $439.5k 0.00% Added +1.9k +1,940
90 MOSAIC FAMILY WEALTH PARTNERS, LLC 0.07% of their portfolio ST. LOUIS, MO 59,47059.5k $427.6k $427.6k 0.07% Reduced -17.1k -17,117
91 RVW Wealth, LLC 0.04% of their portfolio LOS ANGELES, CA 58,50058.5k $420.6k $420.6k 0.04% Unchanged
92 HUB Investment Partners, LLC 0.02% of their portfolio AUSTIN, TX 58,26858.3k $418.9k $418.9k 0.02% Added +23.5k +23,489
93 WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC 0.16% of their portfolio HIGHLAND PARK, IL 55,26955.3k $397.4k $397.4k 0.16% Added +6.5k +6,550
94 TOWNSQUARE CAPITAL LLC 0.01% of their portfolio Lehi, UT 54,24754.2k $390.0k $390.0k 0.01% Reduced -1.6k -1,557
95 Gridiron Partners, LLC 0.24% of their portfolio Wexford, PA 52,96953.0k $380.8k $380.8k 0.24% Unchanged
96 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 51,93951.9k $373.4k $373.4k 0.01% Unchanged
97 CSS LLC/IL 0.03% of their portfolio CHICAGO, IL 51,60551.6k $371.0k $371.0k 0.03% Unchanged
98 Live Oak Private Wealth LLC 0.06% of their portfolio WILMINGTON, NC 51,46051.5k $370.0k $370.0k 0.06% Unchanged
99 Corient Private Wealth LP 0.00% of their portfolio MIAMI, FL 51,29351.3k $368.8k $368.8k 0.00% Added +23.6k +23,553
100 Ameritas Advisory Services, LLC 0.01% of their portfolio Lincoln, NE 50,56850.6k $361.6k $361.6k 0.01% New