Vault-13

NUVEEN PFD & INCOME OPPORTUN JPC

COM · Closed-End Fund · CUSIP 67073B106

289 institutional holders +7 vs Q2 2024
65,289,62665.3m shares reported held*
$523.7mreported value*
36 new 97 added 73 reduced 32 sold out net sold ≈ $104.1m (-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 ≈ $8.02.

Trends to Q3 2024

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 134Q4 22: 138Q1 23: 134Q2 23: 129Q3 23: 140Q4 23: 300Q1 24: 287Q2 24: 282Q3 24: 289289Q3 22Q1 23Q3 23Q1 24Q3 24
Numbers
QuarterHolders
Q3 2022134
Q4 2022138
Q1 2023134
Q2 2023129
Q3 2023140
Q4 2023300
Q1 2024287
Q2 2024282
Q3 2024289

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 outQ1 23: 56 bought or addedQ1 23: 60 cut or sold outQ1 23Q2 23: 47 bought or addedQ2 23: 61 cut or sold outQ3 23: 53 bought or addedQ3 23: 55 cut or sold outQ3 23Q4 23: 245 bought or addedQ4 23: 26 cut or sold outQ1 24: 127 bought or addedQ1 24: 136 cut or sold outQ1 24Q2 24: 108 bought or addedQ2 24: 122 cut or sold outQ3 24: 133 bought or addedQ3 24: 105 cut or sold outQ3 24
Numbers
QuarterBought or addedCut or sold out
Q4 20225365
Q1 20235660
Q2 20234761
Q3 20235355
Q4 202324526
Q1 2024127136
Q2 2024108122
Q3 2024133105

Biggest buyers

UBS Group AG Added +473,948+473.9k
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC Added +343,834+343.8k
GUGGENHEIM CAPITAL LLC Added +250,800+250.8k
JANE STREET GROUP, LLC Added +224,283+224.3k
RAYMOND JAMES & ASSOCIATES Added +190,036+190.0k
Advisors Asset Management, Inc. Added +167,337+167.3k
CAPTRUST FINANCIAL ADVISORS Added +136,709+136.7k
COMMONWEALTH EQUITY SERVICES, LLC Added +99,924+99.9k
Hennion & Walsh Asset Management, Inc. Added +98,740+98.7k
LPL Financial LLC Added +94,049+94.0k

Biggest sellers

RIVERNORTH CAPITAL MANAGEMENT, LLC Sold out -5,055,008-5.1m
MORGAN STANLEY Reduced -2,994,338-3.0m
ALGEBRIS (UK) LTD Sold out -1,429,820-1.4m
Penserra Capital Management LLC Reduced -1,276,056-1.3m
AQR Arbitrage LLC Reduced -1,120,072-1.1m
SIT INVESTMENT ASSOCIATES INC Reduced -971,205-971.2k
Invesco Ltd. Reduced -923,413-923.4k
AMERIPRISE FINANCIAL INC Reduced -512,873-512.9k
Thomas J. Herzfeld Advisors, Inc. Reduced -486,730-486.7k
PETRA FINANCIAL ADVISORS INC Sold out -200,937-200.9k

Insider purchases and sales in Q3 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
101Q4 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 24Q2 24: 0 buyingQ2 24: 0 sellingQ3 24: 0 buyingQ3 24: 0 sellingQ3 24
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q4 20220—0——
Q1 20230—0——
Q2 20230—0——
Q3 20230—0——
Q4 20231$15.6k0——
Q1 20241$56.8k0——
Q2 20240—0——
Q3 20240—0——

None reported in Q3 2024.

Holders, Q3 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 9,376,9299.4m $75.7m $75.7m 0.01% Reduced -3.0m -2,994,338
2 SIT INVESTMENT ASSOCIATES INC 0.94% of their portfolio Minneapolis, MN 5,229,5305.2m $42.2m $42.2m 0.94% Reduced -971.2k -971,205
3 UBS Group AG 0.01% of their portfolio ZURICH, V8 4,010,3124.0m $32.4m $32.4m 0.01% Added +473.9k +473,948
4 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 3,461,3153.5m $27.9m $27.9m 0.01% Added +27.4k +27,392
5 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 3,415,0693.4m $27.6m $27.6m 0.01% Added +94.0k +94,049
6 Invesco Ltd. 0.01% of their portfolio ATLANTA, GA 3,211,5323.2m $25.9m $25.9m 0.01% Reduced -923.4k -923,413
7 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 3,198,7063.2m $25.8m $25.8m 0.00% Reduced -100.8k -100,772
8 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 2,562,4982.6m $20.7m $20.7m 0.01% Added +190.0k +190,036
9 COMMONWEALTH EQUITY SERVICES, LLC 0.03% of their portfolio WALTHAM, MA 2,193,7842.2m $17.7m $17.7m 0.03% Added +99.9k +99,924
10 COHEN & STEERS, INC. 0.02% of their portfolio NEW YORK, NY 1,365,7411.4m $11.0m $11.0m 0.02% Unchanged
11 Capital Investment Advisors, LLC 0.18% of their portfolio ATLANTA, GA 1,069,2961.1m $8.6m $8.6m 0.18% Added +53.1k +53,059
12 GREATMARK INVESTMENT PARTNERS, INC. 1.12% of their portfolio COLUMBUS, GA 1,022,2421.0m $8.2m $8.2m 1.12% Reduced -7.9k -7,854
13 GUGGENHEIM CAPITAL LLC 0.06% of their portfolio CHICAGO, IL 1,015,3151.0m $8.2m $8.2m 0.06% Added +250.8k +250,800
14 Hennion & Walsh Asset Management, Inc. 0.35% of their portfolio Parsippany, NJ 918,156918.2k $7.4m $7.4m 0.35% Added +98.7k +98,740
15 Advisors Asset Management, Inc. 0.13% of their portfolio Monument, CO 857,035857.0k $6.9m $6.9m 0.13% Added +167.3k +167,337
16 CAPTRUST FINANCIAL ADVISORS 0.02% of their portfolio RALEIGH, NC 844,947844.9k $6.8m $6.8m 0.02% Added +136.7k +136,709
17 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 751,348751.3k $6.1m $6.1m 0.00% Added +1.9k +1,912
18 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 714,553714.6k $5.8m $5.8m 0.01% Added +5.0k +4,965
19 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 666,648666.6k $5.4m $5.4m 0.01% Added +44.9k +44,876
20 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 622,813622.8k $5.0m $5.0m 0.00% Reduced -112.3k -112,268
21 Penserra Capital Management LLC 0.11% of their portfolio ORINDA, CA 620,969621.0k $5.0m $5.0m 0.11% Reduced -1.3m -1,276,056
22 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 611,042611.0k $4.9m $4.9m 0.01% Added +74.1k +74,105
23 Thomas J. Herzfeld Advisors, Inc. 1.52% of their portfolio MIAMI BEACH, FL 563,822563.8k $4.6m $4.6m 1.52% Reduced -486.7k -486,730
24 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 554,891554.9k $4.5m $4.5m 0.00% Reduced -1.2k -1,246
25 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 544,682544.7k $4.4m $4.4m 0.00% Reduced -512.9k -512,873
26 Moors & Cabot, Inc. 0.22% of their portfolio BOSTON, MA 541,845541.8k $4.4m $4.4m 0.22% Added +2.5k +2,516
27 Stratos Wealth Partners, LTD. 0.06% of their portfolio BEACHWOOD, OH 530,063530.1k $4.3m $4.3m 0.06% Added +1.2k +1,206
28 Cerity Partners LLC 0.01% of their portfolio NEW YORK, NY 515,543515.5k $4.2m $4.2m 0.01% Added +83.1k +83,119
29 ROTHSCHILD INVESTMENT LLC 0.27% of their portfolio CHICAGO, IL 514,042514.0k $4.1m $4.1m 0.27% Reduced -8.8k -8,843
30 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 484,589484.6k $3.9m $3.9m 0.01% Added +7.3k +7,324
31 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 454,322454.3k $3.7m $3.7m 0.01% Added +4.1k +4,098
32 PROTECTIVE LIFE CORP 100.00% of their portfolio BIRMINGHAM, AL 440,000440.0k $3.6m $3.6m 100.00% Unchanged
33 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 422,235422.2k $3.4m $3.4m 0.01% Added +23.3k +23,296
34 Lido Advisors, LLC 0.02% of their portfolio Los Angeles, CA 396,961397.0k $3.2m $3.2m 0.02% Unchanged
35 CAMPBELL CAPITAL MANAGEMENT INC 1.26% of their portfolio MIAMI, FL 393,267393.3k $3.2m $3.2m 1.26% Reduced -5.3k -5,338
36 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.13% of their portfolio ORLANDO, FL 392,409392.4k $48.6k $48.6k 0.13% Added +343.8k +343,834
37 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 330,895330.9k $2.7m $2.7m 0.00% Reduced -16.6k -16,649
38 Chicago Partners Investment Group LLC 0.09% of their portfolio CHICAGO, IL 317,337317.3k $2.6m $2.6m 0.09% Added +13.5k +13,510
39 Sowell Financial Services LLC 0.12% of their portfolio NORTH LITTLE ROCK, AR 310,378310.4k $2.5m $2.5m 0.12% Reduced -18.4k -18,429
40 Rareview Capital LLC 1.75% of their portfolio LAS VEGAS, NV 289,928289.9k $2.3m $2.3m 1.75% Unchanged
41 Fiera Capital Corp 0.01% of their portfolio MONTREAL, A8 284,541284.5k $2.3m $2.3m 0.01% Added +7.3k +7,288
42 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 275,794275.8k $2.2m $2.2m 0.00% Reduced -11.2k -11,222
43 DAVENPORT & Co LLC 0.01% of their portfolio RICHMOND, VA 267,470267.5k $2.2m $2.2m 0.01% Added +35.4k +35,425
44 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 262,070262.1k $2.1m $2.1m 0.01% Added +10.2k +10,212
45 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 243,162243.2k $2.0m $2.0m 0.00% Added +224.3k +224,283
46 PREVAIL INNOVATIVE WEALTH ADVISORS, LLC 0.59% of their portfolio LEAWOOD, KS 238,150238.2k $1.9m $1.9m 0.59% Reduced -137.9k -137,920
47 CoreCap Advisors, LLC 0.09% of their portfolio SOUTHFIELD, MI 234,072234.1k $1.9m $1.9m 0.09% Reduced -338 -338
48 FCA CORP /TX 0.55% of their portfolio HOUSTON, TX 223,366223.4k $1.8m $1.8m 0.55% Added +14.4k +14,422
49 Sanctuary Advisors, LLC 0.01% of their portfolio INDIANAPOLIS, IN 210,234210.2k $1.7m $1.7m 0.01% Added +24.8k +24,849
50 MSH Capital Advisors LLC 0.50% of their portfolio SCOTTSDALE, AZ 204,504204.5k $1.7m $1.7m 0.50% Added +442 +442
51 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 183,412183.4k $1.5m $1.5m 0.00% Added +25.0k +25,000
52 Geneos Wealth Management Inc. 0.05% of their portfolio ENGLEWOOD, CO 167,238167.2k $1.3m $1.3m 0.05% Added +6.1k +6,135
53 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 156,035156.0k $1.3m $1.3m 0.01% Added +10.4k +10,409
54 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 122,436122.4k $988.1k $988.1k 0.00% Added +84.7k +84,722
55 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 120,390120.4k $969.0k $969.0k 0.00% Added +48.7k +48,689
56 CHOREO, LLC 0.01% of their portfolio ROCKFORD, IL 119,868119.9k $966.1k $966.1k 0.01% Reduced -37.4k -37,412
57 Kestra Advisory Services, LLC 0.01% of their portfolio AUSTIN, TX 116,935116.9k $943.7k $943.7k 0.01% Added +12.3k +12,286
58 E&G Advisors, LLC 0.24% of their portfolio HOUSTON, TX 107,850107.8k $868.8k $868.8k 0.24% Reduced -1.6k -1,600
59 AQR Arbitrage LLC 0.02% of their portfolio Greenwich, CT 103,913103.9k $838.6k $838.6k 0.02% Reduced -1.1m -1,120,072
60 Mariner, LLC 0.00% of their portfolio Overland Park, KS 103,417103.4k $834.6k $834.6k 0.00% Reduced -9.1k -9,126
61 Samalin Investment Counsel, LLC 0.36% of their portfolio CHAPPAQUA, NY 101,361101.4k $818.0k $818.0k 0.36% Added +6.1k +6,115
62 Palogic Value Management, L.P. 0.33% of their portfolio DALLAS, TX 101,305101.3k $817.5k $817.5k 0.33% Unchanged
63 MELFA WEALTH MANAGEMENT, INC. 0.54% of their portfolio WESTBOROUGH, MA 101,117101.1k $816.0k $816.0k 0.54% Reduced -3.2k -3,240
64 CARY STREET PARTNERS INVESTMENT ADVISORY LLC 0.03% of their portfolio RICHMOND, VA 92,90492.9k $749.7k $749.7k 0.03% Reduced -2.3k -2,300
65 Shulman DeMeo Asset Management LLC 0.18% of their portfolio LAKE SUCCESS, NY 90,56690.6k $730.9k $730.9k 0.18% Added +43 +43
66 Wealthcare Advisory Partners LLC 0.02% of their portfolio WEST CHESTER, PA 88,69988.7k $715.8k $715.8k 0.02% Added +3.2k +3,187
67 Benchmark Investment Advisors LLC 0.51% of their portfolio CHICAGO, IL 88,00088.0k $710.2k $710.2k 0.51% Unchanged
68 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 85,11485.1k $686.0k $686.0k 0.02% Added +33.8k +33,773
69 COMERICA BANK 0.00% of their portfolio DALLAS, TX 84,19084.2k $679.4k $679.4k 0.00% Added +12.9k +12,884
70 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 84,14384.1k $682.4k $682.4k 0.01% Added +856 +856
71 Bramshill Investments, LLC 0.07% of their portfolio NAPLES, FL 81,09181.1k $654.4k $654.4k 0.07% Added +75.6k +75,569
72 Accel Wealth Management 0.24% of their portfolio WAVERLY, IA 80,64680.6k $650.8k $650.8k 0.24% Reduced -2.0k -1,951
73 All Season Financial Advisors, Inc. 0.55% of their portfolio DENVER, CO 80,23980.2k $647.5k $647.5k 0.55% Added +540 +540
74 Triumph Capital Management 0.23% of their portfolio DENVER, CO 80,21180.2k $652.6k $652.6k 0.23% New
75 MARINO, STRAM & ASSOCIATES LLC 0.14% of their portfolio BRAINTREE, MA 79,16179.2k $638.8k $638.8k 0.14% Unchanged
76 LEVEL FOUR ADVISORY SERVICES, LLC 0.03% of their portfolio DALLAS, TX 78,73878.7k $633.1k $633.1k 0.03% Added +7.1k +7,102
77 PRINCIPAL SECURITIES, INC. 0.01% of their portfolio DES MOINES, IA 74,70074.7k $602.8k $602.8k 0.01% Reduced -4.7k -4,694
78 WEDBUSH SECURITIES INC 0.02% of their portfolio PASADENA, CA 74,68774.7k $603.0k $603.0k 0.02% Reduced -4.2k -4,215
79 &PARTNERS 0.01% of their portfolio NASHVILLE, TN 73,31573.3k $591.7k $591.7k 0.01% New
80 Diversify Advisory Services, LLC 0.03% of their portfolio SANDY, UT 73,00073.0k $591.3k $591.3k 0.03% Unchanged
81 Stolper Co 0.18% of their portfolio TULSA, OK 67,21967.2k $542.0k $542.0k 0.18% Reduced -1.2k -1,179
82 Spire Wealth Management 0.02% of their portfolio MCLEAN, VA 64,94764.9k $524.1k $524.1k 0.02% Added +18.7k +18,727
83 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 63,91863.9k $515.2k $515.2k 0.00% Added +27.6k +27,569
84 Wela Strategies, Inc. 0.21% of their portfolio ATLANTA, GA 59,04059.0k $476.5k $476.5k 0.21% Reduced -33.5k -33,495
85 RVW Wealth, LLC 0.04% of their portfolio LOS ANGELES, CA 58,50058.5k $472.1k $472.1k 0.04% Unchanged
86 MOSAIC FAMILY WEALTH PARTNERS, LLC 0.07% of their portfolio ST. LOUIS, MO 58,44458.4k $471.6k $471.6k 0.07% Unchanged
87 Centurion Wealth Management LLC 0.15% of their portfolio Mclean, VA 58,23558.2k $470.0k $470.0k 0.15% First filing
88 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 57,38857.4k $463.1k $463.1k 0.00% Reduced -1.0k -1,045
89 Shaker Financial Services, LLC 0.17% of their portfolio Arlington, VA 57,00057.0k $464.2k $464.2k 0.17% New
90 Carson Advisory Inc. 0.28% of their portfolio ATHENS, GA 55,63855.6k $449.0k $449.0k 0.28% Added +18.1k +18,128
91 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 55,50055.5k $447.9k $447.9k 0.00% New
92 WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC 0.17% of their portfolio HIGHLAND PARK, IL 55,26955.3k $446.0k $446.0k 0.17% Unchanged
93 Sage Capital Advisors,llc 0.12% of their portfolio SIOUX FALLS, SD 54,82754.8k $442.5k $442.5k 0.12% Added +2.5k +2,469
94 TOWNSQUARE CAPITAL LLC 0.01% of their portfolio Lehi, UT 53,80253.8k $434.2k $434.2k 0.01% Added +74 +74
95 Gridiron Partners, LLC 0.26% of their portfolio Wexford, PA 52,96953.0k $427.5k $427.5k 0.26% Unchanged
96 Live Oak Private Wealth LLC 0.07% of their portfolio WILMINGTON, NC 51,46051.5k $415.3k $415.3k 0.07% Unchanged
97 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 50,95151.0k $411.2k $411.2k 0.01% Reduced -988 -988
98 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 50,50550.5k $377.3k $377.3k 0.01% Unchanged
99 XTX Topco Ltd 0.03% of their portfolio LONDON, X0 48,22648.2k $389.2k $389.2k 0.03% Added +36.5k +36,491
100 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 47,35847.4k $382.2k $382.2k 0.01% Added +193 +193