PFO

Flaherty & Crumrine Preferred and Income Opportunity Fund
PFO

Overview Fund Activity

25 hedge funds and large institutions have $9.25M invested in Flaherty & Crumrine Preferred and Income Opportunity Fund in 2013 Q3 according to their latest regulatory filings, with 3 funds opening new positions, 11 increasing their positions, 7 reducing their positions, and 5 closing their positions.

Holders
25
Holders Change
-2
Holders Change %
-7.41%
% of All Funds
0.81%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
3
Increased
11
Reduced
7
Closed
5
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
SIA
1
Sit Investment Associates
Minnesota
$757K
2
ICAS
2
Investors Capital Advisory Services
Massachusetts
$208K
3
Morgan Stanley
3
Morgan Stanley
New York
$593K
4
CHA
4
Cedar Hill Associates
Illinois
$748K
5
VFS
5
VSR Financial Services
Kansas
$220K

Top Sellers

1
Fifth Third Bancorp
1
Fifth Third Bancorp
Ohio
$3.89M
2
HFM
2
Hartford Financial Management
Connecticut
$0
3
GC
3
Guggenheim Capital
Illinois
$498K
4
UCFA
4
United Capital Financial Advisors
Texas
$0
5
LPL Financial
5
LPL Financial
California
$440K
Name Market Value Shares Shares
Change 		Shares
Change %
Fifth Third Bancorp
1
Fifth Third Bancorp
Ohio
$3.89M 381,046 -112,099 -23%
SIA
2
Sit Investment Associates
Minnesota
$757K 74,100 +31,100 +72%
CHA
3
Cedar Hill Associates
Illinois
$748K 73,300 +7,600 +12%
CCM
4
Covington Capital Management
California
$635K 62,208 -1,500 -2%
Morgan Stanley
5
Morgan Stanley
New York
$593K 58,097 +12,073 +26%
GC
6
Guggenheim Capital
Illinois
$498K 48,743 -20,494 -30%
LPL Financial
7
LPL Financial
California
$440K 44,027 -9,996 -19%
SI
8
SII Investments
Wisconsin
$220K 21,715 – –
VFS
9
VSR Financial Services
Kansas
$220K 21,529 +7,248 +51%
ICAS
10
Investors Capital Advisory Services
Massachusetts
$208K 20,388 +20,388 New
U
11
UBS
Switzerland
$174K 17,000 – –
Wells Fargo
12
Wells Fargo
California
$172K 16,854 -4,579 -21%
WAM
13
Wolverine Asset Management
Illinois
$159K 15,624 +6,989 +81%
Creative Planning
14
Creative Planning
Kansas
$102K 9,948 +470 +5%
Citigroup
15
Citigroup
New York
$100K 9,810 +163 +2%
WA
16
WFG Advisors
Texas
$80K 7,884 -121 -2%
FNBT
17
FineMark National Bank & Trust
Florida
$71K 7,000 +7,000 New
Bank of America
18
Bank of America
North Carolina
$68K 6,652 +430 +7%
Royal Bank of Canada
19
Royal Bank of Canada
Ontario, Canada
$25K 2,450 +100 +4%
SF
20
Synovus Financial
Georgia
$22K 2,110 – –
EWM
21
Elite Wealth Management
Washington
$20K 2,000 – –
Ameriprise
22
Ameriprise
Minnesota
$19K 1,900 +700 +58%
AIG
23
American International Group
New York
$10.2K 1,000 -3,274 -77%
TRCT
24
Tower Research Capital (TRC)
New York
$9K 900 +842 +1,452%
FAM
25
Formidable Asset Management
Ohio
$5K 535 +535 New
1
2