PFO

Flaherty & Crumrine Preferred and Income Opportunity Fund
PFO

Overview Fund Activity

24 hedge funds and large institutions have $12.3M invested in Flaherty & Crumrine Preferred and Income Opportunity Fund in 2014 Q1 according to their latest regulatory filings, with 1 funds opening new positions, 7 increasing their positions, 9 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
24
Holders Change
-2
Holders Change %
-7.69%
% of All Funds
0.69%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
1
Increased
7
Reduced
9
Closed
3
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Wells Fargo
Wells Fargo
California
$1.26M
2
Morgan Stanley
Morgan Stanley
New York
$1.08M
3
LPL Financial
LPL Financial
California
$698K
4
SIA
Sit Investment Associates
Minnesota
$2.26M
5
LWM
Lenox Wealth Management
Ohio
$37K

Top Sellers

1
WAM
Wolverine Asset Management
Illinois
$0
2
CHA
Cedar Hill Associates
Illinois
$661K
3
GC
Guggenheim Capital
Illinois
$371K
4
PRCM
Pine River Capital Management
Minnesota
$0
5
Creative Planning
Creative Planning
Kansas
$35K
Name Holding Trade Value Shares
Change 		Shares
Change %
Fifth Third Bancorp
1
Fifth Third Bancorp
Ohio
$3.79M -$21.9K -1,930 -0.6%
SIA
2
Sit Investment Associates
Minnesota
$2.26M +$67K +5,900 +3%
Wells Fargo
3
Wells Fargo
California
$1.26M +$1.01M +89,075 +409%
Morgan Stanley
4
Morgan Stanley
New York
$1.08M +$176K +15,496 +20%
CCM
5
Covington Capital Management
California
$706K – – –
LPL Financial
6
LPL Financial
California
$698K +$132K +11,631 +23%
CHA
7
Cedar Hill Associates
Illinois
$661K -$133K -11,700 -17%
GC
8
Guggenheim Capital
Illinois
$371K -$132K -11,611 -26%
ICAS
9
Investors Capital Advisory Services
Massachusetts
$251K – – –
VFS
10
VSR Financial Services
Kansas
$246K -$4.53K -399 -2%
U
11
UBS
Switzerland
$225K +$32K +2,820 +17%
SI
12
SII Investments
Wisconsin
$164K -$43.3K -4,115 -21%
DADC
13
D.A. Davidson & Co
Montana
$163K +$11.3K +1,000 +7%
Citigroup
14
Citigroup
New York
$116K +$1.87K +164 +2%
WA
15
WFG Advisors
Texas
$89K – – –
Bank of America
16
Bank of America
North Carolina
$74K -$708 -63 -0.9%
LWM
17
Lenox Wealth Management
Ohio
$37K +$37K +1,950 New
Creative Planning
18
Creative Planning
Kansas
$35K -$78.5K -6,880 -69%
Royal Bank of Canada
19
Royal Bank of Canada
Ontario, Canada
$33K – – –
SF
20
Synovus Financial
Georgia
$24K – – –
AIG
21
American International Group
New York
$23.3K -$11.4K -1,000 -33%
EWM
22
Elite Wealth Management
Washington
$23K – – –
FAM
23
Formidable Asset Management
Ohio
$6K – – –
WAM
24
Wolverine Asset Management
Illinois
– -$194K -19,338 Closed
PRCM
25
Pine River Capital Management
Minnesota
– -$103K -10,282 Closed
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