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PFO

Flaherty & Crumrine Preferred and Income Opportunity Fund
PFO

Name Holding Trade Value Shares
Change 		Change in
Stake
SXL
1
Summit X LLC
Missouri
$2.59M +$218K +19,599 +9%
Morgan Stanley
2
Morgan Stanley
New York
$2.07M +$491K +44,179 +29%
Fifth Third Bancorp
3
Fifth Third Bancorp
Ohio
$494K – – –
Wells Fargo
4
Wells Fargo
California
$475K -$27.4K -2,462 -5%
CCM
5
Covington Capital Management
California
$400K -$22.2K -2,000 -5%
FAAS
6
First Allied Advisory Services
California
$375K +$125K +11,245 +47%
PAG
7
Private Advisor Group
New Jersey
$365K -$76.5K -6,884 -17%
DADC
8
D.A. Davidson & Co
Montana
$359K +$16.7K +1,500 +5%
US Bancorp
9
US Bancorp
Minnesota
$352K -$127K -11,420 -25%
LPL Financial
10
LPL Financial
California
$334K -$12.8K -1,153 -4%
CAN
11
Cetera Advisor Networks
California
$259K – – –
Envestnet Asset Management
12
Envestnet Asset Management
Illinois
$218K +$230K +20,687 New
HK
13
Horizon Kinetics
New York
$213K -$70K -6,292 -24%
OA
14
Oxbow Advisors
Texas
$202K – – –
Commonwealth Equity Services
15
Commonwealth Equity Services
Massachusetts
$188K +$49.9K +4,485 +33%
PNC Financial Services Group
16
PNC Financial Services Group
Pennsylvania
$178K +$89K +8,000 +89%
MFW
17
Mosaic Family Wealth
Missouri
$150K +$278 +25 +0.2%
MAFM
18
Mid Atlantic Financial Management
Pennsylvania
$145K +$153K +13,800 New
LF
19
Lee Financial
Texas
$140K – – –
CSIC
20
Clifford Swan Investment Counsel
California
$132K – – –
Northwestern Mutual Wealth Management
21
Northwestern Mutual Wealth Management
Wisconsin
$130K -$7.35K -661 -5%
RJA
22
Raymond James & Associates
Florida
$127K +$7.47K +672 +6%
Susquehanna International Group
23
Susquehanna International Group
Pennsylvania
$122K +$8.35K +751 +7%
Stifel Financial
24
Stifel Financial
Missouri
$121K -$2.78K -250 -2%
Royal Bank of Canada
25
Royal Bank of Canada
Ontario, Canada
$92K -$1.69K -152 -2%
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