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PFO

Flaherty & Crumrine Preferred and Income Opportunity Fund

Name Holding Trade Value Shares
Change
Change in
Stake
SIA
1
Sit Investment Associates
Minnesota
$12.2M +$5.5M +585,510 +87%
CIBC Private Wealth Group
2
CIBC Private Wealth Group
Georgia
$5.74M
Pathstone Holdings
3
Pathstone Holdings
New Jersey
$3.07M +$2.96M +315,166 New
1CP
4
1607 Capital Partners
Virginia
$1.94M +$1.86M +198,610 New
PAG
5
Private Advisor Group
New Jersey
$1.86M +$16.4K +1,745 +0.9%
Envestnet Asset Management
6
Envestnet Asset Management
Illinois
$1.43M +$76.8K +8,181 +6%
Morgan Stanley
7
Morgan Stanley
New York
$1.11M +$27.2K +2,896 +3%
NWMP
8
Noble Wealth Management PBC
Colorado
$975K +$939K +100,030 New
AAM
9
Advisors Asset Management
Colorado
$919K +$885K +94,246 New
DADC
10
D.A. Davidson & Co
Montana
$858K +$101K +10,787 +14%
RCM
11
Rivernorth Capital Management
Florida
$670K -$1.68M -179,010 -72%
TI
12
TrueMark Investments
Illinois
$670K +$645K +68,712 New
MFG
13
Mustico Financial Group
New York
$669K +$9.23K +983 +1%
Cambridge Investment Research Advisors
14
Cambridge Investment Research Advisors
Iowa
$627K -$15.1K -1,608 -2%
Fiera Capital (Canada)
15
Fiera Capital (Canada)
Quebec, Canada
$586K +$565K +60,145 New
NWM
16
Napa Wealth Management
California
$546K +$9.24K +984 +2%
AAP
17
Arax Advisory Partners
Colorado
$496K +$477K +50,872 New
Wells Fargo
18
Wells Fargo
California
$432K +$17.4K +1,850 +4%
LPL Financial
19
LPL Financial
California
$424K -$29.2K -3,113 -7%
Baird Financial Group
20
Baird Financial Group
Wisconsin
$421K +$2.75K +293 +0.7%
Invesco
21
Invesco
Georgia
$416K -$9.11K -971 -2%
SFS
22
Sowell Financial Services
Arkansas
$381K
CSIC
23
Clifford Swan Investment Counsel
California
$288K +$136K +14,500 +97%
NA
24
NewEdge Advisors
Louisiana
$267K -$34.8K -3,709 -12%
Bank of America
25
Bank of America
North Carolina
$190K -$18.8K -2,000 -9%