BRW on NYSE

Saba Capital Income & Opportunities Fund

Association registered in the United States, active since 1987. Summary from the record

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Last updated Oct 19, 2026.

Overview

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TickerBRW on NYSE²
HeadquartersNew York, United States²
Incorporated inMA³
Business address405 Lexington Avenue, 58Th Floor, New York, Ny 10174³
Legal formVoluntary Association and Business Trusts²
Kind of organizationAssociation²
LEI549300MGSUUJ7E55N746²
StatusActive²
LEI statusIssued and current²
Registered addressC/O CT CORPORATION SYSTEM, 02110 Boston, United States²
Registered withCorporations Division (Secretary of the Commonwealth's Office), T00011672²

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Leadership

Who has led Saba Capital Income & Opportunities Fund, and when. Pick a name to see everywhere that person has worked.

Chief executive

President

Chief financial officer

2010201520202025

Chief executive officerPierre Weinstein Jul 16, 2021 to Jul 16, 2021⁴
Chief executive officerJeffrey T. Becker Apr 13, 2017 to Apr 13, 2017⁵
PresidentDaniel A. Norman Oct 6, 2008 to Oct 10, 2008⁶
PresidentJeffrey A. Bakalar Oct 10, 2008 to Dec 12, 2008⁷
PresidentElliot Rosen Feb 9, 2006 to Jan 25, 2010⁸
PresidentLydia Homer Apr 21, 2006 to Apr 21, 2006⁹
PresidentLaurie M. Tillinghast Apr 27, 2006 to Apr 27, 2006¹⁰
Chief financial officerLydia Homer Jun 13, 2016 to Jun 13, 2016¹¹
Chief financial officerJeffrey T. Becker Oct 15, 2008 to Oct 15, 2008¹²

Board members and other officers (40)

SecretaryMichael D'Angelo Jul 16, 2021 to Jul 16, 2021¹³
Vice PresidentNitin Sapru Jul 16, 2021 to Jul 16, 2021¹⁴
Chief Compliance OfficerPatrick J. Keniston Jul 20, 2021 to Jul 20, 2021¹⁵
Principle Financial OfficerTroy M. Statczar Aug 5, 2021 to Aug 5, 2021¹⁶
Senior Vice President, PMCharles E. Lemieux Jan 23, 2020 to Feb 6, 2020¹⁷
Managing DirectorDina Santoro May 8, 2018 to May 8, 2018¹⁸
Senior Vice PresidentLaurie M. Tillinghast Mar 28, 2011 to Mar 28, 2011¹⁹
Executive Vice PresidentChristine Hurtsellers Mar 30, 2011 to Mar 30, 2011²⁰
Senior Vice PresidentDaniel F. Wilcox Mar 30, 2011 to Mar 30, 2011²¹
Senior Vice PresidentKimberly A. Anderson Mar 30, 2011 to Jun 10, 2021²²
Executive Vice PresidentMichael J. Roland Mar 30, 2011 to Mar 30, 2011²³
Executive Vice PresidentStanley D. Vyner Mar 30, 2011 to Mar 30, 2011²⁴
Senior Vice PresidentTodd Modic Mar 30, 2011 to Mar 30, 2011²⁵
Senior Vice PresidentDaniel A. Norman Feb 7, 2008 to Mar 18, 2021²⁶
Senior Vice PresidentJeffrey A. Bakalar Jun 19, 2007 to Sep 17, 2008²⁷
Executive Vice PresidentElliot Rosen Jun 26, 2007 to Sep 20, 2012²⁸
Director & EVP of the AdvisorShaun P. Mathews Apr 7, 2006 to Apr 7, 2006²⁹
Board memberAnatoly Nakum May 6, 2024 to May 6, 2024³⁰
Board memberThomas Bumbolow Jan 19, 2021 to Jan 19, 2021³¹
Board memberAditya Bindal Jul 24, 2020 to Jul 24, 2020³²
Board memberKaren Caldwell Jul 24, 2020 to Jul 24, 2020³³
Board memberKetu Desai Jul 24, 2020 to Jul 24, 2020³⁴
Board memberKieran Goodwin Jul 24, 2020 to Jul 24, 2020³⁵
Board memberNeal Neilinger Jul 24, 2020 to Jul 24, 2020³⁶
Board memberAndrew Kellerman Jul 27, 2020 to Jul 27, 2020³⁷
Board memberCharles I. Clarvit Jul 27, 2020 to Jul 27, 2020³⁸
Board memberMichael J. Roland Jun 30, 2016 to Oct 5, 2017³⁹
Board memberDaniel F. Wilcox Mar 5, 2015 to Mar 5, 2015⁴⁰
Board memberChristopher P. Sullivan Oct 6, 2015 to Oct 6, 2015⁴¹
Board memberAlbert E. Deprince Jr. May 21, 2013 to Mar 2, 2016⁴²
Board memberMartin J. Gavin May 22, 2013 to Aug 3, 2015⁴³
Board memberRussell H. Jones May 22, 2013 to Mar 2, 2020⁴⁴
Board memberJoseph E. Obermeyer May 23, 2013 to May 23, 2013⁴⁵
Board memberRobert W. Crispin Mar 30, 2011 to Oct 10, 2013⁴⁶
Board memberRoger B. Vincent Mar 30, 2011 to Mar 2, 2020⁴⁷
Board memberDavid Putnam Aug 16, 2007 to Aug 16, 2007⁴⁸
Board memberBaldwin Colleen Dolan Nov 29, 2007 to Nov 29, 2007⁴⁹
Board memberPeter S. Drotch Nov 29, 2007 to Feb 28, 2018⁵⁰
Board memberSheryl K. Pressler Jan 19, 2006 to Jan 19, 2006⁵¹
Board memberPatricia Walsh Chadwick Jan 27, 2006 to Jan 27, 2006⁵²

Former names

Voya PRIME RATE TRUSTApr 25, 2014 to Jun 21, 2021³
ING PRIME RATE TRUSTMar 1, 2002 to Feb 10, 2014³
PILGRIM AMERICA PRIME RATE TRUSTOct 18, 1996 to Mar 19, 1999³
PILGRIM PRIME RATE TRUSTFeb 29, 1996 to Feb 1, 2002³

Timeline

Jul 16, 2021New chief executive Pierre Weinstein becomes CEO⁴
Apr 13, 2017New chief executive Jeffrey T. Becker becomes CEO⁵
Dec 2, 1987Founded Saba Capital Income & Opportunities Fund is founded²

Filings

126 filings to the SEC since October 2021: 1 major events, 29 insider forms, 17 large holders, 79 other. The latest 20:

Sep 25, 2026NPORT-P EDGAR
Aug 31, 2026N-PX EDGAR
Aug 27, 2026N-14 8C EDGAR
Jul 8, 2026N-CSRS EDGAR
Jul 8, 2026DEF 14A EDGAR
Jul 7, 202640-17G EDGAR
Jun 26, 2026NPORT-P EDGAR
Jun 10, 2026PRE 14A EDGAR
Mar 26, 2026NPORT-P EDGAR
Mar 25, 20268-K EDGAR
Mar 25, 2026RW EDGAR
Mar 19, 2026N-14 8C EDGAR
Feb 13, 2026SCHEDULE 13G EDGAR
Jan 14, 2026N-CEN EDGAR
Jan 2, 2026N-CSR EDGAR
Dec 30, 2025NPORT-P EDGAR
Oct 31, 2025497AD EDGAR
Oct 29, 2025497AD EDGAR
Oct 8, 2025POS EX POST EFFECTIVE AMENDMENT EDGAR
Oct 7, 2025424B5 PROSPECTUS FILED UNDER RULE 424(B)(5) EDGAR

The 126 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

49 open-market trades by officers, directors and large owners since October 2021: 0 buys and 49 sales. Grants, option exercises and gifts are left out.

Date	Who	Trade	Shares	Price	Value	Filing
Jul 1, 2024	Weinstein BoazPresident	Sale	3,156	$7.10	$22.4K	Form 4
Nov 15, 2022	Weinstein BoazPresident	Sale	27,724	$7.92	$219.6K	Form 4
Nov 14, 2022	Weinstein BoazPresident	Sale	165,005	$7.88	$1.3M	Form 4
Nov 9, 2022	Saba Capital Management, L.P.President	Sale	6,946	$7.75	$53.8K	Form 4
Nov 8, 2022	Saba Capital Management, L.P.President	Sale	31,134	$7.80	$242.8K	Form 4
Sep 13, 2022	Saba Capital Management, L.P.President	Sale	4,226	$8.24	$34.8K	Form 4
Sep 8, 2022	Saba Capital Management, L.P.President	Sale	27,832	$8.31	$231.3K	Form 4
Sep 7, 2022	Weinstein BoazPresident	Sale	13,173	$8.44	$111.2K	Form 4
Sep 6, 2022	Weinstein BoazPresident	Sale	68,823	$8.44	$580.9K	Form 4
Sep 2, 2022	Weinstein BoazPresident	Sale	43,699	$8.45	$369.3K	Form 4
Sep 1, 2022	Weinstein BoazPresident	Sale	16,970	$8.42	$142.9K	Form 4
Aug 31, 2022	Weinstein BoazPresident	Sale	19,768	$8.53	$168.6K	Form 4
May 27, 2022	Weinstein BoazPresident	Sale	115,496	$8.22	$949.4K	Form 4
May 26, 2022	Weinstein BoazPresident	Sale	13,511	$8.23	$111.2K	Form 4
May 24, 2022	Saba Capital Management, L.P.President	Sale	8,099	$8.06	$65.3K	Form 4
May 23, 2022	Saba Capital Management, L.P.President	Sale	40,664	$8.10	$329.4K	Form 4
May 20, 2022	Saba Capital Management, L.P.President	Sale	35,901	$8.18	$293.7K	Form 4
May 19, 2022	Saba Capital Management, L.P.President	Sale	3,395	$4.12	$14.0K	Form 4
May 18, 2022	Saba Capital Management, L.P.President	Sale	19,842	$4.12	$81.7K	Form 4
May 17, 2022	Saba Capital Management, L.P.President	Sale	103,516	$4.10	$424.4K	Form 4

All 49 trades can be filtered by person here when JavaScript is on.

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

Focus Partners WealthSCHEDULE 13G, 1 filing Feb 13, 2026⁵³
RIVERNORTH CAPITAL MANAGEMENT, LLCSCHEDULE 13G/A, 5 filings Feb 14, 2022 to Aug 14, 2025⁵⁴
NorthCoast Asset Management LLCSCHEDULE 13G, 1 filing Oct 29, 2024⁵⁵
Relative Value Partners Group, LLCSC 13G, 3 filings Feb 11, 2022 to Feb 12, 2024⁵⁶
Saba Capital Management, L.P.SC 13D/A, 7 filings Feb 4, 2022 to Jan 11, 2024⁵⁷

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 96. Change is in shares since the quarter before.

Fund	Shares	Value	Share of the fund	Change
Focus Partners Wealth	2,745,119	$18.0M	0.0%	−215,425
Toronto Dominion Bank	2,278,240	$15.0M	0.0%	No change
Rivernorth Capital Management, LLC	1,861,414	$12.2M	0.6%	−142,192
Thomas J. Herzfeld Advisors, Inc.	1,544,694	$10.1M	3.1%	+127,505
Envestnet Asset Management Inc	1,075,205	$7.1M	0.0%	+189,411
Blue Bell Private Wealth Management, LLC	829,855	$5.5M	0.7%	+27,845
Flax Pond Capital, LLC	811,572	$5.4M	2.0%	+405,786
Invesco Ltd.	740,127	$4.9M	0.0%	−52,772
Css Llc/il	686,484	$4.5M	0.3%	−21,758
Morgan Stanley	605,349	$4.0M	0.0%	−36,828
LPL Financial LLC	507,546	$3.3M	0.0%	+32,187
UBS Group AG	482,986	$3.2M	0.0%	+7,096
Advisors Asset Management, Inc.	296,959	$2.0M	0.0%	−1,865
Ethos Financial Group, LLC	251,018	$1.6M	0.1%	−15,383
Adalta Capital Management LLC	248,039	$1.6M	0.7%	+7,367
Osaic Holdings, Inc.	222,050	$1.5M	0.0%	+23,064
Scotia Capital Inc.	216,897	$1.4M	0.0%	−477
J.w. Cole Advisors, Inc.	213,373	$1.4M	0.0%	New
Modern Wealth Management, LLC	207,457	$1.4M	0.0%	+6,180
Baird Financial Group, Inc.	191,877	$1.3M	0.0%	+7,764
Marks Group Wealth Management, Inc	172,790	$1.1M	0.1%	No change
SVRN Asset Management, LLC	171,487	$1.1M	0.6%	−7,008
Yakira Capital Management, Inc.	127,896	$840.3K	0.2%	No change
Chicago Partners Investment Group LLC	122,851	$815.7K	0.0%	−6,259
Choreo, LLC	103,861	$682.4K	0.0%	+9,680

13F reports cover disclosed long positions in U.S. stocks only.

Sources

The numbers on this page point here. Each one links to the record it came from.

1
SEC EDGARSaba Capital Income & Opportunities Fund filings on SEC EDGAR
2
GLEIFSaba Capital Income & Opportunities Fund LEI record (549300MGSUUJ7E55N746)
3
SEC EDGARSaba Capital Income & Opportunities Fund filings on SEC EDGAR
4
SEC EDGARPierre Weinstein, Chief executive officer
5
SEC EDGARJeffrey T. Becker, Chief executive officer
6
SEC EDGARDaniel A. Norman, President
7
SEC EDGARJeffrey A. Bakalar, President
8
SEC EDGARElliot Rosen, President
9
SEC EDGARLydia Homer, President
10
SEC EDGARLaurie M. Tillinghast, President
11
SEC EDGARLydia Homer, Chief financial officer
12
SEC EDGARJeffrey T. Becker, Chief financial officer
13
SEC EDGARMichael D'Angelo, Secretary
14
SEC EDGARNitin Sapru, Vice President
15
SEC EDGARPatrick J. Keniston, Chief Compliance Officer
16
SEC EDGARTroy M. Statczar, Principle Financial Officer
17
SEC EDGARCharles E. Lemieux, Senior Vice President, PM
18
SEC EDGARDina Santoro, Managing Director
19
SEC EDGARLaurie M. Tillinghast, Senior Vice President
20
SEC EDGARChristine Hurtsellers, Executive Vice President
21
SEC EDGARDaniel F. Wilcox, Senior Vice President
22
SEC EDGARKimberly A. Anderson, Senior Vice President
23
SEC EDGARMichael J. Roland, Executive Vice President
24
SEC EDGARStanley D. Vyner, Executive Vice President
25
SEC EDGARTodd Modic, Senior Vice President
26
SEC EDGARDaniel A. Norman, Senior Vice President
27
SEC EDGARJeffrey A. Bakalar, Senior Vice President
28
SEC EDGARElliot Rosen, Executive Vice President
29
SEC EDGARShaun P. Mathews, Director & EVP of the Advisor
30
SEC EDGARAnatoly Nakum, Board member
31
SEC EDGARThomas Bumbolow, Board member
32
SEC EDGARAditya Bindal, Board member
33
SEC EDGARKaren Caldwell, Board member
34
SEC EDGARKetu Desai, Board member
35
SEC EDGARKieran Goodwin, Board member
36
SEC EDGARNeal Neilinger, Board member
37
SEC EDGARAndrew Kellerman, Board member
38
SEC EDGARCharles I. Clarvit, Board member
39
SEC EDGARMichael J. Roland, Board member
40
SEC EDGARDaniel F. Wilcox, Board member
41
SEC EDGARChristopher P. Sullivan, Board member
42
SEC EDGARAlbert E. Deprince Jr., Board member
43
SEC EDGARMartin J. Gavin, Board member
44
SEC EDGARRussell H. Jones, Board member
45
SEC EDGARJoseph E. Obermeyer, Board member
46
SEC EDGARRobert W. Crispin, Board member
47
SEC EDGARRoger B. Vincent, Board member
48
SEC EDGARDavid Putnam, Board member
49
SEC EDGARBaldwin Colleen Dolan, Board member
50
SEC EDGARPeter S. Drotch, Board member
51
SEC EDGARSheryl K. Pressler, Board member
52
SEC EDGARPatricia Walsh Chadwick, Board member
53
SEC EDGARFocus Partners Wealth SCHEDULE 13G on Saba Capital Income & Opportunities Fund
54
SEC EDGARRIVERNORTH CAPITAL MANAGEMENT, LLC SCHEDULE 13G/A on Saba Capital Income & Opportunities Fund
55
SEC EDGARNorthCoast Asset Management LLC SCHEDULE 13G on Saba Capital Income & Opportunities Fund
56
SEC EDGARRelative Value Partners Group, LLC SC 13G on Saba Capital Income & Opportunities Fund
57
SEC EDGARSaba Capital Management, L.P. SC 13D/A on Saba Capital Income & Opportunities Fund