PFO on NYSE
Flaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INC
Fund registered in the United States, based in Pasadena, active since 1991. Summary from the record
Price unavailable
Last updated Oct 19, 2026.
Overview
- TickerPFO on NYSE2
- HeadquartersPasadena, United States2
- Incorporated inMD3
- Business address301 E Colorado Blvd Ste 720, C/O Flaherty & Crumrine Inc, Pasadena, Ca 911013
- Legal formFund2
- Kind of organizationFund2
- LEI2549008Y9TGWYEWYW4962
- StatusActive2
- LEI statusIssued and current2
- Registered address2405 York Road, 21093 Lutherville Timonium, United States2
- Registered withSecurities and Exchange Commission, 00008820712
Leadership
Who has led Flaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INC, and when. Pick a name to see everywhere that person has worked.
Chief executive
Chief financial officer
- Chief executive officerRobert E. Chadwick Feb 16, 2016 to Feb 16, 20164
- ChairDonald F. Crumrine Aug 14, 2007 to Aug 14, 20075
- PresidentRobert E. Chadwick Feb 16, 2016 to Feb 16, 20164
- PresidentRobert M. Ettinger Dec 17, 2007 to May 16, 20136
- Chief financial officerRobert E. Chadwick May 15, 2006 to Dec 17, 20077
Board members and other officers (8)
- CCO, VP and SecretaryChad Conwell Jun 3, 2013 to Jun 3, 20138
- Vice PresidentBradford S. Stone Dec 28, 2006 to Aug 20, 20079
- Board memberKevin Michael Maxwell Feb 6, 2026 to now10
- Board memberNicholas Dalmaso Jan 29, 2024 to Jan 29, 202411
- Board memberRobert E. Chadwick Feb 16, 2016 to Feb 16, 20164
- Board memberKaren Hanovice Hogan Jan 6, 2010 to Aug 6, 201312
- Board memberRobert F. Wulf May 21, 2010 to May 21, 201013
- Board memberDavid Gale Jan 26, 2006 to Jan 26, 200614
Former names
Timeline
Filings
57 filings to the SEC since October 2021: 2 insider forms, 2 large holders, 53 other. The latest 20:
- Aug 6, 2026N-PX EDGAR
- Jul 31, 2026N-CSRS CERTIFIED SEMI-ANNUAL SHAREHOLDER REPORT EDGAR
- Jul 27, 2026NPORT-P EDGAR
- May 13, 202640-17G FIDELITY BOND PURSUANT TO RULE 17G1(G)(1) EDGAR
- Apr 23, 2026NPORT-P EDGAR
- Mar 9, 2026DEF 14A DEFINITIVE PROXY STATEMENT EDGAR
- Feb 11, 2026N-CEN EDGAR
- Feb 6, 20263 PRIMARY DOCUMENT EDGAR
- Feb 4, 2026N-CSR CERTIFIED ANNUAL SHAREHOLDER REPORT EDGAR
- Jan 23, 2026NPORT-P EDGAR
- Jan 6, 2026SCHEDULE 13G/A EDGAR
- Oct 29, 2025NPORT-P EDGAR
- Aug 15, 2025N-PX EDGAR
- Jul 31, 2025N-CSRS CERTIFIED SEMI-ANNUAL SHAREHOLDER REPORT EDGAR
- Jul 25, 2025NPORT-P EDGAR
- Jul 7, 2025SCHEDULE 13G EDGAR
- Jun 20, 202540-17G FIDELITY BOND EDGAR
- Apr 28, 2025DEFA14A ADDITIONAL DEFINITIVE PROXY SOLICITING MATERIALS EDGAR
- Apr 24, 2025NPORT-P EDGAR
- Apr 16, 2025DEFA14A ADDITIONAL DEFINITIVE PROXY SOLICITING MATERIALS EDGAR
The 57 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.
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.
- SIT INVESTMENT ASSOCIATES INCSCHEDULE 13G/A, 2 filings Jul 7, 2025 to Jan 6, 202615
Held by these funds
The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 50. Change is in shares since the quarter before.
| Fund | Shares | Value | Share of the fund | Change |
|---|---|---|---|---|
| CIBC Bancorp USA Inc. | 588,511 | $5.4M | 0.0% | No change |
| 1607 Capital Partners, LLC | 200,178 | $1.8M | 0.2% | −121,402 |
| Private Advisor Group, LLC | 175,625 | $1.6M | 0.0% | −10,716 |
| Fiera Capital Corp | 128,673 | $1.2M | 0.0% | +3,413 |
| Pathstone Holdings, LLC | 101,525 | $938.1K | 0.0% | −169,257 |
| Noble Wealth Management PBC | 100,360 | $927.3K | 0.4% | +2,911 |
| Closed-End Fund Advisors, Inc. | 94,929 | $877.1K | 0.9% | +196 |
| D.a. Davidson & Co. | 89,474 | $826.7K | 0.0% | +4,159 |
| Mustico Financial Group, Inc. | 83,652 | $757.1K | 0.5% | +2,240 |
| Morgan Stanley | 77,677 | $717.7K | 0.0% | −17,153 |
| Atlas Wealth LLC | 57,449 | $530.8K | 0.1% | New |
| LPL Financial LLC | 54,614 | $504.6K | 0.0% | +11,110 |
| Arax Advisory Partners | 54,038 | $499.3K | 0.0% | +49,763 |
| Baird Financial Group, Inc. | 41,928 | $387.4K | 0.0% | −576 |
| Sowell Financial Services LLC | 39,073 | $361.0K | 0.0% | No change |
| Wells Fargo & Company/mn | 36,061 | $333.2K | 0.0% | −7,019 |
| Smith Asset Management Co., LLC | 30,718 | $283.8K | 0.2% | −1,100 |
| Clifford Swan Investment Counsel LLC | 29,500 | $272.6K | 0.0% | No change |
| Guggenheim Capital LLC | 25,636 | $236.9K | 0.0% | +25 |
| Osaic Holdings, Inc. | 24,398 | $225.4K | 0.0% | +15,210 |
| Rivernorth Capital Management, LLC | 22,537 | $208.2K | 0.0% | +1,494 |
| TrueMark Investments, LLC | 22,537 | $208.2K | 0.0% | +1,494 |
| Logan Stone Capital, LLC | 16,984 | $156.9K | 0.0% | +6,480 |
| Traub Capital Management LLC | 16,759 | $154.9K | 0.1% | New |
| Bank Of America Corp /de/ | 14,564 | $134.6K | 0.0% | No change |
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
- 2
- 3
- 4
- 5SEC EDGARDonald F. Crumrine, Chair
- 6SEC EDGARRobert M. Ettinger, President
- 7
- 8SEC EDGARChad Conwell, CCO, VP and Secretary
- 9SEC EDGARBradford S. Stone, Vice President
- 10SEC EDGARKevin Michael Maxwell, Board member
- 11SEC EDGARNicholas Dalmaso, Board member
- 12SEC EDGARKaren Hanovice Hogan, Board member
- 13SEC EDGARRobert F. Wulf, Board member
- 14SEC EDGARDavid Gale, Board member
- 15