NUVEEN SR INCOME FD
COM · CUSIP 67067Y104
80
institutional holders
+5 vs Q3 2022
10.1m
shares reported held*
$46.8mreported value*
13 new
21 added
29 reduced
8 sold out
net bought ≈ $1.3m (+284.7k shares)
* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $4.61.
Trends to Q4 2022
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 75 |
| Q4 2022 | 80 |
Biggest buyers
| 1607 Capital Partners, LLC | New | +313.4k |
| UBS Group AG | Added | +162.0k |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | Added | +129.7k |
| Logan Stone Capital, LLC | Added | +91.6k |
| BANK OF AMERICA CORP /DE/ | Added | +66.5k |
| OAKTREE CAPITAL MANAGEMENT LP | Added | +45.8k |
| Walleye Capital LLC | New | +43.5k |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | New | +43.3k |
| CLOUGH CAPITAL PARTNERS L P | New | +36.4k |
| DRIVE WEALTH MANAGEMENT, LLC | New | +27.3k |
Biggest sellers
| MORGAN STANLEY | Reduced | -171.2k |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | Reduced | -135.5k |
| Next Capital Management LLC | Reduced | -96.5k |
| MARINER INVESTMENT GROUP LLC | Sold out | -55.0k |
| GUGGENHEIM CAPITAL LLC | Reduced | -46.1k |
| Foresight Wealth Management, LLC | Sold out | -37.2k |
| SIT INVESTMENT ASSOCIATES INC | Reduced | -23.6k |
| WELLS FARGO & COMPANY/MN | Reduced | -21.7k |
| Quantedge Capital Pte Ltd | Reduced | -20.9k |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | Reduced | -20.6k |
Holders, Q4 2022
| Manager | Shares | Change |
|---|---|---|
| OAKTREE CAPITAL MANAGEMENT LP 0.08% of their portfolio | 1.7m $7.7m | Added +45.8k |
| RIVERNORTH CAPITAL MANAGEMENT, LLC 0.23% of their portfolio | 1.1m $5.1m | Added +129.7k |
| GUGGENHEIM CAPITAL LLC 0.04% of their portfolio | 911.7k $4.2m | Reduced -46.1k |
| MORGAN STANLEY 0.00% of their portfolio | 795.6k $3.7m | Reduced -171.2k |
| Invesco Ltd. 0.00% of their portfolio | 649.1k $3.0m | Added +3.5k |
| Shaker Financial Services, LLC 1.26% of their portfolio | 586.4k $2.7m | Reduced -16.4k |
| UBS Group AG 0.00% of their portfolio | 509.8k $2.3m | Added +162.0k |
| Next Capital Management LLC 1.02% of their portfolio | 412.1k $1.9m | Reduced -96.5k |
| 1607 Capital Partners, LLC 0.10% of their portfolio | 313.4k $1.4m | New |
| Advisors Asset Management, Inc. 0.03% of their portfolio | 312.6k $1.4m | Reduced -10.0k |
| ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio | 224.2k $1.0m | Added +7.9k |
| PARK AVENUE SECURITIES LLC 0.02% of their portfolio | 204.6k $939.0k | Reduced -1.6k |
| GILL CAPITAL PARTNERS, LLC 0.35% of their portfolio | 159.9k $733.9k | Added +1.1k |
| Logan Stone Capital, LLC 0.26% of their portfolio | 150.3k $689.8k | Added +91.6k |
| LPL Financial LLC 0.00% of their portfolio | 119.7k $549.3k | Added +12.2k |
| RIVERBRIDGE PARTNERS LLC 0.01% of their portfolio | 112.8k $518.0k | Added +4.3k |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 106.7k $489.9k | Added +15.0k |
| NewEdge Advisors, LLC 0.01% of their portfolio | 106.0k $486.6k | Added +200 |
| HORIZON KINETICS ASSET MANAGEMENT LLC 0.01% of their portfolio | 105.2k $482.9k | Unchanged |
| Coastal Bridge Advisors, LLC 0.13% of their portfolio | 102.8k $471.7k | Added +12.2k |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 92.3k $423.8k | Added +66.5k |
| Janney Montgomery Scott LLC 0.00% of their portfolio | 88.2k $405.0k | Reduced -8.1k |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 84.1k $386.1k | Reduced -21.7k |
| E&G Advisors, LLC 0.14% of their portfolio | 80.3k $368.6k | Reduced -14.0k |
| VIRTUS ADVISERS, LLC 0.17% of their portfolio | 70.2k $322.2k | Reduced -9.0k |
| HARBOUR INVESTMENTS, INC. 0.02% of their portfolio | 64.3k $295.0k | Reduced -166 |
| Private Advisor Group, LLC 0.01% of their portfolio | 60.9k $280.0k | Added +2.2k |
| Integrated Wealth Concepts LLC 0.01% of their portfolio | 60.7k $279.0k | Reduced -2.5k |
| COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio | 52.7k $241.0k | Reduced -3.7k |
| Capital Investment Advisors, LLC 0.01% of their portfolio | 50.8k $233.0k | Added +18 |
| Walleye Capital LLC 0.00% of their portfolio | 43.5k $199.5k | New |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio | 43.3k $198.7k | New |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 43.0k $197.0k | Reduced -817 |
| STIFEL FINANCIAL CORP 0.00% of their portfolio | 40.4k $185.6k | Reduced -381 |
| CLOUGH CAPITAL PARTNERS L P 0.02% of their portfolio | 36.4k $167.0k | New |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.02% of their portfolio | 33.8k $155.3k | Reduced -20.6k |
| NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.02% of their portfolio | 33.0k $151.3k | Reduced -425 |
| INTEGRATED CAPITAL MANAGEMENT, INC. 0.13% of their portfolio | 31.4k $144.2k | Reduced -1.8k |
| Fortitude Advisory Group L.L.C. 0.12% of their portfolio | 30.8k $141.3k | Unchanged |
| RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio | 30.1k $138.2k | Reduced -1.4k |
| Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio | 29.0k $133.0k | Reduced -9.9k |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.01% of their portfolio | 28.8k $132.2k | Added +3.5k |
| DRIVE WEALTH MANAGEMENT, LLC 0.06% of their portfolio | 27.3k $125.1k | New |
| MML INVESTORS SERVICES, LLC 0.00% of their portfolio | 23.3k $107.0k | Added +964 |
| Saba Capital Management, L.P. 0.00% of their portfolio | 21.3k $97.7k | New |
| SIT INVESTMENT ASSOCIATES INC 0.00% of their portfolio | 20.3k $93.0k | Reduced -23.6k |
| D.A. DAVIDSON & CO. 0.00% of their portfolio | 18.5k $85.0k | Reduced -555 |
| B. Riley Wealth Advisors, Inc. 0.00% of their portfolio | 18.5k $85.0k | Reduced -3.2k |
| CreativeOne Wealth, LLC 0.00% of their portfolio | 18.0k $83.0k | Reduced -17.4k |
| Independent Wealth Network Inc. 0.05% of their portfolio | 16.8k $77.2k | Added +2.5k |
| Cetera Investment Advisers 0.00% of their portfolio | 16.2k $74.2k | Reduced -1.1k |
| Charles Schwab Investment Advisory, Inc. 0.00% of their portfolio | 14.3k $65.5k | Added +354 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio | 12.6k $58.0k | Reduced -135.5k |
| AMERIPRISE FINANCIAL INC 0.00% of their portfolio | 12.1k $56.0k | Reduced -19.9k |
| WOLVERINE ASSET MANAGEMENT LLC 0.00% of their portfolio | 10.6k $48.6k | New |
| Quantedge Capital Pte Ltd 0.02% of their portfolio | 10.5k $48.4k | Reduced -20.9k |
| Corient Private Wealth LP 0.00% of their portfolio | 10.4k $47.8k | First filing |
| Sigma Planning Corp 0.00% of their portfolio | 10.4k $47.6k | Unchanged |
| DAVENPORT & Co LLC 0.00% of their portfolio | 10.3k $47.0k | Unchanged |
| Platform Technology Partners 0.02% of their portfolio | 10.1k $46.5k | Unchanged |
| Visionary Wealth Advisors 0.00% of their portfolio | 10.0k $46.0k | Unchanged |
| BARRETT & COMPANY, INC. 0.02% of their portfolio | 7.8k $35.6k | Unchanged |
| SIGNATUREFD, LLC 0.00% of their portfolio | 7.6k $34.8k | Added +71 |
| Coppell Advisory Solutions LLC 0.01% of their portfolio | 7.1k $32.4k | First filing |
| Coppell Advisory Solutions Corp. 0.01% of their portfolio | 7.1k $32.4k | First filing |
| HOLLENCREST CAPITAL MANAGEMENT 0.00% of their portfolio | 5.6k $25.6k | New |
| JPMORGAN CHASE & CO 0.00% of their portfolio | 4.3k $20.0k | New |
| Global Retirement Partners, LLC 0.00% of their portfolio | 2.6k $11.8k | Not comparable |
| IFP Advisors, Inc 0.00% of their portfolio | 2.1k $18.0k | Reduced -50 |
| Arete Wealth Advisors, LLC 0.02% of their portfolio | 2.0k $231.6k | New |
| Advisory Services Network, LLC 0.00% of their portfolio | 1.5k $7.0k | New |
| CoreCap Advisors, LLC 0.00% of their portfolio | 1.2k $5.5k | New |
| Accurate Wealth Management, LLC 0.00% of their portfolio | 1.0k $4.8k | New |
| CREATIVE FINANCIAL DESIGNS INC /ADV 0.00% of their portfolio | 543 $2.5k | Added +19 |
| ASSETMARK, INC 0.00% of their portfolio | 71 $326 | Unchanged |
| Lindbrook Capital, LLC 0.00% of their portfolio | 68 $312 | Unchanged |
| EverSource Wealth Advisors, LLC 0.00% of their portfolio | 31 $142 | Unchanged |
| CWM, LLC 0.00% of their portfolio | 8 $0 | Unchanged |
| HUNTINGTON NATIONAL BANK 0.00% of their portfolio | 1 $5 | Unchanged |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |