NUVEEN SR INCOME FD
COM · CUSIP 67067Y104
76
institutional holders
-4 vs Q4 2022
10.6m
shares reported held*
$49.0mreported value*
7 new
27 added
23 reduced
12 sold out
net bought ≈ $2.1m (+439.9k 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 ≈ $4.63.
Trends to Q1 2023
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 75 |
| Q4 2022 | 80 |
| Q1 2023 | 76 |
Buyers vs sellers
Managers adding to or starting a position, vs cutting or selling out
Bought or addedCut or sold out
Numbers
| Quarter | Bought or added | Cut or sold out |
|---|---|---|
| Q4 2022 | 34 | 37 |
| Q1 2023 | 34 | 35 |
Biggest buyers
| SIT INVESTMENT ASSOCIATES INC | Added | +414.4k |
| WOLVERINE ASSET MANAGEMENT LLC | Added | +235.0k |
| Almitas Capital LLC | New | +216.7k |
| Invesco Ltd. | Added | +93.3k |
| UBS Group AG | Added | +65.1k |
| Coastal Bridge Advisors, LLC | Added | +41.9k |
| ROYAL BANK OF CANADA | Added | +35.8k |
| Logan Stone Capital, LLC | Added | +35.1k |
| BANK OF AMERICA CORP /DE/ | Added | +24.1k |
| Advisory Services Network, LLC | Added | +14.0k |
Biggest sellers
| RIVERNORTH CAPITAL MANAGEMENT, LLC | Reduced | -440.1k |
| Walleye Capital LLC | Sold out | -43.5k |
| GUGGENHEIM CAPITAL LLC | Reduced | -41.5k |
| Next Capital Management LLC | Reduced | -40.7k |
| CLOUGH CAPITAL PARTNERS L P | Sold out | -36.4k |
| OSAIC HOLDINGS, INC. | Reduced | -27.6k |
| Saba Capital Management, L.P. | Sold out | -21.3k |
| ENVESTNET ASSET MANAGEMENT INC | Reduced | -21.0k |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | Reduced | -12.5k |
| INTEGRATED CAPITAL MANAGEMENT, INC. | Reduced | -10.8k |
Holders, Q1 2023
| Manager | Shares | Change |
|---|---|---|
| OAKTREE CAPITAL MANAGEMENT LP 0.09% of their portfolio | 1.7m $7.7m | Unchanged |
| GUGGENHEIM CAPITAL LLC 0.03% of their portfolio | 870.2k $4.0m | Reduced -41.5k |
| MORGAN STANLEY 0.00% of their portfolio | 795.8k $3.7m | Added +200 |
| Invesco Ltd. 0.00% of their portfolio | 742.5k $3.4m | Added +93.3k |
| RIVERNORTH CAPITAL MANAGEMENT, LLC 0.15% of their portfolio | 679.7k $3.1m | Reduced -440.1k |
| Shaker Financial Services, LLC 1.20% of their portfolio | 592.4k $2.8m | Added +6.0k |
| UBS Group AG 0.00% of their portfolio | 574.9k $2.7m | Added +65.1k |
| SIT INVESTMENT ASSOCIATES INC 0.05% of their portfolio | 434.7k $2.0m | Added +414.4k |
| Next Capital Management LLC 0.83% of their portfolio | 371.4k $1.7m | Reduced -40.7k |
| 1607 Capital Partners, LLC 0.10% of their portfolio | 313.4k $1.4m | Unchanged |
| Advisors Asset Management, Inc. 0.03% of their portfolio | 306.3k $1.4m | Reduced -6.4k |
| WOLVERINE ASSET MANAGEMENT LLC 0.02% of their portfolio | 245.6k $1.1m | Added +235.0k |
| Almitas Capital LLC 0.48% of their portfolio | 216.7k $999.0k | New |
| ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio | 203.2k $936.5k | Reduced -21.0k |
| PARK AVENUE SECURITIES LLC 0.02% of their portfolio | 195.9k $903.0k | Reduced -8.7k |
| Logan Stone Capital, LLC 0.34% of their portfolio | 185.4k $854.8k | Added +35.1k |
| GILL CAPITAL PARTNERS, LLC 0.33% of their portfolio | 161.5k $744.3k | Added +1.6k |
| Coastal Bridge Advisors, LLC 0.17% of their portfolio | 144.7k $667.0k | Added +41.9k |
| LPL Financial LLC 0.00% of their portfolio | 119.0k $548.8k | Reduced -630 |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 116.5k $536.8k | Added +24.1k |
| RIVERBRIDGE PARTNERS LLC 0.01% of their portfolio | 116.4k $536.5k | Added +3.6k |
| HORIZON KINETICS ASSET MANAGEMENT LLC 0.01% of their portfolio | 105.2k $485.0k | Unchanged |
| NewEdge Advisors, LLC 0.01% of their portfolio | 102.8k $465.8k | Reduced -3.2k |
| Janney Montgomery Scott LLC 0.00% of their portfolio | 88.2k $406.0k | Unchanged |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 80.6k $371.7k | Reduced -3.5k |
| E&G Advisors, LLC 0.14% of their portfolio | 80.3k $370.2k | Unchanged |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 79.1k $364.5k | Reduced -27.6k |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 78.7k $363.0k | Added +35.8k |
| VIRTUS ADVISERS, LLC 0.19% of their portfolio | 74.6k $343.7k | Added +4.4k |
| HARBOUR INVESTMENTS, INC. 0.02% of their portfolio | 66.9k $308.2k | Added +2.6k |
| Private Advisor Group, LLC 0.00% of their portfolio | 61.2k $282.3k | Added +325 |
| Integrated Wealth Concepts LLC 0.01% of their portfolio | 60.7k $280.0k | Unchanged |
| COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio | 49.6k $228.0k | Reduced -3.1k |
| Capital Investment Advisors, LLC 0.01% of their portfolio | 49.2k $226.6k | Reduced -1.6k |
| NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.02% of their portfolio | 32.0k $147.5k | Reduced -980 |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.02% of their portfolio | 31.1k $143.3k | Reduced -2.8k |
| STIFEL FINANCIAL CORP 0.00% of their portfolio | 31.0k $142.7k | Reduced -9.5k |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio | 30.8k $142.1k | Reduced -12.5k |
| Fortitude Advisory Group L.L.C. 0.11% of their portfolio | 30.8k $141.9k | Unchanged |
| RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio | 29.1k $134.1k | Reduced -1.0k |
| Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio | 28.2k $130.0k | Reduced -774 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.02% of their portfolio | 26.4k $121.7k | Reduced -2.4k |
| DRIVE WEALTH MANAGEMENT, LLC 0.05% of their portfolio | 26.1k $121.4k | Reduced -1.2k |
| CreativeOne Wealth, LLC 0.01% of their portfolio | 24.4k $113.0k | Added +6.4k |
| MML INVESTORS SERVICES, LLC 0.00% of their portfolio | 23.6k $109.0k | Added +367 |
| INTEGRATED CAPITAL MANAGEMENT, INC. 0.22% of their portfolio | 20.6k $237.7k | Reduced -10.8k |
| D.A. DAVIDSON & CO. 0.00% of their portfolio | 19.6k $90.6k | Added +1.1k |
| B. Riley Wealth Advisors, Inc. 0.00% of their portfolio | 18.5k $86.2k | Unchanged |
| AMERIPRISE FINANCIAL INC 0.00% of their portfolio | 17.1k $78.8k | Added +5.0k |
| Independent Wealth Network Inc. 0.05% of their portfolio | 17.1k $78.8k | Added +274 |
| Advisory Services Network, LLC 0.00% of their portfolio | 15.5k $71.6k | Added +14.0k |
| Cetera Investment Advisers 0.00% of their portfolio | 14.9k $68.5k | Reduced -1.3k |
| Charles Schwab Investment Advisory, Inc. 0.00% of their portfolio | 14.7k $67.5k | Added +390 |
| Kovack Advisors, Inc. 0.01% of their portfolio | 13.0k $59.9k | New |
| PFG Investments, LLC 0.01% of their portfolio | 10.9k $50.2k | First filing |
| Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio | 10.6k $48.7k | New |
| Corient Private Wealth LP 0.00% of their portfolio | 10.4k $48.0k | Unchanged |
| Sigma Planning Corp 0.00% of their portfolio | 10.4k $47.8k | Unchanged |
| DAVENPORT & Co LLC 0.00% of their portfolio | 10.3k $47.5k | Unchanged |
| Visionary Wealth Advisors 0.00% of their portfolio | 10.0k $46.1k | Unchanged |
| BARRETT & COMPANY, INC. 0.02% of their portfolio | 7.8k $35.7k | Unchanged |
| SIGNATUREFD, LLC 0.00% of their portfolio | 7.7k $35.5k | Added +135 |
| HOLLENCREST CAPITAL MANAGEMENT 0.00% of their portfolio | 5.7k $26.5k | Added +153 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio | 3.9k $17.8k | Reduced -8.8k |
| Global Retirement Partners, LLC 0.00% of their portfolio | 2.7k $12.2k | Added +96 |
| Ameritas Advisory Services, LLC 0.00% of their portfolio | 2.0k $9.2k | New |
| CNB Bank 0.00% of their portfolio | 1.1k $5.0k | New |
| HANTZ FINANCIAL SERVICES, INC. 0.00% of their portfolio | 1.1k $5.0k | Not comparable |
| CREATIVE FINANCIAL DESIGNS INC /ADV 0.00% of their portfolio | 553 $2.5k | Added +10 |
| ROBINSON CAPITAL MANAGEMENT, LLC 0.00% of their portfolio | 325 $1.5k | New |
| BDO Wealth Advisors, LLC 0.00% of their portfolio | 155 $715 | New |
| ASSETMARK, INC 0.00% of their portfolio | 71 $327 | Unchanged |
| Lindbrook Capital, LLC 0.00% of their portfolio | 68 $313 | Unchanged |
| EverSource Wealth Advisors, LLC 0.00% of their portfolio | 61 $281 | Added +30 |
| HUNTINGTON NATIONAL BANK 0.00% of their portfolio | 1 $5 | Unchanged |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |