Vault-13

NUVEEN SR INCOME FD

COM · CUSIP 67067Y104

83 institutional holders +7 vs Q1 2023
11,403,80011.4m shares reported held*
$52.3mreported value*
10 new 28 added 23 reduced 4 sold out net bought ≈ $3.3m (+726.3k 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 ≈ $4.58.

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

050100Q3 22: 75Q4 22: 80Q1 23: 76Q2 23: 8383Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 202275
Q4 202280
Q1 202376
Q2 202383

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
40040Q4 22: 34 bought or addedQ4 22: 37 cut or sold outQ4 22Q1 23: 34 bought or addedQ1 23: 35 cut or sold outQ1 23Q2 23: 38 bought or addedQ2 23: 27 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20223437
Q1 20233435
Q2 20233827

Biggest buyers

SIT INVESTMENT ASSOCIATES INC Added +663,176+663.2k
Alpine Global Management, LLC New +226,264+226.3k
Saba Capital Management, L.P. New +125,045+125.0k
WOLVERINE ASSET MANAGEMENT LLC Added +111,440+111.4k
MORGAN STANLEY Added +100,532+100.5k
1607 Capital Partners, LLC Added +73,000+73.0k
LPL Financial LLC Added +69,726+69.7k
Coastal Bridge Advisors, LLC Added +48,470+48.5k
UBS Group AG Added +37,684+37.7k
CAPTRUST FINANCIAL ADVISORS New +33,764+33.8k

Biggest sellers

RIVERNORTH CAPITAL MANAGEMENT, LLC Reduced -374,303-374.3k
GUGGENHEIM CAPITAL LLC Reduced -312,041-312.0k
Invesco Ltd. Reduced -75,187-75.2k
Shaker Financial Services, LLC Reduced -23,018-23.0k
OSAIC HOLDINGS, INC. Reduced -17,129-17.1k
Raymond James Financial Services Advisors, Inc. Sold out -10,570-10.6k
DAVENPORT & Co LLC Sold out -10,300-10.3k
RIVERBRIDGE PARTNERS LLC Reduced -8,158-8.2k
WELLS FARGO & COMPANY/MN Reduced -8,148-8.1k
Capital Investment Advisors, LLC Reduced -6,173-6.2k

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 OAKTREE CAPITAL MANAGEMENT LP 0.10% of their portfolio LOS ANGELES, CA 1,669,2701.7m $7.6m $7.6m 0.10% Unchanged
2 SIT INVESTMENT ASSOCIATES INC 0.13% of their portfolio Minneapolis, MN 1,097,8841.1m $5.0m $5.0m 0.13% Added +663.2k +663,176
3 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 896,315896.3k $4.1m $4.1m 0.00% Added +100.5k +100,532
4 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 667,273667.3k $3.1m $3.1m 0.00% Reduced -75.2k -75,187
5 UBS Group AG 0.00% of their portfolio ZURICH, V8 612,633612.6k $2.8m $2.8m 0.00% Added +37.7k +37,684
6 Shaker Financial Services, LLC 1.15% of their portfolio Arlington, VA 569,336569.3k $2.6m $2.6m 1.15% Reduced -23.0k -23,018
7 GUGGENHEIM CAPITAL LLC 0.02% of their portfolio CHICAGO, IL 558,164558.2k $2.6m $2.6m 0.02% Reduced -312.0k -312,041
8 1607 Capital Partners, LLC 0.13% of their portfolio Richmond, VA 386,400386.4k $1.8m $1.8m 0.13% Added +73.0k +73,000
9 Next Capital Management LLC 0.79% of their portfolio NEW YORK, NY 371,379371.4k $1.7m $1.7m 0.79% Unchanged
10 WOLVERINE ASSET MANAGEMENT LLC 0.03% of their portfolio CHICAGO, IL 357,015357.0k $1.6m $1.6m 0.03% Added +111.4k +111,440
11 RIVERNORTH CAPITAL MANAGEMENT, LLC 0.07% of their portfolio WEST PALM BEACH, FL 305,422305.4k $1.4m $1.4m 0.07% Reduced -374.3k -374,303
12 Advisors Asset Management, Inc. 0.03% of their portfolio Monument, CO 303,239303.2k $1.4m $1.4m 0.03% Reduced -3.0k -3,020
13 Almitas Capital LLC 0.45% of their portfolio SANTA MONICA, CA 229,436229.4k $1.1m $1.1m 0.45% Added +12.7k +12,723
14 Alpine Global Management, LLC 0.15% of their portfolio NEW YORK, NY 226,264226.3k $1.0m $1.0m 0.15% New
15 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 205,090205.1k $939.3k $939.3k 0.00% Added +1.9k +1,938
16 PARK AVENUE SECURITIES LLC 0.01% of their portfolio NEW YORK, NY 194,094194.1k $889.0k $889.0k 0.01% Reduced -1.8k -1,786
17 Coastal Bridge Advisors, LLC 0.22% of their portfolio WESTPORT, CT 193,166193.2k $884.7k $884.7k 0.22% Added +48.5k +48,470
18 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 188,776188.8k $864.6k $864.6k 0.00% Added +69.7k +69,726
19 Logan Stone Capital, LLC 0.29% of their portfolio CHICAGO, IL 183,685183.7k $841.3k $841.3k 0.29% Reduced -1.7k -1,731
20 GILL CAPITAL PARTNERS, LLC 0.30% of their portfolio DENVER, CO 156,420156.4k $716.4k $716.4k 0.30% Reduced -5.0k -5,040
21 Saba Capital Management, L.P. 0.02% of their portfolio NEW YORK, NY 125,045125.0k $572.7k $572.7k 0.02% New
22 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 119,479119.5k $547.2k $547.2k 0.00% Added +3.0k +3,028
23 RIVERBRIDGE PARTNERS LLC 0.01% of their portfolio MINNEAPOLIS, MN 108,228108.2k $495.7k $495.7k 0.01% Reduced -8.2k -8,158
24 HORIZON KINETICS ASSET MANAGEMENT LLC 0.01% of their portfolio NEW YORK, NY 105,209105.2k $481.9k $481.9k 0.01% Unchanged
25 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 102,815102.8k $470.9k $470.9k 0.01% Unchanged
26 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 88,15088.2k $404.0k $404.0k 0.00% Unchanged
27 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 85,07285.1k $389.6k $389.6k 0.00% First filing
28 E&G Advisors, LLC 0.13% of their portfolio HOUSTON, TX 80,30080.3k $367.8k $367.8k 0.13% Unchanged
29 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 74,80774.8k $343.0k $343.0k 0.00% Reduced -3.9k -3,910
30 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 72,49072.5k $332.0k $332.0k 0.00% Reduced -8.1k -8,148
31 VIRTUS ADVISERS, LLC 0.19% of their portfolio HARTFORD, CT 69,07369.1k $316.4k $316.4k 0.19% Reduced -5.5k -5,485
32 HARBOUR INVESTMENTS, INC. 0.02% of their portfolio MADISON, WI 68,74368.7k $314.8k $314.8k 0.02% Added +1.9k +1,883
33 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 61,94661.9k $283.7k $283.7k 0.00% Reduced -17.1k -17,129
34 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 61,36061.4k $281.0k $281.0k 0.00% Added +122 +122
35 Integrated Wealth Concepts LLC 0.00% of their portfolio WALTHAM, MA 60,80860.8k $278.5k $278.5k 0.00% Added +120 +120
36 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 45,86045.9k $210.0k $210.0k 0.00% Reduced -3.7k -3,710
37 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.03% of their portfolio Englewood, NJ 43,27143.3k $198.2k $198.2k 0.03% Added +12.2k +12,197
38 CreativeOne Wealth, LLC 0.00% of their portfolio OVERLAND PARK, KS 42,99943.0k $196.0k $196.0k 0.00% Added +18.6k +18,557
39 Capital Investment Advisors, LLC 0.01% of their portfolio ATLANTA, GA 42,97843.0k $196.8k $196.8k 0.01% Reduced -6.2k -6,173
40 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 33,76433.8k $154.6k $154.6k 0.00% New
41 INTEGRATED CAPITAL MANAGEMENT, INC. 0.14% of their portfolio JESSUP, PA 33,75333.8k $154.6k $154.6k 0.14% Added +13.1k +13,134
42 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 33,43733.4k $153.0k $153.0k 0.00% Added +5.2k +5,198
43 Fortitude Advisory Group L.L.C. 0.11% of their portfolio GIG HARBOR, WA 31,85931.9k $145.9k $145.9k 0.11% Added +1.1k +1,077
44 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.01% of their portfolio CEDAR RAPIDS, IA 29,43929.4k $134.8k $134.8k 0.01% Reduced -2.5k -2,550
45 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 29,42029.4k $134.7k $134.7k 0.00% Added +342 +342
46 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 29,00629.0k $132.8k $132.8k 0.00% Reduced -2.0k -1,956
47 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 28,38528.4k $130.0k $130.0k 0.00% Reduced -2.4k -2,439
48 DRIVE WEALTH MANAGEMENT, LLC 0.05% of their portfolio LEHI, UT 26,66826.7k $123.3k $123.3k 0.05% Added +590 +590
49 MML INVESTORS SERVICES, LLC 0.00% of their portfolio SPRINGFIELD, MA 25,97926.0k $119.0k $119.0k 0.00% Added +2.3k +2,346
50 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.02% of their portfolio ORLANDO, FL 25,50225.5k $116.8k $116.8k 0.02% Reduced -903 -903
51 B. Riley Wealth Advisors, Inc. 0.00% of their portfolio MEMPHIS, TN 20,23220.2k $93.5k $93.5k 0.00% Added +1.7k +1,717
52 D.A. DAVIDSON & CO. 0.00% of their portfolio GREAT FALLS, MT 19,86419.9k $91.0k $91.0k 0.00% Added +215 +215
53 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 16,41816.4k $75.2k $75.2k 0.00% Reduced -684 -684
54 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 15,52115.5k $71.1k $71.1k 0.00% Unchanged
55 Independent Wealth Network Inc. 0.04% of their portfolio URBANDALE, IA 15,17215.2k $69.5k $69.5k 0.04% Reduced -1.9k -1,930
56 Charles Schwab Investment Advisory, Inc. 0.00% of their portfolio SAN FRANCISCO, CA 15,07115.1k $69.0k $69.0k 0.00% Added +419 +419
57 Lido Advisors, LLC 0.00% of their portfolio Los Angeles, CA 15,00015.0k $68.7k $68.7k 0.00% New
58 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 13,30713.3k $60.9k $60.9k 0.00% Reduced -1.6k -1,552
59 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 13,23213.2k $60.6k $60.6k 0.00% New
60 PFG Investments, LLC 0.01% of their portfolio WOODBURY, NY 10,90010.9k $49.9k $49.9k 0.01% Unchanged
61 Corient Private Wealth LP 0.00% of their portfolio MIAMI, FL 10,41510.4k $47.7k $47.7k 0.00% Unchanged
62 Sigma Planning Corp 0.00% of their portfolio ANN ARBOR, MI 10,36510.4k $47.5k $47.5k 0.00% Unchanged
63 XTX Topco Ltd 0.01% of their portfolio LONDON, X0 10,09610.1k $46.2k $46.2k 0.01% New
64 Kovack Advisors, Inc. 0.01% of their portfolio FT. LAUDERDALE, FL 10,00010.0k $45.8k $45.8k 0.01% Reduced -3.0k -3,000
65 Visionary Wealth Advisors 0.00% of their portfolio O'FALLON, IL 10,00010.0k $45.8k $45.8k 0.00% Unchanged
66 SIGNATUREFD, LLC 0.00% of their portfolio ATLANTA, GA 7,9287.9k $36.3k $36.3k 0.00% Added +222 +222
67 BARRETT & COMPANY, INC. 0.02% of their portfolio PROVIDENCE, RI 7,7507.8k $35.5k $35.5k 0.02% Unchanged
68 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 7,1437.1k $32.7k $32.7k 0.00% New
69 HOLLENCREST CAPITAL MANAGEMENT 0.00% of their portfolio NEWPORT BEACH, CA 5,9025.9k $27.0k $27.0k 0.00% Added +164 +164
70 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 3,8543.9k $17.7k $17.7k 0.00% Unchanged
71 Global Retirement Partners, LLC 0.00% of their portfolio San Rafael, CA 2,6942.7k $12.3k $12.3k 0.00% Added +26 +26
72 Blue Trust, Inc. 0.00% of their portfolio BRENTWOOD, TN 2,5002.5k $12.0k $12.0k 0.00% New
73 CNB Bank 0.00% of their portfolio CLEARFIELD, PA 1,0941.1k $5.0k $5.0k 0.00% Unchanged
74 HANTZ FINANCIAL SERVICES, INC. 0.00% of their portfolio SOUTHFIELD, MI 1,0851.1k $5.0k $5.0k 0.00% Unchanged
75 CREATIVE FINANCIAL DESIGNS INC /ADV 0.00% of their portfolio KOKOMO, IN 569569 $2.6k $2.6k 0.00% Added +16 +16
76 ROBINSON CAPITAL MANAGEMENT, LLC 0.00% of their portfolio GROSSE POINTE FARMS, MI 325325 $1.5k $1.5k 0.00% Unchanged
77 ASSETMARK, INC 0.00% of their portfolio CONCORD, CA 7171 $325 $325 0.00% Unchanged
78 Lindbrook Capital, LLC 0.00% of their portfolio CALABASAS, CA 6868 $311 $311 0.00% Unchanged
79 EverSource Wealth Advisors, LLC 0.00% of their portfolio BIRMINGHAM, AL 6161 $279 $279 0.00% Unchanged
80 CWM, LLC 0.00% of their portfolio OMAHA, NE 5656 $0 $0 0.00% New
81 HUNTINGTON NATIONAL BANK 0.00% of their portfolio COLUMBUS, OH 11 $5 $5 0.00% Unchanged
82 FMR LLC 0.00% of their portfolio BOSTON, MA 11 $5 $5 0.00% New
83 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged