Vault-13

NUVEEN NASDAQ 100 DYNAMIC OV QQQX

COM SHS · Closed-End Fund · CUSIP 670699107

107 institutional holders +3 vs Q4 2022
10,168,94110.2m shares reported held*
$243.0mreported value*
17 new 31 added 30 reduced 14 sold out net bought ≈ $1.5m (+80.8k 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 ≈ $23.90.

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 98Q4 22: 104Q1 23: 107107Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 202298
Q4 2022104
Q1 2023107

Buyers vs sellers

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

Bought or addedCut or sold out
1000100Q4 22: 53 bought or addedQ4 22: 39 cut or sold outQ4 22Q1 23: 48 bought or addedQ1 23: 44 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 20225339
Q1 20234844

Biggest buyers

MORGAN STANLEY Added +197,754+197.8k
WELLS FARGO & COMPANY/MN Added +75,045+75.0k
GUGGENHEIM CAPITAL LLC Added +43,120+43.1k
WORLD EQUITY GROUP, INC. New +41,267+41.3k
Cetera Investment Advisers Added +20,011+20.0k
Belpointe Asset Management LLC Added +16,500+16.5k
Capital CS Group, LLC New +13,336+13.3k
ROYAL BANK OF CANADA Added +12,859+12.9k
Creative Planning New +12,500+12.5k
Western Wealth Management, LLC New +12,433+12.4k

Biggest sellers

LPL Financial LLC Reduced -55,691-55.7k
STIFEL FINANCIAL CORP Reduced -48,335-48.3k
Invesco Ltd. Reduced -44,375-44.4k
MILLENNIUM MANAGEMENT LLC Sold out -43,380-43.4k
TRUIST FINANCIAL CORP Reduced -29,553-29.6k
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC Reduced -28,280-28.3k
ENVESTNET ASSET MANAGEMENT INC Reduced -26,745-26.7k
STEPHENS INC /AR/ Reduced -26,147-26.1k
Alpine Global Management, LLC Sold out -23,611-23.6k
MML INVESTORS SERVICES, LLC Reduced -21,257-21.3k

Insider purchases and sales in Q1 2023

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

None reported in Q1 2023.

Holders, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,945,3471.9m $46.6m $46.6m 0.00% Added +197.8k +197,754
2 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 1,119,1741.1m $26.8m $26.8m 0.01% Added +75.0k +75,045
3 Nan Shan Life Insurance Co., Ltd. 0.48% of their portfolio Taipei City, F5 847,545847.5k $20.3m $20.3m 0.48% Unchanged
4 UBS Group AG 0.01% of their portfolio ZURICH, V8 841,253841.3k $20.1m $20.1m 0.01% Added +4.4k +4,410
5 ROYAL BANK OF CANADA 0.01% of their portfolio TORONTO, A6 825,149825.1k $19.8m $19.8m 0.01% Added +12.9k +12,859
6 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 404,738404.7k $9.7m $9.7m 0.00% Reduced -10.8k -10,792
7 Janney Montgomery Scott LLC 0.04% of their portfolio PHILADELPHIA, PA 365,207365.2k $8.7m $8.7m 0.04% Reduced -9.2k -9,193
8 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 327,251327.3k $7.8m $7.8m 0.00% Reduced -44.4k -44,375
9 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 320,968321.0k $7.7m $7.7m 0.01% Reduced -55.7k -55,691
10 GUGGENHEIM CAPITAL LLC 0.06% of their portfolio CHICAGO, IL 305,841305.8k $7.3m $7.3m 0.06% Added +43.1k +43,120
11 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 243,482243.5k $5.8m $5.8m 0.00% Added +1.1k +1,105
12 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 242,372242.4k $5.8m $5.8m 0.01% Added +3.4k +3,411
13 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 216,215216.2k $5.2m $5.2m 0.01% Reduced -17.2k -17,226
14 Bridge Advisory, LLC 1.41% of their portfolio PASADENA, CA 152,868152.9k $3.7m $3.7m 1.41% Reduced -2.0k -2,025
15 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 140,899140.9k $3.4m $3.4m 0.00% Added +2.0k +1,987
16 Ausdal Financial Partners, Inc. 0.38% of their portfolio Davenport, IA 114,922114.9k $2.8m $2.8m 0.38% Added +5.9k +5,910
17 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 95,12995.1k $2.3m $2.3m 0.00% Added +468 +468
18 D.A. DAVIDSON & CO. 0.02% of their portfolio GREAT FALLS, MT 91,66591.7k $2.2m $2.2m 0.02% Added +7.7k +7,735
19 MONECO ADVISORS, LLC 0.59% of their portfolio FAIRFIELD, CT 83,78483.8k $2.0m $2.0m 0.59% Reduced -4.2k -4,175
20 Atria Wealth Solutions, Inc. 0.03% of their portfolio NEW YORK, NY 83,65483.7k $2.0m $2.0m 0.03% Added +2.3k +2,253
21 SCHNIEDERS CAPITAL MANAGEMENT LLC 0.40% of their portfolio PASADENA, CA 75,09675.1k $1.8m $1.8m 0.40% Added +2.1k +2,075
22 STEPHENS INC /AR/ 0.03% of their portfolio LITTLE ROCK, AR 72,87572.9k $1.7m $1.7m 0.03% Reduced -26.1k -26,147
23 Aviance Capital Partners, LLC 0.36% of their portfolio NAPLES, FL 67,26967.3k $1.6m $1.6m 0.36% Added +1.4k +1,431
24 Equitable Holdings, Inc. 0.03% of their portfolio NEW YORK, NY 65,52765.5k $1.6m $1.6m 0.03% Reduced -8.3k -8,268
25 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 54,74954.7k $1.3m $1.3m 0.01% Added +20.0k +20,011
26 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 46,24646.2k $1.1m $1.1m 0.00% Reduced -29.6k -29,553
27 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 45,83645.8k $1.1m $1.1m 0.00% Reduced -161 -161
28 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 43,71643.7k $1.0m $1.0m 0.00% Reduced -48.3k -48,335
29 FLAGSHIP HARBOR ADVISORS, LLC 0.10% of their portfolio BOSTON, MA 42,34142.3k $1.0m $1.0m 0.10% Reduced -998 -998
30 WORLD EQUITY GROUP, INC. 0.08% of their portfolio SCHAUMBURG, IL 41,26741.3k $536.1k $536.1k 0.08% New
31 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 40,84240.8k $977.8k $977.8k 0.01% Added +1.1k +1,066
32 Mutual Advisors, LLC 0.04% of their portfolio OMAHA, NE 40,71240.7k $974.6k $974.6k 0.04% Reduced -1.1k -1,108
33 Ranch Capital Advisors Inc. 0.68% of their portfolio SARASOTA, FL 38,96339.0k $932.8k $932.8k 0.68% Added +447 +447
34 Belpointe Asset Management LLC 0.05% of their portfolio RENO, NV 38,13738.1k $913.0k $913.0k 0.05% Added +16.5k +16,500
35 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 37,99038.0k $902.9k $902.9k 0.01% Added +530 +530
36 WEDBUSH SECURITIES INC 0.05% of their portfolio PASADENA, CA 37,94937.9k $908.0k $908.0k 0.05% Reduced -1.5k -1,474
37 GREAT VALLEY ADVISOR GROUP, INC. 0.04% of their portfolio WILMINGTON, DE 37,49337.5k $897.6k $897.6k 0.04% Reduced -500 -500
38 IFG Advisory, LLC 0.07% of their portfolio ATLANTA, GA 29,45029.4k $705.0k $705.0k 0.07% Reduced -371 -371
39 Cyndeo Wealth Partners, LLC 0.08% of their portfolio ST. PETERSBURG, FL 29,37929.4k $703.3k $703.3k 0.08% Unchanged
40 Sigma Planning Corp 0.02% of their portfolio ANN ARBOR, MI 27,69227.7k $663.0k $663.0k 0.02% Added +615 +615
41 Lindbrook Capital, LLC 0.07% of their portfolio CALABASAS, CA 25,18225.2k $602.9k $602.9k 0.07% Added +2.8k +2,750
42 B. Riley Wealth Advisors, Inc. 0.01% of their portfolio MEMPHIS, TN 21,20621.2k $516.9k $516.9k 0.01% Reduced -10.2k -10,211
43 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 20,22920.2k $484.0k $484.0k 0.00% Reduced -5.2k -5,154
44 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 19,11119.1k $458.0k $458.0k 0.00% Reduced -58 -58
45 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 17,50917.5k $419.2k $419.2k 0.00% Reduced -26.7k -26,745
46 Avory & Company, LLC 0.28% of their portfolio MIAMI, FL 17,15717.2k $410.7k $410.7k 0.28% Unchanged
47 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 14,59814.6k $351.0k $351.0k 0.00% Reduced -4.2k -4,218
48 Arkadios Wealth Advisors 0.04% of their portfolio ATLANTA, GA 14,51914.5k $347.6k $347.6k 0.04% Unchanged
49 Diversified, LLC 0.12% of their portfolio Wilmington, DE 13,89613.9k $332.7k $332.7k 0.12% Reduced -639 -639
50 WealthShield Partners, LLC 0.05% of their portfolio CARY, NC 13,73213.7k $334.5k $334.5k 0.05% Reduced -2.5k -2,487
51 Capital CS Group, LLC 0.30% of their portfolio IRVINE, CA 13,33613.3k $319.3k $319.3k 0.30% New
52 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 13,30713.3k $319.0k $319.0k 0.01% Unchanged
53 Capstone Financial Advisors, Inc. 0.02% of their portfolio DOWNERS GROVE, IL 13,14513.1k $314.7k $314.7k 0.02% Unchanged
54 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.04% of their portfolio ORLANDO, FL 12,73412.7k $304.9k $304.9k 0.04% Reduced -28.3k -28,280
55 Hilltop Holdings Inc. 0.04% of their portfolio DALLAS, TX 12,63212.6k $302.4k $302.4k 0.04% Reduced -329 -329
56 MML INVESTORS SERVICES, LLC 0.00% of their portfolio SPRINGFIELD, MA 12,62912.6k $302.0k $302.0k 0.00% Reduced -21.3k -21,257
57 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 12,50012.5k $299.2k $299.2k 0.00% New
58 Western Wealth Management, LLC 0.03% of their portfolio GOLDEN, CO 12,43312.4k $297.6k $297.6k 0.03% New
59 DFPG INVESTMENTS, LLC 0.03% of their portfolio SANDY, UT 12,12012.1k $290.2k $290.2k 0.03% Unchanged
60 PATHSTONE FAMILY OFFICE, LLC 0.00% of their portfolio ENGLEWOOD, NJ 12,01612.0k $288.5k $288.5k 0.00% Reduced -8.0k -7,984
61 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 11,47211.5k $274.6k $274.6k 0.00% Reduced -1.5k -1,511
62 Register Financial Advisors LLC 0.22% of their portfolio ATLANTA, GA 11,43511.4k $273.7k $273.7k 0.22% Unchanged
63 Financial Advocates Investment Management 0.02% of their portfolio OLYMPIA, WA 11,04911.0k $264.5k $264.5k 0.02% Added +1.2k +1,200
64 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 10,49910.5k $251.3k $251.3k 0.00% Reduced -550 -550
65 Moors & Cabot, Inc. 0.02% of their portfolio BOSTON, MA 9,95710.0k $238.4k $238.4k 0.02% New
66 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 9,9379.9k $237.9k $237.9k 0.00% Added +130 +130
67 Merit Financial Group, LLC 0.01% of their portfolio ALPHARETTA, GA 9,8009.8k $234.6k $234.6k 0.01% Unchanged
68 TriaGen Wealth Management LLC 0.12% of their portfolio Calabasas, CA 9,6759.7k $231.6k $231.6k 0.12% New
69 Formidable Asset Management, LLC 0.05% of their portfolio CINCINNATI, OH 9,5759.6k $229.0k $229.0k 0.05% New
70 Compound Planning, Inc. 0.12% of their portfolio NEW YORK, NY 9,2279.2k $220.9k $220.9k 0.12% First filing
71 Aspen Investment Management Inc 0.14% of their portfolio GRAND RAPIDS, MI 9,1509.2k $219.0k $219.0k 0.14% New
72 Jacobi Capital Management LLC 0.03% of their portfolio PITTSTON, PA 8,8728.9k $212.4k $212.4k 0.03% New
73 Cornerstone Wealth Group, LLC 0.04% of their portfolio HUNTERSVILLE, NC 8,4538.5k $202.4k $202.4k 0.04% New
74 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 5,6515.7k $135.3k $135.3k 0.00% Unchanged
75 Capital Analysts, LLC 0.01% of their portfolio FORT WASHINGTON, PA 5,4045.4k $129.0k $129.0k 0.01% Unchanged
76 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 5,1155.1k $122.5k $122.5k 0.00% Unchanged
77 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 4,1364.1k $99.0k $99.0k 0.00% Added +1.4k +1,396
78 FNY Investment Advisers, LLC 0.10% of their portfolio NEW YORK, NY 3,8003.8k $90.0k $90.0k 0.10% New
79 Ameritas Advisory Services, LLC 0.00% of their portfolio Lincoln, NE 3,0053.0k $71.9k $71.9k 0.00% New
80 Hexagon Capital Partners LLC 0.02% of their portfolio ROGERS, AR 2,7662.8k $66.2k $66.2k 0.02% Unchanged
81 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 2,7502.8k $65.8k $65.8k 0.00% Unchanged
82 Global Retirement Partners, LLC 0.00% of their portfolio San Rafael, CA 2,3352.3k $54.7k $54.7k 0.00% Added +1.2k +1,233
83 BENJAMIN F. EDWARDS & COMPANY, INC. 0.00% of their portfolio ST. LOUIS, MO 2,3012.3k $55.0k $55.0k 0.00% Unchanged
84 Sunbelt Securities, Inc. 0.01% of their portfolio HOUSTON, TX 2,3002.3k $54.4k $54.4k 0.01% New
85 Thomas J. Herzfeld Advisors, Inc. 0.02% of their portfolio MIAMI BEACH, FL 2,2142.2k $53.0k $53.0k 0.02% Added +54 +54
86 CoreFirst Bank & Trust 0.03% of their portfolio TOPEKA, KS 1,7541.8k $42.0k $42.0k 0.03% Unchanged
87 WealthPLAN Partners, LLC 0.00% of their portfolio OMAHA, NE 1,4361.4k $34.4k $34.4k 0.00% New
88 TCI Wealth Advisors, Inc. 0.00% of their portfolio Tucson, AZ 1,1151.1k $26.7k $26.7k 0.00% Added +26 +26
89 Key Financial Inc 0.01% of their portfolio WEST CHESTER, PA 1,1041.1k $26.4k $26.4k 0.01% Unchanged
90 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 1,0141.0k $24.3k $24.3k 0.00% Added +185 +185
91 PRIVATE TRUST CO NA 0.00% of their portfolio CLEVELAND, OH 1,0001.0k $23.9k $23.9k 0.00% Unchanged
92 DEUTSCHE BANK AG\ 0.00% of their portfolio FRANKFURT AM MAIN, 2M 898898 $21.5k $21.5k 0.00% Added +22 +22
93 Householder Group Estate & Retirement Specialist, LLC 0.01% of their portfolio SCOTTSDALE, AZ 777777 $19.0k $19.0k 0.01% New
94 HUNTINGTON NATIONAL BANK 0.00% of their portfolio COLUMBUS, OH 702702 $16.8k $16.8k 0.00% Unchanged
95 ICA Group Wealth Management, LLC 0.00% of their portfolio DENVER, CO 680680 $16.3k $16.3k 0.00% New
96 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 530530 $12.7k $12.7k 0.00% Unchanged
97 Financial Synergies Wealth Advisors, Inc. 0.00% of their portfolio HOUSTON, TX 460460 $11.0k $11.0k 0.00% Unchanged
98 Retirement Group, LLC 0.00% of their portfolio SAN DIEGO, CA 426426 $10.0k $10.0k 0.00% Unchanged
99 TimeScale Financial, Inc. 0.00% of their portfolio DANVERS, MA 419419 $10.0k $10.0k 0.00% Added +19 +19
100 Spire Wealth Management 0.00% of their portfolio MCLEAN, VA 352352 $8.4k $8.4k 0.00% Unchanged