Vault-13

NUVEEN FLOATING RATE INCOME

COM SHS · CUSIP 6706EN100

98 institutional holders +8 vs Q4 2022
11,456,49411.5m shares reported held*
$91.9mreported value*
18 new 34 added 23 reduced 9 sold out net bought ≈ $4.6m (+575.2k 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 ≈ $8.03.

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

050100Q3 22: 78Q4 22: 90Q1 23: 9898Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 202278
Q4 202290
Q1 202398

Buyers vs sellers

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

Bought or addedCut or sold out
1000100Q4 22: 48 bought or addedQ4 22: 25 cut or sold outQ4 22Q1 23: 52 bought or addedQ1 23: 32 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 20224825
Q1 20235232

Biggest buyers

CAPTRUST FINANCIAL ADVISORS New +316,735+316.7k
MISSION WEALTH MANAGEMENT, LP New +135,200+135.2k
PARK AVENUE SECURITIES LLC New +128,389+128.4k
ENVESTNET ASSET MANAGEMENT INC Added +110,444+110.4k
CITY OF LONDON INVESTMENT MANAGEMENT CO LTD Added +90,565+90.6k
Almitas Capital LLC New +51,500+51.5k
Future Financial Wealth Managment LLC New +30,487+30.5k
GUGGENHEIM CAPITAL LLC Added +27,846+27.8k
Shaker Financial Services, LLC Added +25,936+25.9k
Saba Capital Management, L.P. New +23,376+23.4k

Biggest sellers

LPL Financial LLC Reduced -181,117-181.1k
RAYMOND JAMES & ASSOCIATES Reduced -112,143-112.1k
1607 Capital Partners, LLC Reduced -65,000-65.0k
Logan Stone Capital, LLC Reduced -51,673-51.7k
SIT INVESTMENT ASSOCIATES INC Reduced -37,293-37.3k
RIVERNORTH CAPITAL MANAGEMENT, LLC Sold out -28,766-28.8k
WOLVERINE ASSET MANAGEMENT LLC Reduced -24,504-24.5k
OSAIC HOLDINGS, INC. Reduced -24,484-24.5k
Walleye Capital LLC Sold out -15,803-15.8k
OAKTREE CAPITAL MANAGEMENT LP Reduced -14,201-14.2k

Holders, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,516,6181.5m $12.2m $12.2m 0.00% Added +6.8k +6,783
2 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 1,227,5091.2m $9.8m $9.8m 0.00% Added +18.1k +18,061
3 OAKTREE CAPITAL MANAGEMENT LP 0.07% of their portfolio LOS ANGELES, CA 793,641793.6k $6.4m $6.4m 0.07% Reduced -14.2k -14,201
4 GUGGENHEIM CAPITAL LLC 0.05% of their portfolio CHICAGO, IL 706,169706.2k $5.7m $5.7m 0.05% Added +27.8k +27,846
5 Advisors Asset Management, Inc. 0.08% of their portfolio Monument, CO 480,354480.4k $3.9m $3.9m 0.08% Added +19.4k +19,385
6 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 0.27% of their portfolio London, X0 438,230438.2k $3.5m $3.5m 0.27% Added +90.6k +90,565
7 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 432,590432.6k $3.5m $3.5m 0.00% Unchanged
8 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 408,097408.1k $3.3m $3.3m 0.00% Added +3.4k +3,351
9 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 383,099383.1k $3.1m $3.1m 0.01% Added +16.6k +16,594
10 CAPTRUST FINANCIAL ADVISORS 0.01% of their portfolio RALEIGH, NC 316,735316.7k $2.5m $2.5m 0.01% New
11 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 313,222313.2k $2.5m $2.5m 0.00% Reduced -181.1k -181,117
12 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 296,932296.9k $2.4m $2.4m 0.00% Reduced -112.1k -112,143
13 SIT INVESTMENT ASSOCIATES INC 0.06% of their portfolio Minneapolis, MN 282,064282.1k $2.3m $2.3m 0.06% Reduced -37.3k -37,293
14 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 246,613246.6k $2.0m $2.0m 0.00% Reduced -2.3k -2,251
15 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 239,517239.5k $1.9m $1.9m 0.00% Reduced -24.5k -24,484
16 Logan Stone Capital, LLC 0.64% of their portfolio CHICAGO, IL 200,228200.2k $1.6m $1.6m 0.64% Reduced -51.7k -51,673
17 RFG Advisory, LLC 0.08% of their portfolio BIRMINGHAM, AL 191,374191.4k $1.5m $1.5m 0.08% Reduced -5.2k -5,162
18 Aviance Capital Partners, LLC 0.33% of their portfolio NAPLES, FL 187,822187.8k $1.5m $1.5m 0.33% Added +5.8k +5,795
19 UBS Group AG 0.00% of their portfolio ZURICH, V8 182,293182.3k $1.5m $1.5m 0.00% Reduced -9.1k -9,145
20 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.21% of their portfolio ORLANDO, FL 179,795179.8k $1.4m $1.4m 0.21% Added +10.3k +10,350
21 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 139,210139.2k $1.1m $1.1m 0.00% Added +110.4k +110,444
22 MISSION WEALTH MANAGEMENT, LP 0.05% of their portfolio Santa Barbara, CA 135,200135.2k $1.1m $1.1m 0.05% New
23 PARK AVENUE SECURITIES LLC 0.02% of their portfolio NEW YORK, NY 128,389128.4k $1.0m $1.0m 0.02% New
24 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 128,158128.2k $1.0m $1.0m 0.00% Added +3.7k +3,707
25 COHEN & STEERS, INC. 0.00% of their portfolio NEW YORK, NY 127,756127.8k $1.0m $1.0m 0.00% Added +10.0k +10,000
26 Capital Investment Advisors, LLC 0.02% of their portfolio ATLANTA, GA 95,33295.3k $764.6k $764.6k 0.02% Reduced -2.7k -2,693
27 1607 Capital Partners, LLC 0.05% of their portfolio Richmond, VA 89,80089.8k $720.2k $720.2k 0.05% Reduced -65.0k -65,000
28 Congress Park Capital LLC 0.41% of their portfolio SARATOGA SPRINGS, NY 85,00085.0k $681.7k $681.7k 0.41% Added +10.0k +10,000
29 Shaker Financial Services, LLC 0.29% of their portfolio Arlington, VA 80,62980.6k $652.2k $652.2k 0.29% Added +25.9k +25,936
30 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 67,59867.6k $542.1k $542.1k 0.00% Added +3.0k +2,972
31 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 65,17365.2k $523.0k $523.0k 0.00% Added +4.8k +4,824
32 Next Capital Management LLC 0.23% of their portfolio NEW YORK, NY 59,80759.8k $479.7k $479.7k 0.23% Unchanged
33 Gladstone Institutional Advisory LLC 0.03% of their portfolio Bedminster, NJ 57,32057.3k $459.7k $459.7k 0.03% Reduced -675 -675
34 HORIZON KINETICS ASSET MANAGEMENT LLC 0.01% of their portfolio NEW YORK, NY 56,98457.0k $457.0k $457.0k 0.01% Unchanged
35 AQR Arbitrage LLC 0.01% of their portfolio Greenwich, CT 56,73856.7k $455.0k $455.0k 0.01% Added +21.4k +21,393
36 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 56,56456.6k $453.0k $453.0k 0.00% Added +3.0k +3,005
37 D.A. DAVIDSON & CO. 0.00% of their portfolio GREAT FALLS, MT 55,08055.1k $441.7k $441.7k 0.00% Reduced -9.9k -9,886
38 Almitas Capital LLC 0.20% of their portfolio SANTA MONICA, CA 51,50051.5k $413.0k $413.0k 0.20% New
39 WOLVERINE ASSET MANAGEMENT LLC 0.01% of their portfolio CHICAGO, IL 51,45751.5k $412.7k $412.7k 0.01% Reduced -24.5k -24,504
40 WEDBUSH SECURITIES INC 0.02% of their portfolio PASADENA, CA 43,20043.2k $346.0k $346.0k 0.02% Added +600 +600
41 Farther Finance Advisors, LLC 0.10% of their portfolio SAN FRANCISCO, CA 41,90441.9k $336.1k $336.1k 0.10% Added +13.8k +13,750
42 VIRTUS ADVISERS, LLC 0.18% of their portfolio HARTFORD, CT 41,11841.1k $329.8k $329.8k 0.18% Added +1.1k +1,061
43 Sigma Planning Corp 0.01% of their portfolio ANN ARBOR, MI 34,42234.4k $276.1k $276.1k 0.01% Added +956 +956
44 Future Financial Wealth Managment LLC 0.27% of their portfolio CINCINNATI, OH 30,48730.5k $248.5k $248.5k 0.27% New
45 Kovack Advisors, Inc. 0.03% of their portfolio FT. LAUDERDALE, FL 30,00930.0k $240.7k $240.7k 0.03% Reduced -2.6k -2,595
46 FourThought Financial Partners, LLC 0.03% of their portfolio VENICE, FL 29,98530.0k $240.5k $240.5k 0.03% Reduced -6.9k -6,877
47 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.03% of their portfolio Englewood, NJ 29,95730.0k $240.3k $240.3k 0.03% Reduced -7.9k -7,876
48 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 27,21527.2k $218.3k $218.3k 0.00% Added +7.3k +7,292
49 OPPENHEIMER & CO INC 0.00% of their portfolio NEW YORK, NY 26,80526.8k $215.0k $215.0k 0.00% Added +2.8k +2,811
50 Ahrens Investment Partners LLC 0.10% of their portfolio LAFAYETTE, LA 25,90025.9k $207.7k $207.7k 0.10% Reduced -11.1k -11,100
51 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 24,80024.8k $191.0k $191.0k 0.00% Added +500 +500
52 ProVise Management Group, LLC 0.02% of their portfolio CLEARWATER, FL 23,72523.7k $190.3k $190.3k 0.02% Reduced -825 -825
53 Saba Capital Management, L.P. 0.00% of their portfolio NEW YORK, NY 23,37623.4k $187.5k $187.5k 0.00% New
54 Klingman & Associates, LLC 0.02% of their portfolio New York, NY 22,21422.2k $178.2k $178.2k 0.02% Added +386 +386
55 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 21,07621.1k $169.0k $169.0k 0.00% New
56 Integrated Wealth Concepts LLC 0.00% of their portfolio WALTHAM, MA 20,38320.4k $163.0k $163.0k 0.00% Unchanged
57 INTEGRATED CAPITAL MANAGEMENT, INC. 0.15% of their portfolio JESSUP, PA 20,32720.3k $166.7k $166.7k 0.15% New
58 JONES ROAD CAPITAL MANAGEMENT, L.P. 0.15% of their portfolio NEW YORK, NY 20,00020.0k $160.4k $160.4k 0.15% New
59 AXXCESS WEALTH MANAGEMENT, LLC 0.01% of their portfolio CARLSBAD, CA 18,51218.5k $148.5k $148.5k 0.01% Unchanged
60 Western Wealth Management, LLC 0.01% of their portfolio GOLDEN, CO 18,44418.4k $147.9k $147.9k 0.01% Added +333 +333
61 Lido Advisors, LLC 0.00% of their portfolio Los Angeles, CA 18,40818.4k $147.6k $147.6k 0.00% New
62 B. Riley Wealth Advisors, Inc. 0.00% of their portfolio MEMPHIS, TN 15,88215.9k $128.6k $128.6k 0.00% Reduced -1.5k -1,500
63 Transform Wealth, LLC 0.01% of their portfolio GREENWOOD VILLAGE, CO 15,51915.5k $125.6k $125.6k 0.01% Unchanged
64 Ameritas Advisory Services, LLC 0.01% of their portfolio Lincoln, NE 15,19415.2k $121.9k $121.9k 0.01% Reduced -14.0k -13,974
65 Cerity Partners LLC 0.00% of their portfolio NEW YORK, NY 15,00015.0k $120.3k $120.3k 0.00% Added +5.0k +5,000
66 SHEETS SMITH WEALTH MANAGEMENT 0.02% of their portfolio WINSTON-SALEM, NC 14,40014.4k $115.5k $115.5k 0.02% Unchanged
67 WORLD EQUITY GROUP, INC. 0.03% of their portfolio SCHAUMBURG, IL 14,09214.1k $183.1k $183.1k 0.03% New
68 Apollon Wealth Management, LLC 0.01% of their portfolio MOUNT PLEASANT, SC 13,50713.5k $108.3k $108.3k 0.01% Added +236 +236
69 Integrated Advisors Network LLC 0.01% of their portfolio DALLAS, TX 13,00013.0k $104.3k $104.3k 0.01% New
70 MELFA WEALTH MANAGEMENT, INC. 0.10% of their portfolio WESTBOROUGH, MA 12,66612.7k $101.6k $101.6k 0.10% Unchanged
71 IFG Advisory, LLC 0.01% of their portfolio ATLANTA, GA 12,50012.5k $100.2k $100.2k 0.01% New
72 Wealth Alliance Advisory Group, LLC 0.04% of their portfolio Wichita, KS 12,41212.4k $99.5k $99.5k 0.04% Unchanged
73 Cullen/Frost Bankers, Inc. 0.00% of their portfolio San Antonio, TX 12,00012.0k $96.2k $96.2k 0.00% Added +7.0k +7,000
74 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 10,89210.9k $87.0k $87.0k 0.00% Added +10.0k +10,013
75 CTC Capital Management, LLC 0.18% of their portfolio Chicago, IL 10,73010.7k $86.1k $86.1k 0.18% Unchanged
76 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 10,16010.2k $81.5k $81.5k 0.00% Unchanged
77 CARY STREET PARTNERS INVESTMENT ADVISORY LLC 0.01% of their portfolio RICHMOND, VA 8,7508.8k $70.2k $70.2k 0.01% Unchanged
78 Belpointe Asset Management LLC 0.00% of their portfolio RENO, NV 8,2508.2k $66.2k $66.2k 0.00% Added +250 +250
79 CWM, LLC 0.00% of their portfolio OMAHA, NE 7,6927.7k $62.0k $62.0k 0.00% Unchanged
80 HOLLENCREST CAPITAL MANAGEMENT 0.01% of their portfolio NEWPORT BEACH, CA 6,1206.1k $49.1k $49.1k 0.01% Reduced -1.0k -1,000
81 GPS Wealth Strategies Group, LLC 0.01% of their portfolio CENTENNIAL, CO 4,4004.4k $35.3k $35.3k 0.01% New
82 CoreFirst Bank & Trust 0.02% of their portfolio TOPEKA, KS 3,1923.2k $25.6k $25.6k 0.02% Unchanged
83 Gradient Investments LLC 0.00% of their portfolio ARDEN HILLS, MN 3,1393.1k $25.2k $25.2k 0.00% Reduced -92 -92
84 ICA Group Wealth Management, LLC 0.01% of their portfolio DENVER, CO 3,0003.0k $24.1k $24.1k 0.01% New
85 Hexagon Capital Partners LLC 0.01% of their portfolio ROGERS, AR 2,9553.0k $23.7k $23.7k 0.01% Unchanged
86 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 2,3572.4k $18.9k $18.9k 0.00% Added +1.3k +1,333
87 McIlrath & Eck, LLC 0.00% of their portfolio ARLINGTON, WA 1,6471.6k $13.2k $13.2k 0.00% Unchanged
88 Accel Wealth Management 0.00% of their portfolio WAVERLY, IA 1,1701.2k $9.4k $9.4k 0.00% Added +20 +20
89 Princeton Global Asset Management LLC 0.00% of their portfolio PRINCETON, NJ 1,0401.0k $8.3k $8.3k 0.00% Unchanged
90 NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio MONTREAL, A8 600600 $4.8k $4.8k 0.00% Unchanged
91 FNY Investment Advisers, LLC 0.00% of their portfolio NEW YORK, NY 600600 $4.0k $4.0k 0.00% New
92 Beacon Capital Management, LLC 0.00% of their portfolio FRANKLIN, TN 477477 $3.8k $3.8k 0.00% Unchanged
93 Fortis Capital Advisors, LLC 0.00% of their portfolio PRAIRIE VILLAGE, KS 250250 $2.0k $2.0k 0.00% New
94 Lindbrook Capital, LLC 0.00% of their portfolio CALABASAS, CA 2828 $225 $225 0.00% Unchanged
95 SIGNATUREFD, LLC 0.00% of their portfolio ATLANTA, GA 99 $75 $75 0.00% Unchanged
96 HUNTINGTON NATIONAL BANK 0.00% of their portfolio COLUMBUS, OH 11 $8 $8 0.00% Unchanged
97 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged
98 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 00 $0 $0 0.00% New