Vault-13

NUVEEN FLOATING RATE INCOME

COM SHS · CUSIP 6706EN100

98 institutional holders +0 vs Q1 2023
11,973,43612.0m shares reported held*
$93.4mreported value*
10 new 35 added 22 reduced 9 sold out net bought ≈ $4.2m (+542.8k 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 ≈ $7.80.

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

050100Q3 22: 78Q4 22: 90Q1 23: 98Q2 23: 9898Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 202278
Q4 202290
Q1 202398
Q2 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 23Q2 23: 45 bought or addedQ2 23: 31 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20224825
Q1 20235232
Q2 20234531

Biggest buyers

AQR Arbitrage LLC Added +167,812+167.8k
Alpine Global Management, LLC New +167,560+167.6k
WOLVERINE ASSET MANAGEMENT LLC Added +141,214+141.2k
Logan Stone Capital, LLC Added +129,404+129.4k
MORGAN STANLEY Added +113,993+114.0k
Raymond James Financial Services Advisors, Inc. Added +100,773+100.8k
Saba Capital Management, L.P. Added +95,183+95.2k
LANDSCAPE CAPITAL MANAGEMENT, L.L.C. Added +68,639+68.6k
BANK OF AMERICA CORP /DE/ Added +67,314+67.3k
CITY OF LONDON INVESTMENT MANAGEMENT CO LTD Added +64,958+65.0k

Biggest sellers

CAPTRUST FINANCIAL ADVISORS Sold out -316,735-316.7k
LPL Financial LLC Reduced -218,165-218.2k
GUGGENHEIM CAPITAL LLC Reduced -144,996-145.0k
Advisors Asset Management, Inc. Reduced -105,449-105.4k
Invesco Ltd. Reduced -50,237-50.2k
D.A. DAVIDSON & CO. Reduced -20,508-20.5k
Steward Partners Investment Advisory, LLC Reduced -18,577-18.6k
AXXCESS WEALTH MANAGEMENT, LLC Sold out -18,512-18.5k
Lido Advisors, LLC Sold out -18,408-18.4k
WORLD EQUITY GROUP, INC. Sold out -14,092-14.1k

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,630,6111.6m $12.7m $12.7m 0.00% Added +114.0k +113,993
2 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 1,294,8231.3m $10.1m $10.1m 0.00% Added +67.3k +67,314
3 OAKTREE CAPITAL MANAGEMENT LP 0.08% of their portfolio LOS ANGELES, CA 793,641793.6k $6.2m $6.2m 0.08% Unchanged
4 GUGGENHEIM CAPITAL LLC 0.03% of their portfolio CHICAGO, IL 561,173561.2k $4.4m $4.4m 0.03% Reduced -145.0k -144,996
5 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 0.32% of their portfolio London, X0 503,188503.2k $3.9m $3.9m 0.32% Added +65.0k +64,958
6 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 483,872483.9k $3.8m $3.8m 0.01% Added +100.8k +100,773
7 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 432,590432.6k $3.4m $3.4m 0.00% Unchanged
8 Advisors Asset Management, Inc. 0.06% of their portfolio Monument, CO 374,905374.9k $2.9m $2.9m 0.06% Reduced -105.4k -105,449
9 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 357,860357.9k $2.8m $2.8m 0.00% Reduced -50.2k -50,237
10 Logan Stone Capital, LLC 0.87% of their portfolio CHICAGO, IL 329,632329.6k $2.6m $2.6m 0.87% Added +129.4k +129,404
11 SIT INVESTMENT ASSOCIATES INC 0.07% of their portfolio Minneapolis, MN 328,965329.0k $2.6m $2.6m 0.07% Added +46.9k +46,901
12 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 307,596307.6k $2.4m $2.4m 0.00% Added +10.7k +10,664
13 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 247,836247.8k $1.9m $1.9m 0.00% Added +8.3k +8,319
14 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 247,571247.6k $1.9m $1.9m 0.00% Added +958 +958
15 AQR Arbitrage LLC 0.08% of their portfolio Greenwich, CT 224,550224.6k $1.8m $1.8m 0.08% Added +167.8k +167,812
16 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.21% of their portfolio ORLANDO, FL 204,303204.3k $1.6m $1.6m 0.21% Added +24.5k +24,508
17 WOLVERINE ASSET MANAGEMENT LLC 0.03% of their portfolio CHICAGO, IL 192,671192.7k $1.5m $1.5m 0.03% Added +141.2k +141,214
18 Aviance Capital Partners, LLC 0.32% of their portfolio NAPLES, FL 191,579191.6k $1.5m $1.5m 0.32% Added +3.8k +3,757
19 RFG Advisory, LLC 0.06% of their portfolio BIRMINGHAM, AL 186,464186.5k $1.5m $1.5m 0.06% Reduced -4.9k -4,910
20 UBS Group AG 0.00% of their portfolio ZURICH, V8 179,296179.3k $1.4m $1.4m 0.00% Reduced -3.0k -2,997
21 Alpine Global Management, LLC 0.19% of their portfolio NEW YORK, NY 167,560167.6k $1.3m $1.3m 0.19% New
22 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 141,948141.9k $1.1m $1.1m 0.00% Added +2.7k +2,738
23 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 136,519136.5k $1.1m $1.1m 0.00% Added +8.4k +8,361
24 MISSION WEALTH MANAGEMENT, LP 0.04% of their portfolio Santa Barbara, CA 134,200134.2k $1.0m $1.0m 0.04% Reduced -1.0k -1,000
25 PARK AVENUE SECURITIES LLC 0.02% of their portfolio NEW YORK, NY 129,029129.0k $1.0m $1.0m 0.02% Added +640 +640
26 COHEN & STEERS, INC. 0.00% of their portfolio NEW YORK, NY 127,756127.8k $996.0k $996.0k 0.00% Unchanged
27 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 126,775126.8k $988.8k $988.8k 0.00% Added +59.2k +59,177
28 Saba Capital Management, L.P. 0.03% of their portfolio NEW YORK, NY 118,559118.6k $924.8k $924.8k 0.03% Added +95.2k +95,183
29 Congress Park Capital LLC 0.44% of their portfolio SARATOGA SPRINGS, NY 100,000100.0k $780.0k $780.0k 0.44% Added +15.0k +15,000
30 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.10% of their portfolio Englewood, NJ 98,59698.6k $769.0k $769.0k 0.10% Added +68.6k +68,639
31 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 95,05795.1k $741.4k $741.4k 0.00% Reduced -218.2k -218,165
32 Capital Investment Advisors, LLC 0.02% of their portfolio ATLANTA, GA 93,29893.3k $727.7k $727.7k 0.02% Reduced -2.0k -2,034
33 1607 Capital Partners, LLC 0.05% of their portfolio Richmond, VA 89,80089.8k $700.4k $700.4k 0.05% Unchanged
34 Shaker Financial Services, LLC 0.29% of their portfolio Arlington, VA 83,33383.3k $656.2k $656.2k 0.29% Added +2.7k +2,704
35 Almitas Capital LLC 0.25% of their portfolio SANTA MONICA, CA 75,64875.6k $596.1k $596.1k 0.25% Added +24.1k +24,148
36 Cerity Partners LLC 0.00% of their portfolio NEW YORK, NY 63,00063.0k $491.4k $491.4k 0.00% Added +48.0k +48,000
37 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 61,96862.0k $483.0k $483.0k 0.00% Reduced -3.2k -3,205
38 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 60,11260.1k $472.0k $472.0k 0.00% New
39 Next Capital Management LLC 0.22% of their portfolio NEW YORK, NY 59,80759.8k $466.5k $466.5k 0.22% Unchanged
40 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 57,57357.6k $449.0k $449.0k 0.00% Added +1.0k +1,009
41 Gladstone Institutional Advisory LLC 0.03% of their portfolio Bedminster, NJ 57,32057.3k $447.1k $447.1k 0.03% Unchanged
42 HORIZON KINETICS ASSET MANAGEMENT LLC 0.01% of their portfolio NEW YORK, NY 56,67356.7k $442.0k $442.0k 0.01% Reduced -311 -311
43 VIRTUS ADVISERS, LLC 0.18% of their portfolio HARTFORD, CT 39,84039.8k $310.8k $310.8k 0.18% Reduced -1.3k -1,278
44 Farther Finance Advisors, LLC 0.07% of their portfolio SAN FRANCISCO, CA 38,82038.8k $302.8k $302.8k 0.07% Reduced -3.1k -3,084
45 WEDBUSH SECURITIES INC 0.01% of their portfolio PASADENA, CA 37,80037.8k $295.0k $295.0k 0.01% Reduced -5.4k -5,400
46 Sigma Planning Corp 0.01% of their portfolio ANN ARBOR, MI 34,93134.9k $272.5k $272.5k 0.01% Added +509 +509
47 D.A. DAVIDSON & CO. 0.00% of their portfolio GREAT FALLS, MT 34,57234.6k $269.7k $269.7k 0.00% Reduced -20.5k -20,508
48 OPPENHEIMER & CO INC 0.00% of their portfolio NEW YORK, NY 31,84431.8k $248.4k $248.4k 0.00% Added +5.0k +5,039
49 Future Financial Wealth Managment LLC 0.25% of their portfolio CINCINNATI, OH 30,48730.5k $237.8k $237.8k 0.25% Unchanged
50 Kovack Advisors, Inc. 0.03% of their portfolio FT. LAUDERDALE, FL 28,71828.7k $224.0k $224.0k 0.03% Reduced -1.3k -1,291
51 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 25,40025.4k $198.1k $198.1k 0.00% Added +600 +600
52 FourThought Financial Partners, LLC 0.03% of their portfolio VENICE, FL 24,57924.6k $191.7k $191.7k 0.03% Reduced -5.4k -5,406
53 ProVise Management Group, LLC 0.02% of their portfolio CLEARWATER, FL 23,32523.3k $181.9k $181.9k 0.02% Reduced -400 -400
54 INTEGRATED CAPITAL MANAGEMENT, INC. 0.15% of their portfolio JESSUP, PA 20,92020.9k $163.2k $163.2k 0.15% Added +593 +593
55 B. Riley Wealth Advisors, Inc. 0.00% of their portfolio MEMPHIS, TN 20,69820.7k $163.0k $163.0k 0.00% Added +4.8k +4,816
56 Integrated Wealth Concepts LLC 0.00% of their portfolio WALTHAM, MA 20,38320.4k $159.0k $159.0k 0.00% Unchanged
57 Klingman & Associates, LLC 0.01% of their portfolio New York, NY 20,03820.0k $156.3k $156.3k 0.01% Reduced -2.2k -2,176
58 JONES ROAD CAPITAL MANAGEMENT, L.P. 0.15% of their portfolio NEW YORK, NY 20,00020.0k $156.0k $156.0k 0.15% Unchanged
59 Integrated Advisors Network LLC 0.01% of their portfolio DALLAS, TX 19,48519.5k $152.0k $152.0k 0.01% Added +6.5k +6,485
60 Western Wealth Management, LLC 0.01% of their portfolio GOLDEN, CO 18,93418.9k $147.7k $147.7k 0.01% Added +490 +490
61 Transform Wealth, LLC 0.01% of their portfolio GREENWOOD VILLAGE, CO 15,51915.5k $122.2k $122.2k 0.01% Unchanged
62 WINTRUST INVESTMENTS LLC 0.01% of their portfolio CHICAGO, IL 15,23815.2k $119.0k $119.0k 0.01% New
63 Ameritas Advisory Services, LLC 0.02% of their portfolio Lincoln, NE 15,21715.2k $118.1k $118.1k 0.02% Added +23 +23
64 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 15,09615.1k $117.7k $117.7k 0.00% Reduced -6.0k -5,980
65 SHEETS SMITH WEALTH MANAGEMENT 0.02% of their portfolio WINSTON-SALEM, NC 14,40014.4k $112.3k $112.3k 0.02% Unchanged
66 Apollon Wealth Management, LLC 0.01% of their portfolio MOUNT PLEASANT, SC 13,89413.9k $108.4k $108.4k 0.01% Added +387 +387
67 Virtu Financial LLC 0.01% of their portfolio New York, NY 12,70812.7k $99.0k $99.0k 0.01% New
68 MELFA WEALTH MANAGEMENT, INC. 0.10% of their portfolio WESTBOROUGH, MA 12,66612.7k $98.8k $98.8k 0.10% Unchanged
69 Koshinski Asset Management, Inc. 0.01% of their portfolio DECATUR, IL 12,55312.6k $97.9k $97.9k 0.01% New
70 IFG Advisory, LLC 0.01% of their portfolio ATLANTA, GA 12,50012.5k $97.5k $97.5k 0.01% Unchanged
71 Wealth Alliance Advisory Group, LLC 0.03% of their portfolio Wichita, KS 12,41212.4k $96.8k $96.8k 0.03% Unchanged
72 Walleye Capital LLC 0.00% of their portfolio NEW YORK, NY 12,13412.1k $94.6k $94.6k 0.00% New
73 Cullen/Frost Bankers, Inc. 0.00% of their portfolio San Antonio, TX 12,00012.0k $93.6k $93.6k 0.00% Unchanged
74 Yakira Capital Management, Inc. 0.02% of their portfolio Westport, CT 11,42811.4k $89.1k $89.1k 0.02% New
75 CTC Alternative Strategies, Ltd. 0.10% of their portfolio CHICAGO, IL 10,73010.7k $83.7k $83.7k 0.10% First filing
76 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 10,16010.2k $79.2k $79.2k 0.00% Unchanged
77 DEBUSSY CAPITAL MANAGEMENT LP 0.02% of their portfolio CHICAGO, IL 10,00010.0k $78.0k $78.0k 0.02% New
78 CWM, LLC 0.00% of their portfolio OMAHA, NE 9,7259.7k $76.0k $76.0k 0.00% Added +2.0k +2,033
79 CARY STREET PARTNERS INVESTMENT ADVISORY LLC 0.00% of their portfolio RICHMOND, VA 8,7508.8k $68.2k $68.2k 0.00% Unchanged
80 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 8,6388.6k $67.4k $67.4k 0.00% Reduced -18.6k -18,577
81 HOLLENCREST CAPITAL MANAGEMENT 0.00% of their portfolio NEWPORT BEACH, CA 6,1206.1k $47.7k $47.7k 0.00% Unchanged
82 GPS Wealth Strategies Group, LLC 0.01% of their portfolio CENTENNIAL, CO 4,4004.4k $34.3k $34.3k 0.01% Unchanged
83 CoreFirst Bank & Trust 0.02% of their portfolio TOPEKA, KS 3,1923.2k $24.9k $24.9k 0.02% Unchanged
84 ICA Group Wealth Management, LLC 0.01% of their portfolio DENVER, CO 3,0003.0k $23.4k $23.4k 0.01% Unchanged
85 Hexagon Capital Partners LLC 0.01% of their portfolio ROGERS, AR 2,9553.0k $23.0k $23.0k 0.01% Unchanged
86 Gradient Investments LLC 0.00% of their portfolio ARDEN HILLS, MN 2,7292.7k $21.3k $21.3k 0.00% Reduced -410 -410
87 McIlrath & Eck, LLC 0.00% of their portfolio ARLINGTON, WA 1,6471.6k $12.8k $12.8k 0.00% Unchanged
88 BESSEMER GROUP INC 0.00% of their portfolio WOODBRIDGE, NJ 1,3011.3k $10.0k $10.0k 0.00% New
89 Princeton Global Asset Management LLC 0.00% of their portfolio PRINCETON, NJ 1,0401.0k $8.1k $8.1k 0.00% Unchanged
90 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 1,0241.0k $8.0k $8.0k 0.00% Reduced -1.3k -1,333
91 NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio MONTREAL, A8 600600 $4.7k $4.7k 0.00% Unchanged
92 FNY Investment Advisers, LLC 0.01% of their portfolio NEW YORK, NY 600600 $4.0k $4.0k 0.01% Unchanged
93 Beacon Capital Management, LLC 0.00% of their portfolio FRANKLIN, TN 477477 $3.7k $3.7k 0.00% Unchanged
94 IFP Advisors, Inc 0.00% of their portfolio TAMPA, FL 114114 $1.1k $1.1k 0.00% New
95 Lindbrook Capital, LLC 0.00% of their portfolio CALABASAS, CA 2828 $218 $218 0.00% Unchanged
96 SIGNATUREFD, LLC 0.00% of their portfolio ATLANTA, GA 1010 $75 $75 0.00% Added +1 +1
97 HUNTINGTON NATIONAL BANK 0.00% of their portfolio COLUMBUS, OH 11 $8 $8 0.00% Unchanged
98 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged