Vault-13

NUVEEN PFD & INCOME SECS FD

COM · CUSIP 67072C105

223 institutional holders +16 vs Q3 2022
46,488,90246.5m shares reported held*
$316.9mreported value*
38 new 67 added 57 reduced 26 sold out net bought ≈ $33.1m (+4.9m 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 ≈ $6.82.

Trends to Q4 2022

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 207Q4 22: 223223Q3 22Q4 22
Numbers
QuarterHolders
Q3 2022207
Q4 2022223

Biggest buyers

RIVERNORTH CAPITAL MANAGEMENT, LLC Added +2,311,871+2.3m
SIT INVESTMENT ASSOCIATES INC Added +1,309,642+1.3m
UBS Group AG Added +513,401+513.4k
Weiss Asset Management LP New +289,088+289.1k
WELLS FARGO & COMPANY/MN Added +223,428+223.4k
Capital Investment Advisors, LLC Added +168,528+168.5k
MORGAN STANLEY Added +166,588+166.6k
Sowell Financial Services LLC New +151,970+152.0k
Penserra Capital Management LLC Added +114,794+114.8k
Stolper Co New +71,244+71.2k

Biggest sellers

Penn Mutual Asset Management Sold out -309,650-309.6k
Saba Capital Management, L.P. Reduced -281,059-281.1k
LANDSCAPE CAPITAL MANAGEMENT, L.L.C. Reduced -202,940-202.9k
Bramshill Investments, LLC Reduced -99,065-99.1k
Logan Stone Capital, LLC Reduced -77,314-77.3k
BANK OF AMERICA CORP /DE/ Reduced -76,888-76.9k
Janney Montgomery Scott LLC Reduced -53,886-53.9k
Quantedge Capital Pte Ltd Reduced -43,900-43.9k
LPL Financial LLC Reduced -35,926-35.9k
Snowden Capital Advisors LLC Reduced -31,568-31.6k

Holders, Q4 2022

#ManagerLocationShares Value% of their portfolioChangeShares change
1 SIT INVESTMENT ASSOCIATES INC 1.27% of their portfolio Minneapolis, MN 6,674,4606.7m $45.4m $45.4m 1.27% Added +1.3m +1,309,642
2 RIVERNORTH CAPITAL MANAGEMENT, LLC 1.77% of their portfolio WEST PALM BEACH, FL 5,774,4765.8m $39.3m $39.3m 1.77% Added +2.3m +2,311,871
3 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 4,448,7464.4m $30.3m $30.3m 0.00% Added +166.6k +166,588
4 UBS Group AG 0.01% of their portfolio ZURICH, V8 3,385,4663.4m $23.0m $23.0m 0.01% Added +513.4k +513,401
5 Invesco Ltd. 0.01% of their portfolio ATLANTA, GA 2,902,8342.9m $19.7m $19.7m 0.01% Added +8.3k +8,259
6 Bramshill Investments, LLC 1.54% of their portfolio NAPLES, FL 1,934,7921.9m $13.2m $13.2m 1.54% Reduced -99.1k -99,065
7 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 1,743,6371.7m $11.9m $11.9m 0.00% Added +223.4k +223,428
8 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 1,417,6131.4m $9.6m $9.6m 0.02% Added +11.1k +11,097
9 Penserra Capital Management LLC 0.19% of their portfolio ORINDA, CA 1,277,6321.3m $8.7m $8.7m 0.19% Added +114.8k +114,794
10 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 1,203,1591.2m $8.2m $8.2m 0.01% Reduced -16.3k -16,294
11 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 1,113,4941.1m $7.6m $7.6m 0.01% Reduced -35.9k -35,926
12 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 818,398818.4k $5.6m $5.6m 0.00% Reduced -76.9k -76,888
13 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 732,992733.0k $5.0m $5.0m 0.00% Reduced -13.6k -13,607
14 COHEN & STEERS, INC. 0.01% of their portfolio NEW YORK, NY 661,640661.6k $4.5m $4.5m 0.01% Added +21.3k +21,263
15 GREATMARK INVESTMENT PARTNERS, INC. 0.82% of their portfolio COLUMBUS, GA 660,310660.3k $4.5m $4.5m 0.82% Added +16.5k +16,514
16 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 435,681435.7k $3.0m $3.0m 0.01% Added +14.0k +13,962
17 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 421,413421.4k $2.9m $2.9m 0.01% Added +19.0k +18,960
18 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 357,227357.2k $2.4m $2.4m 0.01% Added +30.5k +30,468
19 CoreCap Advisors, LLC 0.16% of their portfolio SOUTHFIELD, MI 335,502335.5k $2.3m $2.3m 0.16% Added +25.7k +25,686
20 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 334,224334.2k $2.3m $2.3m 0.00% Added +8.5k +8,486
21 Moors & Cabot, Inc. 0.16% of their portfolio BOSTON, MA 332,783332.8k $2.3m $2.3m 0.16% Added +16.2k +16,222
22 Stratos Wealth Partners, LTD. 0.06% of their portfolio BEACHWOOD, OH 332,517332.5k $2.3m $2.3m 0.06% Added +13.2k +13,219
23 Logan Stone Capital, LLC 0.84% of their portfolio CHICAGO, IL 332,163332.2k $2.3m $2.3m 0.84% Reduced -77.3k -77,314
24 Cerity Partners LLC 0.01% of their portfolio NEW YORK, NY 329,031329.0k $2.2m $2.2m 0.01% Added +34.9k +34,929
25 Shaker Financial Services, LLC 0.98% of their portfolio Arlington, VA 307,060307.1k $2.1m $2.1m 0.98% Added +59.2k +59,228
26 Capital Investment Advisors, LLC 0.06% of their portfolio ATLANTA, GA 306,407306.4k $2.1m $2.1m 0.06% Added +168.5k +168,528
27 Weiss Asset Management LP 0.09% of their portfolio BOSTON, MA 289,088289.1k $2.0m $2.0m 0.09% New
28 AQR Arbitrage LLC 0.05% of their portfolio Greenwich, CT 257,994258.0k $1.8m $1.8m 0.05% Reduced -319 -319
29 Family Manage LLC 0.39% of their portfolio NEW YORK, NY 233,987234.0k $1.6m $1.6m 0.39% Added +23.5k +23,527
30 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 228,656228.7k $1.6m $1.6m 0.01% Reduced -53.9k -53,886
31 Jupiter Wealth Management LLC 1.45% of their portfolio GLENDALE, CO 219,852219.9k $1.5m $1.5m 1.45% Unchanged
32 PETRA FINANCIAL ADVISORS INC 1.58% of their portfolio COLORADO SRPINGS, CO 210,905210.9k $1.4m $1.4m 1.58% First filing
33 Polar Asset Management Partners Inc. 0.02% of their portfolio TORONTO, A6 188,723188.7k $1.3m $1.3m 0.02% Unchanged
34 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 161,360161.4k $1.1m $1.1m 0.02% Added +24.8k +24,767
35 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 158,394158.4k $1.1m $1.1m 0.00% Added +6.3k +6,288
36 Geneos Wealth Management Inc. 0.07% of their portfolio ENGLEWOOD, CO 158,325158.3k $1.1m $1.1m 0.07% Reduced -9.1k -9,071
37 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.15% of their portfolio Englewood, NJ 154,943154.9k $1.1m $1.1m 0.15% Reduced -202.9k -202,940
38 Hennion & Walsh Asset Management, Inc. 0.06% of their portfolio Parsippany, NJ 152,890152.9k $1.0m $1.0m 0.06% Added +64.7k +64,713
39 Sowell Financial Services LLC 0.07% of their portfolio NORTH LITTLE ROCK, AR 151,970152.0k $1.0m $1.0m 0.07% New
40 Saba Capital Management, L.P. 0.02% of their portfolio NEW YORK, NY 148,813148.8k $1.0m $1.0m 0.02% Reduced -281.1k -281,059
41 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 145,621145.6k $990.2k $990.2k 0.01% Added +9.6k +9,623
42 B. Riley Wealth Advisors, Inc. 0.03% of their portfolio MEMPHIS, TN 135,445135.4k $921.0k $921.0k 0.03% Reduced -10.5k -10,519
43 Wela Strategies, Inc. 0.50% of their portfolio ATLANTA, GA 130,141130.1k $885.0k $885.0k 0.50% Added +9.5k +9,530
44 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 129,334129.3k $530.0k $530.0k 0.01% Added +26.5k +26,522
45 COMPASS FINANCIAL ADVISORS LLC 1.08% of their portfolio FORT WAYNE, IN 117,461117.5k $798.7k $798.7k 1.08% Reduced -20.9k -20,933
46 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 110,921110.9k $754.3k $754.3k 0.00% Reduced -2.8k -2,798
47 Palogic Value Management, L.P. 0.39% of their portfolio DALLAS, TX 110,884110.9k $754.0k $754.0k 0.39% First filing
48 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 109,429109.4k $744.1k $744.1k 0.01% Added +63.0k +63,015
49 Mathes Company, Inc. 0.34% of their portfolio New York, NY 98,60098.6k $670.0k $670.0k 0.34% Added +1.0k +1,000
50 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 94,50094.5k $642.0k $642.0k 0.00% Unchanged
51 Shulman DeMeo Asset Management LLC 0.21% of their portfolio LAKE SUCCESS, NY 94,20294.2k $640.6k $640.6k 0.21% Reduced -6.2k -6,195
52 FCA CORP /TX 0.25% of their portfolio HOUSTON, TX 92,68992.7k $630.3k $630.3k 0.25% Added +12.1k +12,097
53 WHITTIER TRUST CO 0.01% of their portfolio SOUTH PASADENA, CA 91,76391.8k $624.0k $624.0k 0.01% Reduced -15.4k -15,383
54 Eudaimonia Partners, LLC 0.15% of their portfolio Winchester, TN 89,32589.3k $607.4k $607.4k 0.15% Unchanged
55 Accel Wealth Management 0.29% of their portfolio WAVERLY, IA 88,95389.0k $604.9k $604.9k 0.29% Added +3.9k +3,855
56 Wealthcare Advisory Partners LLC 0.03% of their portfolio WEST CHESTER, PA 87,37287.4k $594.1k $594.1k 0.03% Added +1.8k +1,776
57 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 87,03587.0k $592.0k $592.0k 0.00% Reduced -12.7k -12,666
58 BURNEY CO/ 0.03% of their portfolio RESTON, VA 85,96186.0k $584.5k $584.5k 0.03% Reduced -12.1k -12,116
59 MARINO, STRAM & ASSOCIATES LLC 0.17% of their portfolio BRAINTREE, MA 80,05380.1k $544.4k $544.4k 0.17% Unchanged
60 All Season Financial Advisors, Inc. 0.47% of their portfolio DENVER, CO 78,53978.5k $534.1k $534.1k 0.47% Added +2.3k +2,348
61 INTREPID FAMILY OFFICE LLC 1.32% of their portfolio SARASOTA, FL 75,00075.0k $510.0k $510.0k 1.32% Added +5.0k +5,000
62 Stolper Co 0.21% of their portfolio TULSA, OK 71,24471.2k $484.0k $484.0k 0.21% New
63 WEDBUSH SECURITIES INC 0.03% of their portfolio PASADENA, CA 70,82070.8k $482.0k $482.0k 0.03% Reduced -14.4k -14,381
64 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 68,88768.9k $468.4k $468.4k 0.00% Added +4.7k +4,665
65 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 67,78267.8k $460.9k $460.9k 0.00% Reduced -668 -668
66 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 64,00564.0k $435.2k $435.2k 0.00% Added +25.4k +25,403
67 Financial Enhancement Group LLC 0.09% of their portfolio ANDERSON, IN 62,59862.6k $471.4k $471.4k 0.09% New
68 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.04% of their portfolio ORLANDO, FL 61,70461.7k $419.6k $419.6k 0.04% Added +43.4k +43,367
69 Ameritas Advisory Services, LLC 0.02% of their portfolio Lincoln, NE 57,56457.6k $391.4k $391.4k 0.02% Added +13.4k +13,361
70 CENTRAL TRUST Co 0.01% of their portfolio JEFFERSON CITY, MO 55,64855.6k $378.4k $378.4k 0.01% Unchanged
71 Patriot Financial Group Insurance Agency, LLC 0.08% of their portfolio Westborough, MA 54,96855.0k $373.8k $373.8k 0.08% Reduced -177 -177
72 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 54,92454.9k $373.0k $373.0k 0.01% Reduced -3.0k -2,993
73 Chicago Partners Investment Group LLC 0.02% of their portfolio CHICAGO, IL 53,18453.2k $402.1k $402.1k 0.02% New
74 GUGGENHEIM CAPITAL LLC 0.00% of their portfolio CHICAGO, IL 51,08751.1k $347.4k $347.4k 0.00% Reduced -5.7k -5,736
75 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 49,43949.4k $336.2k $336.2k 0.00% New
76 Elequin Capital, LP 0.09% of their portfolio NEW YORK, NY 48,63248.6k $330.7k $330.7k 0.09% New
77 MSH Capital Advisors LLC 0.15% of their portfolio SCOTTSDALE, AZ 48,07948.1k $326.9k $326.9k 0.15% Reduced -2.3k -2,280
78 MONEY CONCEPTS CAPITAL CORP 0.01% of their portfolio PALM BEACH GARDENS, FL 47,44647.4k $322.6k $322.6k 0.01% New
79 Sage Capital Advisors,llc 0.14% of their portfolio SIOUX FALLS, SD 45,88145.9k $312.0k $312.0k 0.14% Reduced -3.4k -3,426
80 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 45,74945.7k $311.0k $311.0k 0.01% Added +15.2k +15,229
81 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 45,27045.3k $307.8k $307.8k 0.01% Reduced -19.4k -19,447
82 WOLVERINE ASSET MANAGEMENT LLC 0.00% of their portfolio CHICAGO, IL 44,23544.2k $300.8k $300.8k 0.00% New
83 MELFA WEALTH MANAGEMENT, INC. 0.30% of their portfolio WESTBOROUGH, MA 41,87541.9k $284.8k $284.8k 0.30% First filing
84 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 41,55841.6k $283.0k $283.0k 0.00% Reduced -22.2k -22,204
85 Ahrens Investment Partners LLC 0.13% of their portfolio LAFAYETTE, LA 41,38541.4k $281.4k $281.4k 0.13% New
86 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 38,38238.4k $260.0k $260.0k 0.00% Reduced -5.4k -5,433
87 Mariner, LLC 0.00% of their portfolio Overland Park, KS 38,15238.2k $259.0k $259.0k 0.00% Added +475 +475
88 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 36,84536.8k $250.5k $250.5k 0.00% Reduced -5.0k -5,042
89 Woodline Partners LP 0.00% of their portfolio San Francisco, CA 36,82036.8k $250.4k $250.4k 0.00% New
90 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 36,52036.5k $248.3k $248.3k 0.01% Reduced -3.1k -3,094
91 Investmark Advisory Group LLC 0.18% of their portfolio Shelton, CT 35,33135.3k $240.3k $240.3k 0.18% Added +2.9k +2,904
92 DAVENPORT & Co LLC 0.00% of their portfolio RICHMOND, VA 34,68534.7k $236.0k $236.0k 0.00% Added +11.6k +11,594
93 CALDWELL SUTTER CAPITAL, INC. 0.21% of their portfolio SAUSALITO, CA 34,25434.3k $232.9k $232.9k 0.21% First filing
94 PARSONS CAPITAL MANAGEMENT INC/RI 0.02% of their portfolio PROVIDENCE, RI 32,82532.8k $223.2k $223.2k 0.02% Unchanged
95 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 32,61432.6k $222.0k $222.0k 0.00% New
96 Berger Financial Group, Inc 0.03% of their portfolio PLYMOUTH, MN 31,93031.9k $217.1k $217.1k 0.03% New
97 Perigon Wealth Management, LLC 0.01% of their portfolio SAN FRANCISCO, CA 30,42830.4k $206.9k $206.9k 0.01% New
98 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 28,31328.3k $192.5k $192.5k 0.00% Reduced -9.9k -9,920
99 LexAurum Advisors, LLC 0.07% of their portfolio OVERLAND PARK, KS 28,18428.2k $191.7k $191.7k 0.07% Added +63 +63
100 Penbrook Management LLC 0.16% of their portfolio NEW YORK, NY 28,00028.0k $190.4k $190.4k 0.16% Unchanged