Vault-13

NUVEEN PFD & INCOME SECS FD

COM · CUSIP 67072C105

212 institutional holders -11 vs Q4 2022
46,758,51246.8m shares reported held*
$302.0mreported value*
26 new 75 added 52 reduced 37 sold out net bought ≈ $4.3m (+678.3k 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 ≈ $6.46.

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 207Q4 22: 223Q1 23: 212212Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 2022207
Q4 2022223
Q1 2023212

Buyers vs sellers

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

Bought or addedCut or sold out
2000200Q4 22: 105 bought or addedQ4 22: 83 cut or sold outQ4 22Q1 23: 101 bought or addedQ1 23: 89 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 202210583
Q1 202310189

Biggest buyers

RIVERNORTH CAPITAL MANAGEMENT, LLC Added +2,802,602+2.8m
MORGAN STANLEY Added +573,303+573.3k
HighTower Advisors, LLC Added +245,017+245.0k
Penserra Capital Management LLC Added +161,193+161.2k
Capital Investment Advisors, LLC Added +129,706+129.7k
AMERIPRISE FINANCIAL INC Added +104,363+104.4k
Sea Otter Advisors LLC New +95,000+95.0k
COMMONWEALTH EQUITY SERVICES, LLC Added +86,062+86.1k
JPMORGAN CHASE & CO New +81,697+81.7k
RAYMOND JAMES & ASSOCIATES Added +74,944+74.9k

Biggest sellers

Bramshill Investments, LLC Reduced -1,924,360-1.9m
SIT INVESTMENT ASSOCIATES INC Reduced -473,678-473.7k
Logan Stone Capital, LLC Sold out -332,163-332.2k
Weiss Asset Management LP Sold out -289,088-289.1k
UBS Group AG Reduced -209,724-209.7k
Polar Asset Management Partners Inc. Sold out -188,723-188.7k
Invesco Ltd. Reduced -182,433-182.4k
Saba Capital Management, L.P. Sold out -148,813-148.8k
WELLS FARGO & COMPANY/MN Reduced -137,760-137.8k
Janney Montgomery Scott LLC Reduced -90,892-90.9k

Holders, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 RIVERNORTH CAPITAL MANAGEMENT, LLC 2.68% of their portfolio WEST PALM BEACH, FL 8,577,0788.6m $55.4m $55.4m 2.68% Added +2.8m +2,802,602
2 SIT INVESTMENT ASSOCIATES INC 1.09% of their portfolio Minneapolis, MN 6,200,7826.2m $40.1m $40.1m 1.09% Reduced -473.7k -473,678
3 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 5,022,0495.0m $32.4m $32.4m 0.00% Added +573.3k +573,303
4 UBS Group AG 0.01% of their portfolio ZURICH, V8 3,175,7423.2m $20.5m $20.5m 0.01% Reduced -209.7k -209,724
5 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 2,720,4012.7m $17.6m $17.6m 0.00% Reduced -182.4k -182,433
6 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 1,605,8771.6m $10.4m $10.4m 0.00% Reduced -137.8k -137,760
7 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 1,503,6751.5m $9.7m $9.7m 0.02% Added +86.1k +86,062
8 Penserra Capital Management LLC 0.19% of their portfolio ORINDA, CA 1,438,8251.4m $9.3m $9.3m 0.19% Added +161.2k +161,193
9 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 1,278,1031.3m $8.3m $8.3m 0.01% Added +74.9k +74,944
10 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 1,082,7011.1m $7.0m $7.0m 0.01% Reduced -30.8k -30,793
11 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 858,997859.0k $5.5m $5.5m 0.00% Added +40.6k +40,599
12 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 837,355837.4k $5.4m $5.4m 0.00% Added +104.4k +104,363
13 GREATMARK INVESTMENT PARTNERS, INC. 0.82% of their portfolio COLUMBUS, GA 710,350710.4k $4.6m $4.6m 0.82% Added +50.0k +50,040
14 COHEN & STEERS, INC. 0.01% of their portfolio NEW YORK, NY 571,102571.1k $3.7m $3.7m 0.01% Reduced -90.5k -90,538
15 Capital Investment Advisors, LLC 0.08% of their portfolio ATLANTA, GA 436,113436.1k $2.8m $2.8m 0.08% Added +129.7k +129,706
16 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 435,242435.2k $2.8m $2.8m 0.01% Reduced -439 -439
17 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 427,283427.3k $2.8m $2.8m 0.01% Added +5.9k +5,870
18 Cerity Partners LLC 0.01% of their portfolio NEW YORK, NY 387,249387.2k $2.5m $2.5m 0.01% Added +58.2k +58,218
19 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 363,322363.3k $2.3m $2.3m 0.01% Added +6.1k +6,095
20 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 346,716346.7k $2.2m $2.2m 0.00% Added +12.5k +12,492
21 Moors & Cabot, Inc. 0.15% of their portfolio BOSTON, MA 333,206333.2k $2.2m $2.2m 0.15% Added +423 +423
22 AQR Arbitrage LLC 0.06% of their portfolio Greenwich, CT 325,969326.0k $2.1m $2.1m 0.06% Added +68.0k +67,975
23 Stratos Wealth Partners, LTD. 0.06% of their portfolio BEACHWOOD, OH 321,244321.2k $2.1m $2.1m 0.06% Reduced -11.3k -11,273
24 Family Manage LLC 0.46% of their portfolio NEW YORK, NY 308,746308.7k $2.0m $2.0m 0.46% Added +74.8k +74,759
25 Shaker Financial Services, LLC 0.87% of their portfolio Arlington, VA 307,060307.1k $2.0m $2.0m 0.87% Unchanged
26 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 283,399283.4k $1.8m $1.8m 0.00% Added +245.0k +245,017
27 Jupiter Wealth Management LLC 1.31% of their portfolio GLENDALE, CO 219,852219.9k $1.4m $1.4m 1.31% Unchanged
28 PETRA FINANCIAL ADVISORS INC 1.34% of their portfolio COLORADO SRPINGS, CO 209,491209.5k $1.4m $1.4m 1.34% Reduced -1.4k -1,414
29 Hennion & Walsh Asset Management, Inc. 0.08% of their portfolio Parsippany, NJ 191,265191.3k $1.2m $1.2m 0.08% Added +38.4k +38,375
30 Sowell Financial Services LLC 0.09% of their portfolio NORTH LITTLE ROCK, AR 180,000180.0k $1.2m $1.2m 0.09% Added +28.0k +28,030
31 Geneos Wealth Management Inc. 0.06% of their portfolio ENGLEWOOD, CO 161,431161.4k $1.0m $1.0m 0.06% Added +3.1k +3,106
32 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 157,260157.3k $1.0m $1.0m 0.02% Reduced -4.1k -4,100
33 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 155,098155.1k $1.0m $1.0m 0.00% Reduced -3.3k -3,296
34 COMPASS FINANCIAL ADVISORS LLC 1.23% of their portfolio FORT WAYNE, IN 150,173150.2k $970.1k $970.1k 1.23% Added +32.7k +32,712
35 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 141,894141.9k $916.6k $916.6k 0.01% Reduced -3.7k -3,727
36 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 137,764137.8k $890.0k $890.0k 0.00% Reduced -90.9k -90,892
37 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 131,400131.4k $854.2k $854.2k 0.02% Reduced -4.0k -4,045
38 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 130,418130.4k $823.9k $823.9k 0.01% Added +1.1k +1,084
39 Wela Strategies, Inc. 0.45% of their portfolio ATLANTA, GA 130,173130.2k $840.9k $840.9k 0.45% Added +32 +32
40 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 123,228123.2k $796.1k $796.1k 0.01% Added +13.8k +13,799
41 Palogic Value Management, L.P. 0.38% of their portfolio DALLAS, TX 118,884118.9k $768.0k $768.0k 0.38% Added +8.0k +8,000
42 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 118,500118.5k $765.0k $765.0k 0.00% Added +24.0k +24,000
43 FCA CORP /TX 0.28% of their portfolio HOUSTON, TX 114,520114.5k $739.8k $739.8k 0.28% Added +21.8k +21,831
44 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 111,399111.4k $719.6k $719.6k 0.00% Added +478 +478
45 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.09% of their portfolio Englewood, NJ 106,814106.8k $690.0k $690.0k 0.09% Reduced -48.1k -48,129
46 Woodline Partners LP 0.01% of their portfolio San Francisco, CA 106,152106.2k $685.7k $685.7k 0.01% Added +69.3k +69,332
47 INTREPID FAMILY OFFICE LLC 1.42% of their portfolio SARASOTA, FL 100,000100.0k $646.0k $646.0k 1.42% Added +25.0k +25,000
48 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 97,79397.8k $631.7k $631.7k 0.00% Added +10.8k +10,758
49 Sea Otter Advisors LLC 0.40% of their portfolio Miami, FL 95,00095.0k $613.7k $613.7k 0.40% New
50 Shulman DeMeo Asset Management LLC 0.19% of their portfolio LAKE SUCCESS, NY 93,61093.6k $604.7k $604.7k 0.19% Reduced -592 -592
51 Eudaimonia Partners, LLC 0.14% of their portfolio Winchester, TN 89,32589.3k $577.0k $577.0k 0.14% Unchanged
52 Wealthcare Advisory Partners LLC 0.02% of their portfolio WEST CHESTER, PA 89,18089.2k $576.1k $576.1k 0.02% Added +1.8k +1,808
53 WHITTIER TRUST CO 0.01% of their portfolio SOUTH PASADENA, CA 88,51888.5k $571.8k $571.8k 0.01% Reduced -3.2k -3,245
54 Chicago Partners Investment Group LLC 0.03% of their portfolio CHICAGO, IL 88,41988.4k $570.3k $570.3k 0.03% Added +35.2k +35,235
55 Accel Wealth Management 0.23% of their portfolio WAVERLY, IA 86,94586.9k $561.7k $561.7k 0.23% Reduced -2.0k -2,008
56 DAVENPORT & Co LLC 0.00% of their portfolio RICHMOND, VA 86,43086.4k $558.3k $558.3k 0.00% Added +51.7k +51,745
57 BURNEY CO/ 0.03% of their portfolio RESTON, VA 82,39582.4k $532.3k $532.3k 0.03% Reduced -3.6k -3,566
58 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 81,69781.7k $528.0k $528.0k 0.00% New
59 MARINO, STRAM & ASSOCIATES LLC 0.16% of their portfolio BRAINTREE, MA 80,05380.1k $517.1k $517.1k 0.16% Unchanged
60 All Season Financial Advisors, Inc. 0.46% of their portfolio DENVER, CO 79,14479.1k $511.3k $511.3k 0.46% Added +605 +605
61 WEDBUSH SECURITIES INC 0.02% of their portfolio PASADENA, CA 76,67076.7k $495.0k $495.0k 0.02% Added +5.8k +5,850
62 GUGGENHEIM CAPITAL LLC 0.00% of their portfolio CHICAGO, IL 76,37576.4k $493.4k $493.4k 0.00% Added +25.3k +25,288
63 Stolper Co 0.19% of their portfolio TULSA, OK 69,83569.8k $451.0k $451.0k 0.19% Reduced -1.4k -1,409
64 Financial Enhancement Group LLC 0.08% of their portfolio ANDERSON, IN 69,18669.2k $418.6k $418.6k 0.08% Added +6.6k +6,588
65 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 65,79365.8k $425.0k $425.0k 0.00% Reduced -3.1k -3,094
66 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 65,25565.3k $421.5k $421.5k 0.00% Reduced -2.5k -2,527
67 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 56,55856.6k $365.4k $365.4k 0.00% Reduced -7.4k -7,447
68 Sage Capital Advisors,llc 0.14% of their portfolio SIOUX FALLS, SD 55,48055.5k $358.4k $358.4k 0.14% Added +9.6k +9,599
69 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 54,94454.9k $354.9k $354.9k 0.00% Added +20 +20
70 CENTRAL TRUST Co 0.01% of their portfolio JEFFERSON CITY, MO 53,14853.1k $343.3k $343.3k 0.01% Reduced -2.5k -2,500
71 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 52,93752.9k $342.0k $342.0k 0.01% Added +7.7k +7,667
72 Patriot Financial Group Insurance Agency, LLC 0.07% of their portfolio Westborough, MA 52,04552.0k $336.2k $336.2k 0.07% Reduced -2.9k -2,923
73 MSH Capital Advisors LLC 0.13% of their portfolio SCOTTSDALE, AZ 48,07948.1k $310.6k $310.6k 0.13% Unchanged
74 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 43,91943.9k $284.0k $284.0k 0.01% Reduced -1.8k -1,830
75 MELFA WEALTH MANAGEMENT, INC. 0.27% of their portfolio WESTBOROUGH, MA 41,87541.9k $270.5k $270.5k 0.27% Unchanged
76 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 41,72241.7k $290.0k $290.0k 0.00% New
77 WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC 0.14% of their portfolio HIGHLAND PARK, IL 41,38041.4k $267.3k $267.3k 0.14% New
78 RVW Wealth, LLC 0.03% of their portfolio LOS ANGELES, CA 37,70037.7k $243.5k $243.5k 0.03% New
79 Mariner, LLC 0.00% of their portfolio Overland Park, KS 36,77536.8k $238.0k $238.0k 0.00% Reduced -1.4k -1,377
80 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.03% of their portfolio ORLANDO, FL 36,44236.4k $235.4k $235.4k 0.03% Reduced -25.3k -25,262
81 Investmark Advisory Group LLC 0.17% of their portfolio Shelton, CT 36,13436.1k $233.4k $233.4k 0.17% Added +803 +803
82 HRT FINANCIAL LP 0.00% of their portfolio NEW YORK, NY 35,14035.1k $227.0k $227.0k 0.00% New
83 CALDWELL SUTTER CAPITAL, INC. 0.16% of their portfolio SAUSALITO, CA 34,25434.3k $221.3k $221.3k 0.16% Unchanged
84 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 34,06434.1k $220.1k $220.1k 0.00% Reduced -2.8k -2,781
85 Ameritas Advisory Services, LLC 0.01% of their portfolio Lincoln, NE 34,02134.0k $219.8k $219.8k 0.01% Reduced -23.5k -23,543
86 DAYMARK WEALTH PARTNERS, LLC 0.03% of their portfolio CINCINNATI, OH 31,49231.5k $203.4k $203.4k 0.03% New
87 PARSONS CAPITAL MANAGEMENT INC/RI 0.02% of their portfolio PROVIDENCE, RI 30,87530.9k $199.5k $199.5k 0.02% Reduced -1.9k -1,950
88 Berger Financial Group, Inc 0.02% of their portfolio PLYMOUTH, MN 30,42830.4k $196.6k $196.6k 0.02% Reduced -1.5k -1,502
89 Waterfront Wealth Inc. 0.06% of their portfolio OVERLAND PARK, KS 28,45628.5k $183.8k $183.8k 0.06% Added +6.0k +6,008
90 Spire Wealth Management 0.01% of their portfolio MCLEAN, VA 28,31128.3k $182.9k $182.9k 0.01% Added +4.3k +4,277
91 LexAurum Advisors, LLC 0.06% of their portfolio OVERLAND PARK, KS 28,24328.2k $182.4k $182.4k 0.06% Added +59 +59
92 Penbrook Management LLC 0.14% of their portfolio NEW YORK, NY 28,00028.0k $180.9k $180.9k 0.14% Unchanged
93 DUNCKER STREETT & CO INC 0.04% of their portfolio St. Louis, MO 27,75127.8k $179.3k $179.3k 0.04% Unchanged
94 Legacy PCG, LLC 0.13% of their portfolio IRVINE, CA 26,48626.5k $171.1k $171.1k 0.13% New
95 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 26,37426.4k $170.4k $170.4k 0.00% Added +15.2k +15,183
96 Tradition Wealth Management, LLC 0.02% of their portfolio EDINA, MN 26,34726.3k $170.0k $170.0k 0.02% Added +1.0k +1,000
97 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 25,11225.1k $162.2k $162.2k 0.00% Added +3.4k +3,373
98 Belpointe Asset Management LLC 0.01% of their portfolio RENO, NV 24,80524.8k $160.2k $160.2k 0.01% Added +23.5k +23,500
99 Advisor OS, LLC 0.04% of their portfolio CHICAGO, IL 24,59924.6k $158.9k $158.9k 0.04% Unchanged
100 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 24,03624.0k $155.3k $155.3k 0.00% Added +2.3k +2,261