Vault-13

NUVEEN PFD & INCOME SECS FD

COM · CUSIP 67072C105

216 institutional holders +4 vs Q1 2023
48,872,85648.9m shares reported held*
$313.2mreported value*
19 new 63 added 70 reduced 17 sold out net bought ≈ $11.8m (+1.7m 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 ≈ $6.41.

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 207Q4 22: 223Q1 23: 212Q2 23: 216216Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022207
Q4 2022223
Q1 2023212
Q2 2023216

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 23Q2 23: 82 bought or addedQ2 23: 87 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 202210583
Q1 202310189
Q2 20238287

Biggest buyers

MORGAN STANLEY Added +1,248,088+1.2m
Thomas J. Herzfeld Advisors, Inc. New +1,171,035+1.2m
RIVERNORTH CAPITAL MANAGEMENT, LLC Added +834,150+834.1k
ENVESTNET ASSET MANAGEMENT INC Added +283,491+283.5k
Sowell Financial Services LLC Added +167,244+167.2k
BANK OF AMERICA CORP /DE/ Added +141,482+141.5k
WELLS FARGO & COMPANY/MN Added +112,533+112.5k
WOLVERINE ASSET MANAGEMENT LLC New +112,057+112.1k
Penserra Capital Management LLC Added +95,658+95.7k
GREATMARK INVESTMENT PARTNERS, INC. Added +89,539+89.5k

Biggest sellers

SIT INVESTMENT ASSOCIATES INC Reduced -1,393,467-1.4m
Capital Investment Advisors, LLC Sold out -436,113-436.1k
HighTower Advisors, LLC Reduced -237,680-237.7k
COMPASS FINANCIAL ADVISORS LLC Sold out -150,173-150.2k
UBS Group AG Reduced -148,510-148.5k
Wela Strategies, Inc. Sold out -130,173-130.2k
AMERIPRISE FINANCIAL INC Reduced -91,205-91.2k
JPMORGAN CHASE & CO Sold out -81,697-81.7k
Family Manage LLC Reduced -67,559-67.6k
COHEN & STEERS, INC. Reduced -40,999-41.0k

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 RIVERNORTH CAPITAL MANAGEMENT, LLC 3.00% of their portfolio WEST PALM BEACH, FL 9,411,2289.4m $60.0m $60.0m 3.00% Added +834.1k +834,150
2 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 6,270,1376.3m $40.0m $40.0m 0.00% Added +1.2m +1,248,088
3 SIT INVESTMENT ASSOCIATES INC 0.80% of their portfolio Minneapolis, MN 4,807,3154.8m $30.7m $30.7m 0.80% Reduced -1.4m -1,393,467
4 UBS Group AG 0.01% of their portfolio ZURICH, V8 3,027,2323.0m $19.3m $19.3m 0.01% Reduced -148.5k -148,510
5 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 2,703,0902.7m $17.2m $17.2m 0.00% Reduced -17.3k -17,311
6 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 1,718,4101.7m $11.0m $11.0m 0.00% Added +112.5k +112,533
7 Penserra Capital Management LLC 0.19% of their portfolio ORINDA, CA 1,534,4831.5m $9.8m $9.8m 0.19% Added +95.7k +95,658
8 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 1,490,7501.5m $9.5m $9.5m 0.02% Reduced -12.9k -12,925
9 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 1,289,5391.3m $8.2m $8.2m 0.01% Added +11.4k +11,436
10 Thomas J. Herzfeld Advisors, Inc. 2.98% of their portfolio MIAMI BEACH, FL 1,171,0351.2m $7.5m $7.5m 2.98% New
11 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 1,048,6931.0m $6.7m $6.7m 0.00% Reduced -34.0k -34,008
12 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 1,000,4791.0m $6.4m $6.4m 0.00% Added +141.5k +141,482
13 GREATMARK INVESTMENT PARTNERS, INC. 0.86% of their portfolio COLUMBUS, GA 799,889799.9k $5.1m $5.1m 0.86% Added +89.5k +89,539
14 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 746,150746.1k $5.7m $5.7m 0.00% Reduced -91.2k -91,205
15 COHEN & STEERS, INC. 0.01% of their portfolio NEW YORK, NY 530,103530.1k $3.4m $3.4m 0.01% Reduced -41.0k -40,999
16 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 443,331443.3k $2.8m $2.8m 0.01% Added +8.1k +8,089
17 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 423,529423.5k $2.7m $2.7m 0.00% Reduced -3.8k -3,754
18 AQR Arbitrage LLC 0.11% of their portfolio Greenwich, CT 396,220396.2k $2.5m $2.5m 0.11% Added +70.3k +70,251
19 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 394,890394.9k $2.5m $2.5m 0.00% Added +283.5k +283,491
20 Cerity Partners LLC 0.01% of their portfolio NEW YORK, NY 386,108386.1k $2.5m $2.5m 0.01% Reduced -1.1k -1,141
21 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 359,642359.6k $2.3m $2.3m 0.01% Reduced -3.7k -3,680
22 Sowell Financial Services LLC 0.12% of their portfolio NORTH LITTLE ROCK, AR 347,244347.2k $2.2m $2.2m 0.12% Added +167.2k +167,244
23 Stratos Wealth Partners, LTD. 0.05% of their portfolio BEACHWOOD, OH 337,582337.6k $2.2m $2.2m 0.05% Added +16.3k +16,338
24 Shaker Financial Services, LLC 0.94% of their portfolio Arlington, VA 334,224334.2k $2.1m $2.1m 0.94% Added +27.2k +27,164
25 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 326,092326.1k $2.1m $2.1m 0.00% Reduced -20.6k -20,624
26 Moors & Cabot, Inc. 0.13% of their portfolio BOSTON, MA 298,976299.0k $1.9m $1.9m 0.13% Reduced -34.2k -34,230
27 CoreCap Advisors, LLC 0.13% of their portfolio SOUTHFIELD, MI 296,745296.7k $1.9m $1.9m 0.13% First filing
28 Family Manage LLC 0.34% of their portfolio NEW YORK, NY 241,187241.2k $1.5m $1.5m 0.34% Reduced -67.6k -67,559
29 PETRA FINANCIAL ADVISORS INC 1.19% of their portfolio COLORADO SRPINGS, CO 208,291208.3k $1.3m $1.3m 1.19% Reduced -1.2k -1,200
30 Woodline Partners LP 0.01% of their portfolio San Francisco, CA 186,708186.7k $1.2m $1.2m 0.01% Added +80.6k +80,556
31 Jupiter Wealth Management LLC 1.01% of their portfolio GLENDALE, CO 184,852184.9k $1.2m $1.2m 1.01% Reduced -35.0k -35,000
32 Hennion & Walsh Asset Management, Inc. 0.06% of their portfolio Parsippany, NJ 167,630167.6k $1.1m $1.1m 0.06% Reduced -23.6k -23,635
33 Geneos Wealth Management Inc. 0.05% of their portfolio ENGLEWOOD, CO 160,460160.5k $1.0m $1.0m 0.05% Reduced -971 -971
34 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 156,043156.0k $995.6k $995.6k 0.00% Added +945 +945
35 Sea Otter Advisors LLC 0.74% of their portfolio Miami, FL 149,900149.9k $956.4k $956.4k 0.74% Added +54.9k +54,900
36 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 144,506144.5k $921.9k $921.9k 0.01% Added +2.6k +2,612
37 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.12% of their portfolio Englewood, NJ 142,832142.8k $911.3k $911.3k 0.12% Added +36.0k +36,018
38 FCA CORP /TX 0.32% of their portfolio HOUSTON, TX 137,340137.3k $876.2k $876.2k 0.32% Added +22.8k +22,820
39 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 136,324136.3k $870.0k $870.0k 0.00% Reduced -1.4k -1,440
40 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 136,044136.0k $871.3k $871.3k 0.01% Reduced -21.2k -21,216
41 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 126,575126.6k $812.4k $812.4k 0.02% Reduced -4.8k -4,825
42 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 115,692115.7k $738.1k $738.1k 0.01% Reduced -14.7k -14,726
43 Mathes Company, Inc. 0.32% of their portfolio New York, NY 113,600113.6k $725.0k $725.0k 0.32% First filing
44 WOLVERINE ASSET MANAGEMENT LLC 0.01% of their portfolio CHICAGO, IL 112,057112.1k $714.9k $714.9k 0.01% New
45 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 110,500110.5k $705.0k $705.0k 0.00% Reduced -8.0k -8,000
46 Chicago Partners Investment Group LLC 0.04% of their portfolio CHICAGO, IL 109,090109.1k $710.2k $710.2k 0.04% Added +20.7k +20,671
47 Palogic Value Management, L.P. 0.33% of their portfolio DALLAS, TX 108,884108.9k $694.7k $694.7k 0.33% Reduced -10.0k -10,000
48 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 102,184102.2k $651.9k $651.9k 0.01% Reduced -21.0k -21,044
49 INTREPID FAMILY OFFICE LLC 1.21% of their portfolio SARASOTA, FL 100,000100.0k $638.0k $638.0k 1.21% Unchanged
50 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 99,53799.5k $635.0k $635.0k 0.00% Added +1.7k +1,744
51 DAVENPORT & Co LLC 0.00% of their portfolio RICHMOND, VA 96,56096.6k $616.1k $616.1k 0.00% Added +10.1k +10,130
52 Shulman DeMeo Asset Management LLC 0.18% of their portfolio LAKE SUCCESS, NY 93,15593.2k $594.3k $594.3k 0.18% Reduced -455 -455
53 Eudaimonia Partners, LLC 0.13% of their portfolio Winchester, TN 89,32589.3k $569.9k $569.9k 0.13% Unchanged
54 Accel Wealth Management 0.30% of their portfolio WAVERLY, IA 86,20386.2k $550.0k $550.0k 0.30% Reduced -742 -742
55 Wealthcare Advisory Partners LLC 0.02% of their portfolio WEST CHESTER, PA 86,05286.1k $549.0k $549.0k 0.02% Reduced -3.1k -3,128
56 BURNEY CO/ 0.02% of their portfolio RESTON, VA 84,20084.2k $537.2k $537.2k 0.02% Added +1.8k +1,805
57 MARINO, STRAM & ASSOCIATES LLC 0.14% of their portfolio BRAINTREE, MA 80,05380.1k $510.7k $510.7k 0.14% Unchanged
58 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 80,02580.0k $510.6k $510.6k 0.00% Added +23.5k +23,467
59 All Season Financial Advisors, Inc. 0.45% of their portfolio DENVER, CO 78,87778.9k $503.2k $503.2k 0.45% Reduced -267 -267
60 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 76,63176.6k $488.9k $488.9k 0.00% Added +11.4k +11,376
61 GUGGENHEIM CAPITAL LLC 0.00% of their portfolio CHICAGO, IL 75,26275.3k $480.2k $480.2k 0.00% Reduced -1.1k -1,113
62 WHITTIER TRUST CO 0.01% of their portfolio SOUTH PASADENA, CA 73,09273.1k $466.3k $466.3k 0.01% Reduced -15.4k -15,426
63 WEDBUSH SECURITIES INC 0.02% of their portfolio PASADENA, CA 72,05172.1k $460.0k $460.0k 0.02% Reduced -4.6k -4,619
64 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 68,50868.5k $437.1k $437.1k 0.00% Added +2.7k +2,715
65 Stolper Co 0.18% of their portfolio TULSA, OK 68,19868.2k $435.0k $435.0k 0.18% Reduced -1.6k -1,637
66 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 66,24966.2k $422.7k $422.7k 0.00% New
67 Financial Enhancement Group LLC 0.08% of their portfolio ANDERSON, IN 64,32164.3k $418.7k $418.7k 0.08% Reduced -4.9k -4,865
68 LAZARD ASSET MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 60,70460.7k $387.0k $387.0k 0.00% New
69 Sage Capital Advisors,llc 0.13% of their portfolio SIOUX FALLS, SD 55,92455.9k $356.8k $356.8k 0.13% Added +444 +444
70 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 54,06654.1k $344.9k $344.9k 0.00% Reduced -878 -878
71 CENTRAL TRUST Co 0.01% of their portfolio JEFFERSON CITY, MO 51,14851.1k $326.3k $326.3k 0.01% Reduced -2.0k -2,000
72 Mariner, LLC 0.00% of their portfolio Overland Park, KS 50,93250.9k $324.9k $324.9k 0.00% Added +14.2k +14,157
73 Patriot Financial Group Insurance Agency, LLC 0.06% of their portfolio Westborough, MA 49,96650.0k $318.8k $318.8k 0.06% Reduced -2.1k -2,079
74 MSH Capital Advisors LLC 0.11% of their portfolio SCOTTSDALE, AZ 48,07948.1k $306.7k $306.7k 0.11% Unchanged
75 MELFA WEALTH MANAGEMENT, INC. 0.30% of their portfolio WESTBOROUGH, MA 45,72245.7k $291.7k $291.7k 0.30% Added +3.8k +3,847
76 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 45,71945.7k $292.0k $292.0k 0.00% Reduced -237.7k -237,680
77 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 42,97843.0k $274.0k $274.0k 0.00% Added +22.9k +22,928
78 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 42,75742.8k $273.0k $273.0k 0.01% Reduced -1.2k -1,162
79 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 42,45042.5k $270.8k $270.8k 0.00% New
80 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 41,72241.7k $302.9k $302.9k 0.00% Unchanged
81 WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC 0.13% of their portfolio HIGHLAND PARK, IL 41,38041.4k $264.0k $264.0k 0.13% Unchanged
82 Samalin Investment Counsel, LLC 0.14% of their portfolio CHAPPAQUA, NY 40,35740.4k $257.5k $257.5k 0.14% Added +19.5k +19,530
83 Investmark Advisory Group LLC 0.17% of their portfolio Shelton, CT 39,88339.9k $254.5k $254.5k 0.17% Added +3.7k +3,749
84 DAYMARK WEALTH PARTNERS, LLC 0.02% of their portfolio CINCINNATI, OH 34,39234.4k $219.4k $219.4k 0.02% Added +2.9k +2,900
85 CALDWELL SUTTER CAPITAL, INC. 0.11% of their portfolio SAUSALITO, CA 34,25434.3k $218.5k $218.5k 0.11% Unchanged
86 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.03% of their portfolio ORLANDO, FL 33,44733.4k $213.4k $213.4k 0.03% Reduced -3.0k -2,995
87 AXS Investments LLC 0.05% of their portfolio PORT CHESTER, NY 32,00032.0k $204.2k $204.2k 0.05% New
88 Ameritas Advisory Services, LLC 0.03% of their portfolio Lincoln, NE 31,44131.4k $200.6k $200.6k 0.03% Reduced -2.6k -2,580
89 PARSONS CAPITAL MANAGEMENT INC/RI 0.02% of their portfolio PROVIDENCE, RI 30,87530.9k $197.0k $197.0k 0.02% Unchanged
90 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 30,14630.1k $192.3k $192.3k 0.00% Added +5.0k +5,034
91 Penbrook Management LLC 0.14% of their portfolio NEW YORK, NY 30,00030.0k $191.4k $191.4k 0.14% Added +2.0k +2,000
92 Berger Financial Group, Inc 0.02% of their portfolio PLYMOUTH, MN 29,80329.8k $190.1k $190.1k 0.02% Reduced -625 -625
93 Spire Wealth Management 0.01% of their portfolio MCLEAN, VA 28,69328.7k $183.1k $183.1k 0.01% Added +382 +382
94 LexAurum Advisors, LLC 0.05% of their portfolio OVERLAND PARK, KS 28,30528.3k $180.6k $180.6k 0.05% Added +62 +62
95 DUNCKER STREETT & CO INC 0.04% of their portfolio St. Louis, MO 27,75127.8k $177.1k $177.1k 0.04% Unchanged
96 Cresset Asset Management, LLC 0.00% of their portfolio Chicago, IL 27,62527.6k $177.3k $177.3k 0.00% New
97 Advisor OS, LLC 0.03% of their portfolio CHICAGO, IL 26,85926.9k $171.4k $171.4k 0.03% Added +2.3k +2,260
98 Tradition Wealth Management, LLC 0.02% of their portfolio EDINA, MN 26,34726.3k $168.0k $168.0k 0.02% Unchanged
99 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 26,16226.2k $166.9k $166.9k 0.00% Reduced -7.9k -7,902
100 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 25,43925.4k $162.3k $162.3k 0.00% Added +1.4k +1,403