Vault-13

NUVEEN PFD & INCOME SECS FD

COM · CUSIP 67072C105

224 institutional holders +8 vs Q2 2023
53,803,56953.8m shares reported held*
$332.0mreported value*
21 new 73 added 64 reduced 18 sold out net bought ≈ $29.8m (+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 ≈ $6.17.

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 207Q4 22: 223Q1 23: 212Q2 23: 216Q3 23: 224224Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022207
Q4 2022223
Q1 2023212
Q2 2023216
Q3 2023224

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 23Q3 23: 94 bought or addedQ3 23: 82 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 202210583
Q1 202310189
Q2 20238287
Q3 20239482

Biggest buyers

MORGAN STANLEY Added +1,310,961+1.3m
ALGEBRIS (UK) LTD New +1,252,721+1.3m
Saba Capital Management, L.P. New +821,134+821.1k
SIT INVESTMENT ASSOCIATES INC Added +771,761+771.8k
Capital Investment Advisors, LLC New +673,677+673.7k
AQR Arbitrage LLC Added +648,764+648.8k
CITADEL ADVISORS LLC Added +549,554+549.6k
JPMORGAN CHASE & CO New +313,251+313.3k
ENVESTNET ASSET MANAGEMENT INC Added +291,647+291.6k
PARK AVENUE SECURITIES LLC New +268,587+268.6k

Biggest sellers

RIVERNORTH CAPITAL MANAGEMENT, LLC Reduced -2,607,987-2.6m
Cerity Partners LLC Sold out -386,108-386.1k
Sowell Financial Services LLC Sold out -347,244-347.2k
Woodline Partners LP Sold out -186,708-186.7k
Jupiter Wealth Management LLC Sold out -184,852-184.9k
Family Manage LLC Reduced -156,815-156.8k
LPL Financial LLC Reduced -108,535-108.5k
Invesco Ltd. Reduced -104,542-104.5k
LAZARD ASSET MANAGEMENT LLC Reduced -60,703-60.7k
BANK OF MONTREAL /CAN/ Sold out -41,722-41.7k

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 7,581,0987.6m $46.8m $46.8m 0.00% Added +1.3m +1,310,961
2 RIVERNORTH CAPITAL MANAGEMENT, LLC 2.18% of their portfolio WEST PALM BEACH, FL 6,803,2416.8m $42.0m $42.0m 2.18% Reduced -2.6m -2,607,987
3 SIT INVESTMENT ASSOCIATES INC 0.94% of their portfolio Minneapolis, MN 5,579,0765.6m $34.4m $34.4m 0.94% Added +771.8k +771,761
4 UBS Group AG 0.01% of their portfolio ZURICH, V8 3,024,7023.0m $18.7m $18.7m 0.01% Reduced -2.5k -2,530
5 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 2,598,5482.6m $16.0m $16.0m 0.00% Reduced -104.5k -104,542
6 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 1,855,5821.9m $11.4m $11.4m 0.00% Added +137.2k +137,172
7 Penserra Capital Management LLC 0.21% of their portfolio ORINDA, CA 1,629,8971.6m $10.1m $10.1m 0.21% Added +95.4k +95,414
8 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 1,454,1721.5m $9.0m $9.0m 0.02% Reduced -36.6k -36,578
9 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 1,294,8391.3m $8.0m $8.0m 0.01% Added +5.3k +5,300
10 ALGEBRIS (UK) LTD 3.95% of their portfolio London, X0 1,252,7211.3m $7.7m $7.7m 3.95% New
11 Thomas J. Herzfeld Advisors, Inc. 2.92% of their portfolio MIAMI BEACH, FL 1,224,1541.2m $7.6m $7.6m 2.92% Added +53.1k +53,119
12 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 1,049,4351.0m $6.5m $6.5m 0.00% Added +49.0k +48,956
13 AQR Arbitrage LLC 0.29% of their portfolio Greenwich, CT 1,044,9841.0m $6.4m $6.4m 0.29% Added +648.8k +648,764
14 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 940,158940.2k $5.8m $5.8m 0.00% Reduced -108.5k -108,535
15 GREATMARK INVESTMENT PARTNERS, INC. 0.95% of their portfolio COLUMBUS, GA 870,904870.9k $5.4m $5.4m 0.95% Added +71.0k +71,015
16 Saba Capital Management, L.P. 0.16% of their portfolio NEW YORK, NY 821,134821.1k $5.1m $5.1m 0.16% New
17 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 706,677706.7k $4.4m $4.4m 0.00% Reduced -39.5k -39,473
18 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 686,537686.5k $4.2m $4.2m 0.00% Added +291.6k +291,647
19 Capital Investment Advisors, LLC 0.12% of their portfolio ATLANTA, GA 673,677673.7k $4.2m $4.2m 0.12% New
20 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 579,874579.9k $3.6m $3.6m 0.01% Added +136.5k +136,543
21 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 564,923564.9k $3.5m $3.5m 0.00% Added +549.6k +549,554
22 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 520,912520.9k $3.2m $3.2m 0.00% Added +194.8k +194,820
23 COHEN & STEERS, INC. 0.01% of their portfolio NEW YORK, NY 520,103520.1k $3.2m $3.2m 0.01% Reduced -10.0k -10,000
24 Stratos Wealth Partners, LTD. 0.06% of their portfolio BEACHWOOD, OH 419,623419.6k $2.6m $2.6m 0.06% Added +82.0k +82,041
25 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 418,290418.3k $2.6m $2.6m 0.00% Reduced -5.2k -5,239
26 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 375,237375.2k $2.3m $2.3m 0.01% Added +15.6k +15,595
27 Shaker Financial Services, LLC 0.97% of their portfolio Arlington, VA 334,224334.2k $2.1m $2.1m 0.97% Unchanged
28 CAPTRUST FINANCIAL ADVISORS 0.01% of their portfolio RALEIGH, NC 317,680317.7k $2.0m $2.0m 0.01% Added +237.7k +237,655
29 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 313,251313.3k $1.9m $1.9m 0.00% New
30 Moors & Cabot, Inc. 0.12% of their portfolio BOSTON, MA 292,986293.0k $1.8m $1.8m 0.12% Reduced -6.0k -5,990
31 PARK AVENUE SECURITIES LLC 0.03% of their portfolio NEW YORK, NY 268,587268.6k $1.7m $1.7m 0.03% New
32 CoreCap Advisors, LLC 0.12% of their portfolio SOUTHFIELD, MI 263,177263.2k $1.6m $1.6m 0.12% Reduced -33.6k -33,568
33 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.20% of their portfolio Englewood, NJ 246,184246.2k $1.5m $1.5m 0.20% Added +103.4k +103,352
34 Sea Otter Advisors LLC 1.05% of their portfolio Miami, FL 240,000240.0k $1.5m $1.5m 1.05% Added +90.1k +90,100
35 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 226,513226.5k $1.4m $1.4m 0.00% Added +180.8k +180,794
36 PETRA FINANCIAL ADVISORS INC 1.07% of their portfolio COLORADO SRPINGS, CO 208,852208.9k $1.3m $1.3m 1.07% Added +561 +561
37 WOLVERINE ASSET MANAGEMENT LLC 0.02% of their portfolio CHICAGO, IL 185,948185.9k $1.1m $1.1m 0.02% Added +73.9k +73,891
38 Financial Gravity Asset Management, Inc. 0.01% of their portfolio Lakeway, TX 177,175177.2k $1.1m $1.1m 0.01% Added +167.8k +167,850
39 Hennion & Walsh Asset Management, Inc. 0.07% of their portfolio Parsippany, NJ 174,779174.8k $1.1m $1.1m 0.07% Added +7.1k +7,149
40 ADVISOR PARTNERS II, LLC 0.04% of their portfolio WALNUT CREEK, CA 166,309166.3k $1.0m $1.0m 0.04% New
41 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 163,247163.2k $1.0m $1.0m 0.00% Added +7.2k +7,204
42 Geneos Wealth Management Inc. 0.05% of their portfolio ENGLEWOOD, CO 159,997160.0k $987.2k $987.2k 0.05% Reduced -463 -463
43 FCA CORP /TX 0.36% of their portfolio HOUSTON, TX 156,803156.8k $967.5k $967.5k 0.36% Added +19.5k +19,463
44 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 151,187151.2k $932.8k $932.8k 0.01% Added +6.7k +6,681
45 Wela Strategies, Inc. 0.54% of their portfolio ATLANTA, GA 145,690145.7k $898.9k $898.9k 0.54% New
46 Chicago Partners Investment Group LLC 0.04% of their portfolio CHICAGO, IL 130,311130.3k $755.8k $755.8k 0.04% Added +21.2k +21,221
47 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 123,406123.4k $761.4k $761.4k 0.01% Added +7.7k +7,714
48 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 119,979120.0k $742.9k $742.9k 0.01% Reduced -16.1k -16,065
49 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 115,555115.6k $717.4k $717.4k 0.02% Reduced -11.0k -11,020
50 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 115,207115.2k $710.8k $710.8k 0.01% Added +13.0k +13,023
51 Mathes Company, Inc. 0.33% of their portfolio New York, NY 113,600113.6k $701.0k $701.0k 0.33% Unchanged
52 Logan Stone Capital, LLC 0.19% of their portfolio CHICAGO, IL 111,908111.9k $690.5k $690.5k 0.19% New
53 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 109,014109.0k $673.0k $673.0k 0.00% Reduced -27.3k -27,310
54 Palogic Value Management, L.P. 0.32% of their portfolio DALLAS, TX 103,944103.9k $641.3k $641.3k 0.32% Reduced -4.9k -4,940
55 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 101,748101.7k $627.8k $627.8k 0.00% Added +2.2k +2,211
56 INTREPID FAMILY OFFICE LLC 1.05% of their portfolio SARASOTA, FL 100,000100.0k $610.0k $610.0k 1.05% Unchanged
57 DAVENPORT & Co LLC 0.00% of their portfolio RICHMOND, VA 98,01598.0k $604.8k $604.8k 0.00% Added +1.5k +1,455
58 Shulman DeMeo Asset Management LLC 0.19% of their portfolio LAKE SUCCESS, NY 93,08093.1k $574.3k $574.3k 0.19% Reduced -75 -75
59 WHITTIER TRUST CO 0.01% of their portfolio SOUTH PASADENA, CA 89,43889.4k $551.8k $551.8k 0.01% Added +16.3k +16,346
60 Eudaimonia Partners, LLC 0.13% of their portfolio Winchester, TN 89,32589.3k $551.1k $551.1k 0.13% Unchanged
61 Accel Wealth Management 0.30% of their portfolio WAVERLY, IA 85,92385.9k $530.1k $530.1k 0.30% Reduced -280 -280
62 Family Manage LLC 0.12% of their portfolio NEW YORK, NY 84,37284.4k $520.6k $520.6k 0.12% Reduced -156.8k -156,815
63 Wealthcare Advisory Partners LLC 0.02% of their portfolio WEST CHESTER, PA 84,12984.1k $519.1k $519.1k 0.02% Reduced -1.9k -1,923
64 All Season Financial Advisors, Inc. 0.52% of their portfolio DENVER, CO 82,65382.7k $510.0k $510.0k 0.52% Added +3.8k +3,776
65 MARINO, STRAM & ASSOCIATES LLC 0.14% of their portfolio BRAINTREE, MA 80,05380.1k $493.9k $493.9k 0.14% Unchanged
66 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 79,50079.5k $491.0k $491.0k 0.00% Reduced -31.0k -31,000
67 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 78,05878.1k $481.6k $481.6k 0.00% Added +11.8k +11,809
68 GUGGENHEIM CAPITAL LLC 0.00% of their portfolio CHICAGO, IL 75,23075.2k $464.2k $464.2k 0.00% Reduced -32 -32
69 BURNEY CO/ 0.02% of their portfolio RESTON, VA 68,16568.2k $420.6k $420.6k 0.02% Reduced -16.0k -16,035
70 Financial Enhancement Group LLC 0.08% of their portfolio ANDERSON, IN 67,83267.8k $402.2k $402.2k 0.08% Added +3.5k +3,511
71 Samalin Investment Counsel, LLC 0.24% of their portfolio CHAPPAQUA, NY 67,40467.4k $415.9k $415.9k 0.24% Added +27.0k +27,047
72 Stolper Co 0.18% of their portfolio TULSA, OK 67,16667.2k $414.0k $414.0k 0.18% Reduced -1.0k -1,032
73 WEDBUSH SECURITIES INC 0.02% of their portfolio PASADENA, CA 65,71665.7k $405.0k $405.0k 0.02% Reduced -6.3k -6,335
74 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 65,36465.4k $403.3k $403.3k 0.00% Added +54.8k +54,842
75 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 60,76760.8k $374.9k $374.9k 0.00% Reduced -15.9k -15,864
76 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 59,39859.4k $366.5k $366.5k 0.00% Reduced -9.1k -9,110
77 Sage Capital Advisors,llc 0.13% of their portfolio SIOUX FALLS, SD 58,90358.9k $363.4k $363.4k 0.13% Added +3.0k +2,979
78 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 56,73156.7k $350.0k $350.0k 0.00% Added +2.7k +2,665
79 Mariner, LLC 0.00% of their portfolio Overland Park, KS 54,87354.9k $338.6k $338.6k 0.00% Added +3.9k +3,941
80 TOWNSQUARE CAPITAL LLC 0.01% of their portfolio Lehi, UT 50,03650.0k $308.7k $308.7k 0.01% New
81 CENTRAL TRUST Co 0.01% of their portfolio JEFFERSON CITY, MO 49,79849.8k $307.3k $307.3k 0.01% Reduced -1.4k -1,350
82 COMERICA BANK 0.00% of their portfolio DALLAS, TX 48,80448.8k $301.1k $301.1k 0.00% New
83 MSH Capital Advisors LLC 0.12% of their portfolio SCOTTSDALE, AZ 48,07948.1k $296.6k $296.6k 0.12% Unchanged
84 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 45,99546.0k $283.8k $283.8k 0.00% Added +22.6k +22,572
85 MELFA WEALTH MANAGEMENT, INC. 0.31% of their portfolio WESTBOROUGH, MA 45,78145.8k $282.5k $282.5k 0.31% Added +59 +59
86 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.04% of their portfolio ORLANDO, FL 43,74743.7k $269.0k $269.0k 0.04% Added +10.3k +10,300
87 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 42,75742.8k $263.8k $263.8k 0.01% Unchanged
88 Investmark Advisory Group LLC 0.17% of their portfolio Shelton, CT 41,67041.7k $257.1k $257.1k 0.17% Added +1.8k +1,787
89 WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC 0.13% of their portfolio HIGHLAND PARK, IL 41,38041.4k $255.3k $255.3k 0.13% Unchanged
90 Patriot Financial Group Insurance Agency, LLC 0.05% of their portfolio Westborough, MA 41,07541.1k $253.4k $253.4k 0.05% Reduced -8.9k -8,891
91 INTEGRATED CAPITAL MANAGEMENT, INC. 0.21% of their portfolio JESSUP, PA 38,99139.0k $240.6k $240.6k 0.21% New
92 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 38,84238.8k $240.0k $240.0k 0.00% Reduced -4.1k -4,136
93 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 38,64438.6k $238.4k $238.4k 0.00% Added +8.5k +8,498
94 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 36,15036.1k $223.0k $223.0k 0.00% Reduced -6.3k -6,300
95 DAYMARK WEALTH PARTNERS, LLC 0.01% of their portfolio CINCINNATI, OH 34,39234.4k $212.2k $212.2k 0.01% Unchanged
96 CALDWELL SUTTER CAPITAL, INC. 0.12% of their portfolio SAUSALITO, CA 34,25434.3k $211.3k $211.3k 0.12% Unchanged
97 Penbrook Management LLC 0.15% of their portfolio NEW YORK, NY 34,00034.0k $209.8k $209.8k 0.15% Added +4.0k +4,000
98 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 33,70933.7k $208.0k $208.0k 0.01% Added +8.3k +8,270
99 PARSONS CAPITAL MANAGEMENT INC/RI 0.02% of their portfolio PROVIDENCE, RI 30,87530.9k $190.5k $190.5k 0.02% Unchanged
100 INDEPENDENT FINANCIAL GROUP, LLC 0.01% of their portfolio SAN DIEGO, CA 30,13030.1k $185.9k $185.9k 0.01% Added +7.9k +7,932