Vault-13

NUVEEN FLOATING RATE INCOME JFR

COM · Closed-End Fund · CUSIP 67072T108

101 institutional holders -2 vs Q4 2022
18,162,55818.2m shares reported held*
$149.0mreported value*
14 new 25 added 38 reduced 12 sold out net sold ≈ $315.7k (-29.6k 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 ≈ $8.20.

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 93Q4 22: 103Q1 23: 101101Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 202293
Q4 2022103
Q1 2023101

Buyers vs sellers

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

Bought or addedCut or sold out
50050Q4 22: 43 bought or addedQ4 22: 34 cut or sold outQ4 22Q1 23: 39 bought or addedQ1 23: 50 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 20224334
Q1 20233950

Biggest buyers

Penserra Capital Management LLC Added +583,891+583.9k
NATIXIS New +324,622+324.6k
LPL Financial LLC Added +167,648+167.6k
ENVESTNET ASSET MANAGEMENT INC Added +137,935+137.9k
PARK AVENUE SECURITIES LLC New +132,966+133.0k
Gallagher Fiduciary Advisors, LLC New +100,617+100.6k
JPMORGAN CHASE & CO New +57,147+57.1k
GUGGENHEIM CAPITAL LLC Added +49,940+49.9k
RAYMOND JAMES & ASSOCIATES Added +26,665+26.7k
INDEPENDENT FINANCIAL GROUP, LLC Added +20,686+20.7k

Biggest sellers

BANK OF AMERICA CORP /DE/ Reduced -396,241-396.2k
MORGAN STANLEY Reduced -307,293-307.3k
Shaker Financial Services, LLC Reduced -178,800-178.8k
Logan Stone Capital, LLC Sold out -108,457-108.5k
OAKTREE CAPITAL MANAGEMENT LP Reduced -104,477-104.5k
Janney Montgomery Scott LLC Reduced -77,444-77.4k
1607 Capital Partners, LLC Reduced -74,200-74.2k
UBS Group AG Reduced -62,209-62.2k
Almitas Capital LLC Sold out -59,595-59.6k
WELLS FARGO & COMPANY/MN Reduced -49,306-49.3k

Insider purchases and sales in Q1 2023

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

None reported in Q1 2023.

Holders, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 2,242,1652.2m $18.4m $18.4m 0.01% Added +167.6k +167,648
2 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 1,655,1331.7m $13.6m $13.6m 0.00% Reduced -49.3k -49,306
3 Penserra Capital Management LLC 0.20% of their portfolio ORINDA, CA 1,196,3261.2m $9.8m $9.8m 0.20% Added +583.9k +583,891
4 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,188,1071.2m $9.7m $9.7m 0.00% Reduced -307.3k -307,293
5 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 1,112,2661.1m $9.1m $9.1m 0.00% Added +1.2k +1,193
6 GUGGENHEIM CAPITAL LLC 0.07% of their portfolio CHICAGO, IL 1,071,8831.1m $8.8m $8.8m 0.07% Added +49.9k +49,940
7 OAKTREE CAPITAL MANAGEMENT LP 0.09% of their portfolio LOS ANGELES, CA 991,759991.8k $8.1m $8.1m 0.09% Reduced -104.5k -104,477
8 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 946,630946.6k $7.8m $7.8m 0.00% Reduced -396.2k -396,241
9 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 684,341684.3k $5.6m $5.6m 0.00% Added +10.4k +10,380
10 UBS Group AG 0.00% of their portfolio ZURICH, V8 519,533519.5k $4.3m $4.3m 0.00% Reduced -62.2k -62,209
11 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 504,036504.0k $4.1m $4.1m 0.00% Reduced -911 -911
12 Advisors Asset Management, Inc. 0.08% of their portfolio Monument, CO 470,381470.4k $3.9m $3.9m 0.08% Added +19.0k +18,951
13 COHEN & STEERS, INC. 0.01% of their portfolio NEW YORK, NY 450,000450.0k $3.7m $3.7m 0.01% Added +20.0k +20,000
14 Byrne Asset Management LLC 2.31% of their portfolio KINGSTON, NJ 394,647394.6k $3.2m $3.2m 2.31% Reduced -36.8k -36,750
15 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 394,382394.4k $3.2m $3.2m 0.01% Added +11.7k +11,715
16 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 356,535356.5k $2.9m $2.9m 0.00% Reduced -4.7k -4,703
17 NATIXIS 0.02% of their portfolio PARIS, I0 324,622324.6k $2.7m $2.7m 0.02% New
18 RFG Advisory, LLC 0.10% of their portfolio BIRMINGHAM, AL 249,788249.8k $2.0m $2.0m 0.10% Reduced -8.9k -8,886
19 Capital Investment Advisors, LLC 0.06% of their portfolio ATLANTA, GA 230,455230.5k $1.9m $1.9m 0.06% Reduced -9.2k -9,163
20 Kades & Cheifetz LLC 1.28% of their portfolio Berwyn, PA 198,457198.5k $1.6m $1.6m 1.28% Reduced -871 -871
21 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 173,307173.3k $1.4m $1.4m 0.00% Added +2.9k +2,919
22 INVESTMENT MANAGEMENT ASSOCIATES INC /ADV 0.55% of their portfolio GREENWOOD VILLAGE, CO 163,466163.5k $1.3m $1.3m 0.55% Unchanged
23 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 149,892149.9k $1.2m $1.2m 0.00% Added +137.9k +137,935
24 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 142,911142.9k $1.2m $1.2m 0.00% Added +13.1k +13,114
25 PARK AVENUE SECURITIES LLC 0.02% of their portfolio NEW YORK, NY 132,966133.0k $1.1m $1.1m 0.02% New
26 MELFA WEALTH MANAGEMENT, INC. 0.93% of their portfolio WESTBOROUGH, MA 113,534113.5k $931.0k $931.0k 0.93% Added +605 +605
27 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 113,431113.4k $930.1k $930.1k 0.00% Reduced -42.6k -42,563
28 Gallagher Fiduciary Advisors, LLC 0.07% of their portfolio ROLLING MEADOWS, IL 100,617100.6k $825.1k $825.1k 0.07% New
29 Koshinski Asset Management, Inc. 0.07% of their portfolio DECATUR, IL 88,00288.0k $721.6k $721.6k 0.07% Unchanged
30 Seelaus Asset Management LLC 0.54% of their portfolio CHATHAM, NJ 85,38185.4k $712.0k $712.0k 0.54% Reduced -4.7k -4,675
31 Congress Park Capital LLC 0.42% of their portfolio SARATOGA SPRINGS, NY 85,00085.0k $697.0k $697.0k 0.42% Added +10.0k +10,000
32 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 83,90383.9k $688.0k $688.0k 0.00% Added +26.7k +26,665
33 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 74,78074.8k $613.2k $613.2k 0.00% Reduced -950 -950
34 CIBC WORLD MARKET INC. 0.00% of their portfolio TORONTO, A6 70,00070.0k $574.0k $574.0k 0.00% Reduced -5.7k -5,725
35 Edgemoor Investment Advisors, Inc. 0.07% of their portfolio BETHESDA, MD 69,81969.8k $572.5k $572.5k 0.07% Unchanged
36 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 68,89068.9k $565.0k $565.0k 0.00% Reduced -2.1k -2,127
37 SIT INVESTMENT ASSOCIATES INC 0.01% of their portfolio Minneapolis, MN 64,53264.5k $529.0k $529.0k 0.01% Reduced -13.0k -13,000
38 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 57,54757.5k $459.5k $459.5k 0.01% Reduced -2.3k -2,326
39 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 57,14757.1k $469.0k $469.0k 0.00% New
40 CONNING INC. 0.01% of their portfolio HARTFORD, CT 54,00054.0k $442.8k $442.8k 0.01% Unchanged
41 Lindbrook Capital, LLC 0.05% of their portfolio CALABASAS, CA 50,55450.6k $414.5k $414.5k 0.05% Reduced -15.9k -15,942
42 Samalin Investment Counsel, LLC 0.25% of their portfolio CHAPPAQUA, NY 50,34150.3k $412.8k $412.8k 0.25% Reduced -11.2k -11,173
43 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 48,43148.4k $397.0k $397.0k 0.00% Reduced -77.4k -77,444
44 Cetera Advisors LLC 0.01% of their portfolio DENVER, CO 47,52347.5k $389.7k $389.7k 0.01% Reduced -1.1k -1,132
45 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 44,64944.6k $366.1k $366.1k 0.01% Added +5.7k +5,707
46 Cerity Partners LLC 0.00% of their portfolio NEW YORK, NY 44,28344.3k $363.1k $363.1k 0.00% Added +5.0k +5,000
47 1607 Capital Partners, LLC 0.02% of their portfolio Richmond, VA 40,38240.4k $331.1k $331.1k 0.02% Reduced -74.2k -74,200
48 INDEPENDENT FINANCIAL GROUP, LLC 0.03% of their portfolio SAN DIEGO, CA 38,25738.3k $313.7k $313.7k 0.03% Added +20.7k +20,686
49 VIRTUS ADVISERS, LLC 0.17% of their portfolio HARTFORD, CT 36,60636.6k $300.2k $300.2k 0.17% Reduced -2.6k -2,594
50 WEDBUSH SECURITIES INC 0.01% of their portfolio PASADENA, CA 33,00033.0k $271.0k $271.0k 0.01% Added +1.0k +1,000
51 Lumature Wealth Partners, LLC 0.15% of their portfolio ALPHARETTA, GA 33,00033.0k $270.6k $270.6k 0.15% Unchanged
52 SHEETS SMITH WEALTH MANAGEMENT 0.04% of their portfolio WINSTON-SALEM, NC 32,00032.0k $262.4k $262.4k 0.04% Unchanged
53 B. Riley Wealth Advisors, Inc. 0.01% of their portfolio MEMPHIS, TN 30,46430.5k $251.4k $251.4k 0.01% Reduced -21.0k -20,961
54 Sigma Planning Corp 0.01% of their portfolio ANN ARBOR, MI 27,60727.6k $226.4k $226.4k 0.01% Reduced -877 -877
55 Kovack Advisors, Inc. 0.03% of their portfolio FT. LAUDERDALE, FL 27,40027.4k $224.7k $224.7k 0.03% Reduced -1.0k -1,000
56 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 25,97526.0k $212.0k $212.0k 0.00% Unchanged
57 Aviance Capital Partners, LLC 0.05% of their portfolio NAPLES, FL 24,89524.9k $204.1k $204.1k 0.05% Unchanged
58 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 23,81423.8k $195.3k $195.3k 0.00% Unchanged
59 Shulman DeMeo Asset Management LLC 0.06% of their portfolio LAKE SUCCESS, NY 22,75022.8k $186.6k $186.6k 0.06% Unchanged
60 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 22,36522.4k $183.4k $183.4k 0.00% Added +4.1k +4,101
61 GILL CAPITAL PARTNERS, LLC 0.08% of their portfolio DENVER, CO 21,46921.5k $176.0k $176.0k 0.08% Unchanged
62 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.02% of their portfolio Englewood, NJ 20,58920.6k $168.8k $168.8k 0.02% Reduced -20.2k -20,215
63 Shaker Financial Services, LLC 0.07% of their portfolio Arlington, VA 18,47318.5k $163.8k $163.8k 0.07% Reduced -178.8k -178,800
64 Investment Advisory Group, LLC 0.08% of their portfolio HANOVER, MA 17,99718.0k $147.6k $147.6k 0.08% Unchanged
65 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 17,25017.2k $141.4k $141.4k 0.00% Reduced -1.4k -1,364
66 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 17,12517.1k $140.4k $140.4k 0.00% New
67 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 16,94916.9k $139.0k $139.0k 0.00% Reduced -2.8k -2,771
68 Western Wealth Management, LLC 0.01% of their portfolio GOLDEN, CO 16,00516.0k $131.2k $131.2k 0.01% Added +289 +289
69 Integrated Wealth Concepts LLC 0.00% of their portfolio WALTHAM, MA 14,45014.4k $118.0k $118.0k 0.00% Unchanged
70 M Holdings Securities, Inc. 0.01% of their portfolio PORTLAND, OR 14,29314.3k $117.0k $117.0k 0.01% Added +59 +59
71 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 14,12514.1k $115.8k $115.8k 0.00% Added +1.3k +1,264
72 INTEGRATED CAPITAL MANAGEMENT, INC. 0.14% of their portfolio JESSUP, PA 13,67813.7k $152.1k $152.1k 0.14% New
73 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 0.00% of their portfolio NORFOLK, VA 12,60012.6k $103.3k $103.3k 0.00% Unchanged
74 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 12,38512.4k $101.6k $101.6k 0.00% Reduced -3.0k -3,018
75 Fortitude Advisory Group L.L.C. 0.07% of their portfolio GIG HARBOR, WA 10,85010.8k $89.0k $89.0k 0.07% Added +514 +514
76 HRT FINANCIAL LP 0.00% of their portfolio NEW YORK, NY 10,76310.8k $88.0k $88.0k 0.00% New
77 CTC Capital Management, LLC 0.18% of their portfolio Chicago, IL 10,70010.7k $87.7k $87.7k 0.18% Unchanged
78 IEQ CAPITAL, LLC 0.00% of their portfolio Foster City, CA 10,37810.4k $85.1k $85.1k 0.00% Unchanged
79 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 10,00010.0k $90.8k $90.8k 0.00% Reduced -1.7k -1,665
80 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 7,7507.8k $63.5k $63.5k 0.00% Reduced -2.0k -2,040
81 CoreFirst Bank & Trust 0.04% of their portfolio TOPEKA, KS 7,0487.0k $57.8k $57.8k 0.04% Unchanged
82 Spire Wealth Management 0.00% of their portfolio MCLEAN, VA 6,1406.1k $50.4k $50.4k 0.00% New
83 OPTIMUM INVESTMENT ADVISORS 0.02% of their portfolio Chicago, IL 5,2005.2k $42.6k $42.6k 0.02% Unchanged
84 Elequin Capital, LP 0.02% of their portfolio NEW YORK, NY 2,6902.7k $22.1k $22.1k 0.02% Reduced -15.8k -15,797
85 IFP Advisors, Inc 0.00% of their portfolio TAMPA, FL 2,5002.5k $27.2k $27.2k 0.00% New
86 Venturi Wealth Management, LLC 0.00% of their portfolio AUSTIN, TX 2,4002.4k $19.7k $19.7k 0.00% New
87 CARY STREET PARTNERS INVESTMENT ADVISORY LLC 0.00% of their portfolio RICHMOND, VA 1,8001.8k $14.8k $14.8k 0.00% Unchanged
88 Belpointe Asset Management LLC 0.00% of their portfolio RENO, NV 1,5241.5k $12.5k $12.5k 0.00% Reduced -1.0k -1,000
89 Pinnacle Financial Partners Inc 0.00% of their portfolio Nashville, TN 1,2801.3k $10.5k $10.5k 0.00% Unchanged
90 Focused Wealth Management, Inc 0.00% of their portfolio Newburgh, NY 1,2421.2k $10.2k $10.2k 0.00% Added +22 +22
91 Geneos Wealth Management Inc. 0.00% of their portfolio ENGLEWOOD, CO 1,2201.2k $10.0k $10.0k 0.00% Unchanged
92 FNY Investment Advisers, LLC 0.01% of their portfolio NEW YORK, NY 1,2001.2k $9.0k $9.0k 0.01% New
93 HOLLENCREST CAPITAL MANAGEMENT 0.00% of their portfolio NEWPORT BEACH, CA 1,1701.2k $9.6k $9.6k 0.00% Reduced -900 -900
94 Raleigh Capital Management Inc. 0.00% of their portfolio CARY, NC 1,1001.1k $9.0k $9.0k 0.00% New
95 SOA Wealth Advisors, LLC. 0.00% of their portfolio NEW YORK, NY 1,0481.0k $8.6k $8.6k 0.00% Added +28 +28
96 Ameritas Advisory Services, LLC 0.00% of their portfolio Lincoln, NE 1,0001.0k $8.3k $8.3k 0.00% New
97 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 800800 $6.6k $6.6k 0.00% New
98 BELLEVUE ASSET MANAGEMENT, LLC 0.00% of their portfolio BELLEVUE, WA 500500 $4.1k $4.1k 0.00% Unchanged
99 HUNTINGTON NATIONAL BANK 0.00% of their portfolio COLUMBUS, OH 11 $8 $8 0.00% Unchanged
100 LAZARD ASSET MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 11 $0 $0 0.00% Reduced -8.9k -8,941