Vault-13

NUVEEN FLOATING RATE INCOME JFR

COM · Closed-End Fund · CUSIP 67072T108

172 institutional holders +70 vs Q2 2023
41,133,85641.1m shares reported held*
$337.8mreported value*
79 new 71 added 7 reduced 10 sold out net bought ≈ $188.0m (+22.9m 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 ≈ $8.21.

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 93Q4 22: 103Q1 23: 101Q2 23: 102Q3 23: 172172Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 202293
Q4 2022103
Q1 2023101
Q2 2023102
Q3 2023172

Buyers vs sellers

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

Bought or addedCut or sold out
2000200Q4 22: 43 bought or addedQ4 22: 34 cut or sold outQ4 22Q1 23: 39 bought or addedQ1 23: 50 cut or sold outQ1 23Q2 23: 48 bought or addedQ2 23: 44 cut or sold outQ2 23Q3 23: 150 bought or addedQ3 23: 17 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 20224334
Q1 20233950
Q2 20234844
Q3 202315017

Biggest buyers

MORGAN STANLEY Added +2,930,200+2.9m
Invesco Ltd. Added +1,494,360+1.5m
BANK OF AMERICA CORP /DE/ Added +1,299,117+1.3m
GUGGENHEIM CAPITAL LLC Added +1,206,915+1.2m
OAKTREE CAPITAL MANAGEMENT LP New +1,192,691+1.2m
SIT INVESTMENT ASSOCIATES INC New +1,069,602+1.1m
Saba Capital Management, L.P. Added +1,026,390+1.0m
Advisors Asset Management, Inc. Added +727,372+727.4k
Alpine Global Management, LLC New +680,000+680.0k
Thomas J. Herzfeld Advisors, Inc. New +601,434+601.4k

Biggest sellers

Logan Stone Capital, LLC Sold out -106,006-106.0k
Gallagher Fiduciary Advisors, LLC Sold out -95,073-95.1k
Kestra Advisory Services, LLC Sold out -89,261-89.3k
WOLVERINE ASSET MANAGEMENT LLC Sold out -84,844-84.8k
LANDSCAPE CAPITAL MANAGEMENT, L.L.C. Reduced -49,281-49.3k
Walleye Capital LLC Reduced -33,924-33.9k
Cerity Partners LLC Sold out -29,283-29.3k
Elequin Capital, LP Reduced -15,005-15.0k
Byrne Asset Management LLC Reduced -14,480-14.5k
Samalin Investment Counsel, LLC Reduced -12,821-12.8k

Insider purchases and sales in Q3 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.

DateInsiderTradeSharesPrice ValueTheir holding
2023-09-27 Caraher Scott C. Portfolio Manager Sold 35,000 $8.11 $283.9k35.0k shares -31%
2023-09-26 Caraher Scott C. Portfolio Manager Sold 25,000 $8.13 $203.3k25.0k shares -22%
2023-09-06 MOSCHNER ALBIN F Trustee Bought 2,200 $8.19 $18.0k2.2k shares +8%

Their holding: how much the trade added to or took from the insider's holding (direct, or the trust or fund named). The same trade is sometimes reported by more than one insider, such as a fund and the director who represents it; totals count it once. A value is left blank where the reported price is far from the market price (usually a typo).

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 4,222,5094.2m $34.7m $34.7m 0.00% Added +2.9m +2,930,200
2 LPL Financial LLC 0.02% of their portfolio FORT MILL, SC 2,742,0742.7m $22.5m $22.5m 0.02% Added +386.2k +386,215
3 Invesco Ltd. 0.01% of their portfolio ATLANTA, GA 2,546,5062.5m $20.9m $20.9m 0.01% Added +1.5m +1,494,360
4 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 2,235,4082.2m $18.4m $18.4m 0.00% Added +1.3m +1,299,117
5 GUGGENHEIM CAPITAL LLC 0.16% of their portfolio CHICAGO, IL 2,219,4632.2m $18.2m $18.2m 0.16% Added +1.2m +1,206,915
6 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 2,097,0702.1m $17.2m $17.2m 0.01% Added +409.0k +409,045
7 Penserra Capital Management LLC 0.23% of their portfolio ORINDA, CA 1,369,2631.4m $11.2m $11.2m 0.23% Added +93.4k +93,408
8 OAKTREE CAPITAL MANAGEMENT LP 0.15% of their portfolio LOS ANGELES, CA 1,192,6911.2m $9.8m $9.8m 0.15% New
9 Advisors Asset Management, Inc. 0.20% of their portfolio Monument, CO 1,143,9231.1m $9.4m $9.4m 0.20% Added +727.4k +727,372
10 Saba Capital Management, L.P. 0.29% of their portfolio NEW YORK, NY 1,096,3521.1m $9.0m $9.0m 0.29% Added +1.0m +1,026,390
11 SIT INVESTMENT ASSOCIATES INC 0.24% of their portfolio Minneapolis, MN 1,069,6021.1m $8.8m $8.8m 0.24% New
12 UBS Group AG 0.00% of their portfolio ZURICH, V8 1,042,1091.0m $8.6m $8.6m 0.00% Added +543.1k +543,094
13 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 1,011,3341.0m $8.3m $8.3m 0.00% Added +314.6k +314,630
14 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 930,858930.9k $7.6m $7.6m 0.00% Added +426.8k +426,822
15 Alpine Global Management, LLC 0.67% of their portfolio NEW YORK, NY 680,000680.0k $5.6m $5.6m 0.67% New
16 COHEN & STEERS, INC. 0.01% of their portfolio NEW YORK, NY 646,052646.1k $5.3m $5.3m 0.01% Added +196.1k +196,052
17 Rockefeller Capital Management L.P. 0.02% of their portfolio NEW YORK, NY 612,763612.8k $5.0m $5.0m 0.02% Added +71.5k +71,457
18 Thomas J. Herzfeld Advisors, Inc. 1.91% of their portfolio MIAMI BEACH, FL 601,434601.4k $4.9m $4.9m 1.91% New
19 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 601,187601.2k $4.9m $4.9m 0.01% Added +204.8k +204,829
20 Next Capital Management LLC 2.20% of their portfolio NEW YORK, NY 590,327590.3k $4.9m $4.9m 2.20% New
21 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 538,616538.6k $4.4m $4.4m 0.01% Added +377.4k +377,385
22 AQR Arbitrage LLC 0.20% of their portfolio Greenwich, CT 535,791535.8k $4.4m $4.4m 0.20% New
23 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 0.38% of their portfolio London, X0 531,802531.8k $4.4m $4.4m 0.38% New
24 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 516,862516.9k $4.2m $4.2m 0.00% Added +147.5k +147,459
25 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 508,809508.8k $4.2m $4.2m 0.00% Added +353.0k +353,009
26 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 506,718506.7k $4.2m $4.2m 0.01% Added +493.6k +493,592
27 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 431,708431.7k $3.5m $3.5m 0.00% Added +317.7k +317,691
28 RFG Advisory, LLC 0.15% of their portfolio BIRMINGHAM, AL 419,664419.7k $3.4m $3.4m 0.15% Added +177.9k +177,888
29 Shaker Financial Services, LLC 1.59% of their portfolio Arlington, VA 411,310411.3k $3.4m $3.4m 1.59% Added +360.9k +360,909
30 NATIXIS 0.03% of their portfolio PARIS, I0 392,285392.3k $3.2m $3.2m 0.03% Reduced -9.9k -9,930
31 Byrne Asset Management LLC 2.57% of their portfolio KINGSTON, NJ 378,072378.1k $3.1m $3.1m 2.57% Reduced -14.5k -14,480
32 Congress Park Capital LLC 1.73% of their portfolio SARATOGA SPRINGS, NY 365,000365.0k $3.0m $3.0m 1.73% Added +255.0k +255,000
33 Capital Investment Advisors, LLC 0.07% of their portfolio ATLANTA, GA 326,122326.1k $2.7m $2.7m 0.07% Added +98.7k +98,709
34 1607 Capital Partners, LLC 0.19% of their portfolio Richmond, VA 312,970313.0k $2.6m $2.6m 0.19% New
35 RIVERNORTH CAPITAL MANAGEMENT, LLC 0.12% of their portfolio WEST PALM BEACH, FL 275,798275.8k $2.3m $2.3m 0.12% New
36 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 261,141261.1k $2.1m $2.1m 0.00% Added +109.8k +109,776
37 Bulldog Investors, LLP 0.73% of their portfolio SADDLE BROOK, NJ 257,177257.2k $2.1m $2.1m 0.73% New
38 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.25% of their portfolio ORLANDO, FL 221,891221.9k $1.8m $1.8m 0.25% New
39 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 214,133214.1k $1.8m $1.8m 0.01% Added +145.7k +145,662
40 NewEdge Advisors, LLC 0.02% of their portfolio NEW ORLEANS, LA 212,904212.9k $1.7m $1.7m 0.02% Added +154.7k +154,719
41 Kades & Cheifetz LLC 1.38% of their portfolio Berwyn, PA 211,567211.6k $1.7m $1.7m 1.38% Added +11.3k +11,303
42 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 195,494195.5k $1.6m $1.6m 0.00% Added +45.4k +45,351
43 Aviance Capital Partners, LLC 0.35% of their portfolio NAPLES, FL 187,196187.2k $1.5m $1.5m 0.35% Added +162.3k +162,301
44 PARK AVENUE SECURITIES LLC 0.02% of their portfolio NEW YORK, NY 183,681183.7k $1.5m $1.5m 0.02% Added +48.1k +48,127
45 INVESTMENT MANAGEMENT ASSOCIATES INC /ADV 0.56% of their portfolio GREENWOOD VILLAGE, CO 163,466163.5k $1.3m $1.3m 0.56% Unchanged
46 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 144,736144.7k $1.2m $1.2m 0.00% Added +118.8k +118,761
47 INDEPENDENT FINANCIAL GROUP, LLC 0.07% of their portfolio SAN DIEGO, CA 133,412133.4k $1.1m $1.1m 0.07% Added +68.7k +68,701
48 MISSION WEALTH MANAGEMENT, LP 0.04% of their portfolio Santa Barbara, CA 132,399132.4k $1.1m $1.1m 0.04% New
49 MELFA WEALTH MANAGEMENT, INC. 1.16% of their portfolio WESTBOROUGH, MA 130,218130.2k $1.1m $1.1m 1.16% Added +19.5k +19,464
50 Coastal Bridge Advisors, LLC 0.27% of their portfolio WESTPORT, CT 124,489124.5k $1.0m $1.0m 0.27% New
51 HORIZON KINETICS ASSET MANAGEMENT LLC 0.02% of their portfolio NEW YORK, NY 120,831120.8k $992.0k $992.0k 0.02% New
52 ADVISOR PARTNERS II, LLC 0.04% of their portfolio WALNUT CREEK, CA 111,316111.3k $913.9k $913.9k 0.04% New
53 GILL CAPITAL PARTNERS, LLC 0.40% of their portfolio DENVER, CO 109,328109.3k $897.6k $897.6k 0.40% Added +87.9k +87,859
54 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 102,236102.2k $839.0k $839.0k 0.00% Added +61.6k +61,569
55 Sigma Planning Corp 0.02% of their portfolio ANN ARBOR, MI 81,19681.2k $666.6k $666.6k 0.02% Added +53.5k +53,459
56 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 77,54277.5k $636.6k $636.6k 0.00% Added +207 +207
57 VIRTUS ADVISERS, LLC 0.38% of their portfolio HARTFORD, CT 76,66776.7k $629.4k $629.4k 0.38% Added +39.6k +39,580
58 RIVERBRIDGE PARTNERS LLC 0.01% of their portfolio MINNEAPOLIS, MN 73,30373.3k $601.8k $601.8k 0.01% New
59 Seelaus Asset Management LLC 0.67% of their portfolio CHATHAM, NJ 71,41471.4k $586.3k $586.3k 0.67% Added +11.6k +11,633
60 Edgemoor Investment Advisors, Inc. 0.07% of their portfolio BETHESDA, MD 69,81969.8k $573.2k $573.2k 0.07% Unchanged
61 HARBOUR INVESTMENTS, INC. 0.03% of their portfolio MADISON, WI 68,74268.7k $564.4k $564.4k 0.03% New
62 Integrated Wealth Concepts LLC 0.01% of their portfolio WALTHAM, MA 68,52768.5k $562.6k $562.6k 0.01% Added +54.3k +54,327
63 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 68,36768.4k $561.3k $561.3k 0.01% Added +52.8k +52,846
64 Gladstone Institutional Advisory LLC 0.04% of their portfolio Bedminster, NJ 66,61566.6k $546.9k $546.9k 0.04% Added +55.3k +55,305
65 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.07% of their portfolio Englewood, NJ 66,56066.6k $546.5k $546.5k 0.07% Reduced -49.3k -49,281
66 Koshinski Asset Management, Inc. 0.06% of their portfolio DECATUR, IL 64,98765.0k $533.5k $533.5k 0.06% Added +14.8k +14,785
67 Kovack Advisors, Inc. 0.07% of their portfolio FT. LAUDERDALE, FL 63,68263.7k $522.8k $522.8k 0.07% Added +30.4k +30,382
68 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 62,05162.1k $509.4k $509.4k 0.01% Added +18.7k +18,723
69 WEDBUSH SECURITIES INC 0.02% of their portfolio PASADENA, CA 60,93060.9k $500.0k $500.0k 0.02% Added +38.5k +38,522
70 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 60,80760.8k $559.4k $559.4k 0.00% New
71 CoreCap Advisors, LLC 0.03% of their portfolio SOUTHFIELD, MI 57,53157.5k $472.3k $472.3k 0.03% Added +27.5k +27,485
72 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 55,99656.0k $459.7k $459.7k 0.01% Added +29.0k +29,002
73 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 55,01755.0k $451.7k $451.7k 0.00% Added +41.6k +41,562
74 CONNING INC. 0.02% of their portfolio HARTFORD, CT 54,00054.0k $443.3k $443.3k 0.02% Unchanged
75 B. Riley Wealth Advisors, Inc. 0.01% of their portfolio MEMPHIS, TN 53,43253.4k $443.2k $443.2k 0.01% Added +22.4k +22,421
76 Cetera Advisors LLC 0.01% of their portfolio DENVER, CO 46,94146.9k $385.4k $385.4k 0.01% Added +418 +418
77 E&G Advisors, LLC 0.14% of their portfolio HOUSTON, TX 46,34846.3k $380.5k $380.5k 0.14% New
78 D.A. DAVIDSON & CO. 0.00% of their portfolio GREAT FALLS, MT 42,68642.7k $350.5k $350.5k 0.00% New
79 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 42,52942.5k $349.2k $349.2k 0.00% New
80 Walleye Capital LLC 0.00% of their portfolio NEW YORK, NY 40,80240.8k $335.0k $335.0k 0.00% Reduced -33.9k -33,924
81 Fortitude Advisory Group L.L.C. 0.22% of their portfolio GIG HARBOR, WA 39,48339.5k $324.2k $324.2k 0.22% Added +26.4k +26,411
82 AXXCESS WEALTH MANAGEMENT, LLC 0.01% of their portfolio CARLSBAD, CA 37,57537.6k $308.5k $308.5k 0.01% New
83 Glass Jacobson Investment Advisors llc 0.13% of their portfolio OWINGS MILLS, MD 35,26035.3k $289.5k $289.5k 0.13% Unchanged
84 Farther Finance Advisors, LLC 0.04% of their portfolio SAN FRANCISCO, CA 34,69634.7k $284.9k $284.9k 0.04% New
85 Western Wealth Management, LLC 0.02% of their portfolio GOLDEN, CO 33,50733.5k $275.1k $275.1k 0.02% Added +17.1k +17,095
86 Ameritas Advisory Services, LLC 0.01% of their portfolio Lincoln, NE 31,21631.2k $243.6k $243.6k 0.01% New
87 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 30,85430.9k $253.3k $253.3k 0.00% New
88 Future Financial Wealth Managment LLC 0.28% of their portfolio CINCINNATI, OH 30,27430.3k $248.6k $248.6k 0.28% New
89 SHEETS SMITH WEALTH MANAGEMENT 0.04% of their portfolio WINSTON-SALEM, NC 30,00730.0k $246.4k $246.4k 0.04% Added +14.2k +14,207
90 RVW Wealth, LLC 0.03% of their portfolio LOS ANGELES, CA 29,03729.0k $238.4k $238.4k 0.03% New
91 Samalin Investment Counsel, LLC 0.13% of their portfolio CHAPPAQUA, NY 27,81727.8k $228.4k $228.4k 0.13% Reduced -12.8k -12,821
92 Matisse Capital 0.15% of their portfolio PORTLAND, OR 26,64626.6k $218.8k $218.8k 0.15% New
93 CALTON & ASSOCIATES, INC. 0.32% of their portfolio Tampa, FL 26,45026.4k $217.2k $217.2k 0.32% New
94 COMERICA BANK 0.00% of their portfolio DALLAS, TX 26,14826.1k $214.7k $214.7k 0.00% New
95 INTEGRATED CAPITAL MANAGEMENT, INC. 0.19% of their portfolio JESSUP, PA 26,11626.1k $214.4k $214.4k 0.19% Added +4.2k +4,225
96 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.02% of their portfolio CEDAR RAPIDS, IA 26,00726.0k $213.5k $213.5k 0.02% New
97 MML INVESTORS SERVICES, LLC 0.00% of their portfolio SPRINGFIELD, MA 25,73225.7k $211.0k $211.0k 0.00% New
98 CTC Alternative Strategies, Ltd. 0.40% of their portfolio CHICAGO, IL 25,66325.7k $210.7k $210.7k 0.40% Added +15.0k +14,963
99 Charles Schwab Investment Advisory, Inc. 0.00% of their portfolio SAN FRANCISCO, CA 24,30324.3k $199.5k $199.5k 0.00% New
100 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 24,03724.0k $197.3k $197.3k 0.00% Added +9.1k +9,080