Vault-13

NUVEEN FLOATING RATE INCOME JFR

COM · Closed-End Fund · CUSIP 67072T108

162 institutional holders -11 vs Q2 2024
37,708,98937.7m shares reported held*
$314.3mreported value*
12 new 57 added 52 reduced 23 sold out net sold ≈ $2.6m (+1.6m 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 ≈ $8.33.

Trends to Q3 2024

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 93Q4 22: 103Q1 23: 101Q2 23: 102Q3 23: 172Q4 23: 180Q1 24: 176Q2 24: 173Q3 24: 162162Q3 22Q1 23Q3 23Q1 24Q3 24
Numbers
QuarterHolders
Q3 202293
Q4 2022103
Q1 2023101
Q2 2023102
Q3 2023172
Q4 2023180
Q1 2024176
Q2 2024173
Q3 2024162

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 outQ1 23: 39 bought or addedQ1 23: 50 cut or sold outQ1 23Q2 23: 48 bought or addedQ2 23: 44 cut or sold outQ3 23: 150 bought or addedQ3 23: 17 cut or sold outQ3 23Q4 23: 87 bought or addedQ4 23: 77 cut or sold outQ1 24: 81 bought or addedQ1 24: 78 cut or sold outQ1 24Q2 24: 77 bought or addedQ2 24: 70 cut or sold outQ3 24: 69 bought or addedQ3 24: 75 cut or sold outQ3 24
Numbers
QuarterBought or addedCut or sold out
Q4 20224334
Q1 20233950
Q2 20234844
Q3 202315017
Q4 20238777
Q1 20248178
Q2 20247770
Q3 20246975

Biggest buyers

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC Added +1,854,254+1.9m
Pathstone Holdings, LLC Added +529,677+529.7k
Invesco Ltd. Added +376,835+376.8k
Penserra Capital Management LLC Added +249,794+249.8k
Congress Park Capital LLC Added +232,590+232.6k
Shaker Financial Services, LLC New +177,054+177.1k
Walleye Capital LLC New +110,833+110.8k
Advisors Asset Management, Inc. Added +87,029+87.0k
Cyndeo Wealth Partners, LLC Added +80,981+81.0k
GUGGENHEIM CAPITAL LLC Added +69,357+69.4k

Biggest sellers

WELLS FARGO & COMPANY/MN Reduced -453,563-453.6k
Alpine Global Management, LLC Sold out -350,000-350.0k
Next Capital Management LLC Reduced -306,679-306.7k
RIVERNORTH CAPITAL MANAGEMENT, LLC Sold out -229,185-229.2k
DEBUSSY CAPITAL MANAGEMENT LP Sold out -128,428-128.4k
Thomas J. Herzfeld Advisors, Inc. Reduced -111,355-111.4k
1607 Capital Partners, LLC Reduced -110,700-110.7k
ENVESTNET ASSET MANAGEMENT INC Reduced -97,506-97.5k
BANK OF AMERICA CORP /DE/ Reduced -95,969-96.0k
SIT INVESTMENT ASSOCIATES INC Sold out -76,730-76.7k

Insider purchases and sales in Q3 2024

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.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
101Q4 22: 0 buyingQ4 22: 0 sellingQ1 23: 0 buyingQ1 23: 0 sellingQ1 23Q2 23: 0 buyingQ2 23: 0 sellingQ3 23: 0 buyingQ3 23: 0 sellingQ3 23Q4 23: 0 buyingQ4 23: 1 sellingQ1 24: 1 buyingQ1 24: 0 sellingQ1 24Q2 24: 0 buyingQ2 24: 0 sellingQ3 24: 0 buyingQ3 24: 0 sellingQ3 24
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q4 20220—0——
Q1 20230—0——
Q2 20230—0——
Q3 20230—0——
Q4 20230—1$10.8k—
Q1 20241$107.9k0——
Q2 20240—0——
Q3 20240—0——

None reported in Q3 2024.

Holders, Q3 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 5,164,0745.2m $45.5m $45.5m 0.00% Reduced -29.3k -29,330
2 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 2,775,1872.8m $24.5m $24.5m 0.01% Reduced -14.3k -14,295
3 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 2,428,0682.4m $21.4m $21.4m 0.00% Reduced -96.0k -95,969
4 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 2,173,7482.2m $19.2m $19.2m 0.00% Added +376.8k +376,835
5 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.65% of their portfolio ORLANDO, FL 2,104,1422.1m $238.6k $238.6k 0.65% Added +1.9m +1,854,254
6 Penserra Capital Management LLC 0.35% of their portfolio ORINDA, CA 1,839,2481.8m $16.2m $16.2m 0.35% Added +249.8k +249,794
7 Congress Park Capital LLC 4.89% of their portfolio SARATOGA SPRINGS, NY 1,494,2381.5m $13.2m $13.2m 4.89% Added +232.6k +232,590
8 GUGGENHEIM CAPITAL LLC 0.09% of their portfolio CHICAGO, IL 1,480,5151.5m $13.1m $13.1m 0.09% Added +69.4k +69,357
9 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 1,026,0791.0m $9.0m $9.0m 0.00% Added +491 +491
10 Advisors Asset Management, Inc. 0.16% of their portfolio Monument, CO 1,017,7961.0m $9.0m $9.0m 0.16% Added +87.0k +87,029
11 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 935,473935.5k $8.3m $8.3m 0.01% Added +10.2k +10,218
12 UBS Group AG 0.00% of their portfolio ZURICH, V8 917,465917.5k $8.1m $8.1m 0.00% Reduced -28.1k -28,136
13 Pathstone Holdings, LLC 0.04% of their portfolio ENGLEWOOD, NJ 911,821911.8k $8.0m $8.0m 0.04% Added +529.7k +529,677
14 Rockefeller Capital Management L.P. 0.02% of their portfolio NEW YORK, NY 753,641753.6k $6.6m $6.6m 0.02% Added +30.5k +30,509
15 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 712,170712.2k $6.3m $6.3m 0.00% Reduced -453.6k -453,563
16 COHEN & STEERS, INC. 0.01% of their portfolio NEW YORK, NY 711,052711.1k $6.3m $6.3m 0.01% Added +35.0k +35,000
17 Thomas J. Herzfeld Advisors, Inc. 1.90% of their portfolio MIAMI BEACH, FL 648,025648.0k $5.7m $5.7m 1.90% Reduced -111.4k -111,355
18 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 624,921624.9k $5.5m $5.5m 0.00% Added +21.1k +21,150
19 Cyndeo Wealth Partners, LLC 0.34% of their portfolio ST. PETERSBURG, FL 557,450557.5k $4.9m $4.9m 0.34% Added +81.0k +80,981
20 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 518,616518.6k $4.6m $4.6m 0.01% Added +8.3k +8,282
21 Coastal Bridge Advisors, LLC 1.04% of their portfolio WESTPORT, CT 478,022478.0k $4.2m $4.2m 1.04% Added +35.6k +35,568
22 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 450,548450.5k $4.0m $4.0m 0.00% Reduced -3.6k -3,563
23 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 383,247383.2k $3.4m $3.4m 0.00% Reduced -97.5k -97,506
24 RFG Advisory, LLC 0.10% of their portfolio BIRMINGHAM, AL 382,375382.4k $3.4m $3.4m 0.10% Added +2.4k +2,400
25 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 377,773377.8k $3.3m $3.3m 0.01% Added +27.7k +27,682
26 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 363,464363.5k $3.2m $3.2m 0.01% Added +11.3k +11,265
27 Capital Investment Advisors, LLC 0.05% of their portfolio ATLANTA, GA 290,521290.5k $2.6m $2.6m 0.05% Added +2.0k +2,005
28 GraniteShares Advisors LLC 1.69% of their portfolio NEW YORK, NY 283,337283.3k $2.5m $2.5m 1.69% Added +46.0k +46,027
29 Next Capital Management LLC 0.86% of their portfolio NEW YORK, NY 237,911237.9k $2.1m $2.1m 0.86% Reduced -306.7k -306,679
30 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 228,523228.5k $2.0m $2.0m 0.01% Reduced -8.2k -8,172
31 PREVAIL INNOVATIVE WEALTH ADVISORS, LLC 0.59% of their portfolio LEAWOOD, KS 219,419219.4k $1.9m $1.9m 0.59% Reduced -5.4k -5,434
32 Kades & Cheifetz LLC 1.10% of their portfolio Berwyn, PA 216,960217.0k $1.9m $1.9m 1.10% Added +7.7k +7,664
33 Shaker Financial Services, LLC 0.59% of their portfolio Arlington, VA 177,054177.1k $1.6m $1.6m 0.59% New
34 Byrne Asset Management LLC 1.05% of their portfolio KINGSTON, NJ 175,000175.0k $1.5m $1.5m 1.05% Reduced -27.1k -27,100
35 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 173,267173.3k $1.5m $1.5m 0.00% Unchanged
36 Aviance Capital Partners, LLC 0.20% of their portfolio NAPLES, FL 169,416169.4k $1.5m $1.5m 0.20% Added +1.2k +1,197
37 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 163,932163.9k $1.4m $1.4m 0.01% Reduced -41.8k -41,818
38 HORIZON KINETICS ASSET MANAGEMENT LLC 0.02% of their portfolio NEW YORK, NY 144,118144.1k $1.3m $1.3m 0.02% Added +23.6k +23,594
39 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 133,400133.4k $1.2m $1.2m 0.00% Reduced -13.1k -13,051
40 MELFA WEALTH MANAGEMENT, INC. 0.68% of their portfolio WESTBOROUGH, MA 117,599117.6k $1.0m $1.0m 0.68% Reduced -8.5k -8,500
41 MISSION WEALTH MANAGEMENT, LP 0.03% of their portfolio Santa Barbara, CA 117,366117.4k $1.0m $1.0m 0.03% Reduced -9.3k -9,343
42 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 117,113117.1k $1.0m $1.0m 0.00% Added +14.0k +13,961
43 INDEPENDENT FINANCIAL GROUP, LLC 0.04% of their portfolio SAN DIEGO, CA 116,819116.8k $1.0m $1.0m 0.04% Reduced -23.9k -23,943
44 NATIXIS 0.01% of their portfolio PARIS, I0 116,009116.0k $1.0m $1.0m 0.01% Added +3.6k +3,575
45 Walleye Capital LLC 0.01% of their portfolio NEW YORK, NY 110,833110.8k $977.5k $977.5k 0.01% New
46 Sanctuary Advisors, LLC 0.01% of their portfolio INDIANAPOLIS, IN 101,936101.9k $916.4k $916.4k 0.01% Reduced -16.7k -16,712
47 GILL CAPITAL PARTNERS, LLC 0.32% of their portfolio DENVER, CO 100,381100.4k $885.4k $885.4k 0.32% Unchanged
48 Bramshill Investments, LLC 0.09% of their portfolio NAPLES, FL 93,39093.4k $823.7k $823.7k 0.09% Reduced -10.9k -10,884
49 1607 Capital Partners, LLC 0.07% of their portfolio Richmond, VA 87,49787.5k $771.7k $771.7k 0.07% Reduced -110.7k -110,700
50 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 86,84386.8k $766.0k $766.0k 0.00% Reduced -987 -987
51 CHOREO, LLC 0.01% of their portfolio ROCKFORD, IL 86,27586.3k $759.2k $759.2k 0.01% Reduced -23.4k -23,383
52 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 86,12786.1k $759.6k $759.6k 0.00% Added +2.4k +2,405
53 VIRTUS ADVISERS, LLC 0.34% of their portfolio HARTFORD, CT 81,68981.7k $720.5k $720.5k 0.34% Reduced -22.4k -22,416
54 Sigma Planning Corp 0.02% of their portfolio ANN ARBOR, MI 77,87877.9k $686.9k $686.9k 0.02% Reduced -5.0k -4,976
55 Gladstone Institutional Advisory LLC 0.03% of their portfolio Bedminster, NJ 77,00577.0k $679.2k $679.2k 0.03% Added +8.6k +8,640
56 HARBOUR INVESTMENTS, INC. 0.02% of their portfolio MADISON, WI 75,78575.8k $668.4k $668.4k 0.02% Added +2.9k +2,888
57 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 75,10375.1k $662.4k $662.4k 0.00% Added +3.6k +3,553
58 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 74,58174.6k $645.1k $645.1k 0.01% Unchanged
59 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 70,24370.2k $619.5k $619.5k 0.01% Reduced -3.5k -3,502
60 WEDBUSH SECURITIES INC 0.02% of their portfolio PASADENA, CA 68,87268.9k $607.0k $607.0k 0.02% Added +16.8k +16,805
61 Edgemoor Investment Advisors, Inc. 0.05% of their portfolio BETHESDA, MD 64,54764.5k $569.3k $569.3k 0.05% Reduced -1.9k -1,900
62 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 63,10963.1k $556.6k $556.6k 0.00% Reduced -9.5k -9,511
63 Seelaus Asset Management LLC 0.50% of their portfolio CHATHAM, NJ 61,50061.5k $542.4k $542.4k 0.50% Reduced -1.2k -1,250
64 Andrew Hill Investment Advisors, Inc. 0.39% of their portfolio NAPLES, FL 59,05459.1k $520.9k $520.9k 0.39% Added +1.0k +1,000
65 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 58,51358.5k $516.1k $516.1k 0.00% Added +178 +178
66 Koshinski Asset Management, Inc. 0.04% of their portfolio DECATUR, IL 57,25757.3k $505.0k $505.0k 0.04% Reduced -1.4k -1,380
67 CONNING INC. 0.02% of their portfolio HARTFORD, CT 54,00054.0k $476.3k $476.3k 0.02% Unchanged
68 Concurrent Investment Advisors, LLC 0.01% of their portfolio Tampa, FL 50,17850.2k $442.6k $442.6k 0.01% Reduced -125 -125
69 CoreCap Advisors, LLC 0.02% of their portfolio SOUTHFIELD, MI 50,04150.0k $441.4k $441.4k 0.02% Reduced -11.7k -11,690
70 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 48,49648.5k $429.0k $429.0k 0.00% Added +25.2k +25,197
71 E&G Advisors, LLC 0.10% of their portfolio HOUSTON, TX 42,29942.3k $373.1k $373.1k 0.10% Reduced -721 -721
72 Fortitude Advisory Group L.L.C. 0.23% of their portfolio GIG HARBOR, WA 40,98141.0k $361.4k $361.4k 0.23% Added +567 +567
73 HRT FINANCIAL LP 0.00% of their portfolio NEW YORK, NY 38,39438.4k $338.0k $338.0k 0.00% Added +15.9k +15,859
74 COMERICA BANK 0.00% of their portfolio DALLAS, TX 37,74337.7k $332.9k $332.9k 0.00% Reduced -1.0k -1,006
75 Western Wealth Management, LLC 0.02% of their portfolio GOLDEN, CO 36,92836.9k $325.7k $325.7k 0.02% New
76 HBK Sorce Advisory LLC 0.01% of their portfolio ERIE, PA 35,19935.2k $310.5k $310.5k 0.01% Unchanged
77 CAROLINAS WEALTH CONSULTING LLC 0.06% of their portfolio CHARLOTTE, NC 34,42034.4k $306.5k $306.5k 0.06% Added +15.3k +15,331
78 CALTON & ASSOCIATES, INC. 0.11% of their portfolio Tampa, FL 33,75033.8k $297.7k $297.7k 0.11% New
79 Kovack Advisors, Inc. 0.03% of their portfolio FT. LAUDERDALE, FL 33,20533.2k $292.9k $292.9k 0.03% Reduced -10.3k -10,253
80 Farther Finance Advisors, LLC 0.01% of their portfolio SAN FRANCISCO, CA 33,12233.1k $291.9k $291.9k 0.01% Reduced -1.1k -1,118
81 WORLD EQUITY GROUP, INC. 0.11% of their portfolio SCHAUMBURG, IL 33,04633.0k $291.5k $291.5k 0.11% New
82 Integrated Wealth Concepts LLC 0.00% of their portfolio WALTHAM, MA 30,36430.4k $267.8k $267.8k 0.00% Reduced -19.2k -19,234
83 SHEETS SMITH WEALTH MANAGEMENT 0.03% of their portfolio WINSTON-SALEM, NC 30,00730.0k $264.7k $264.7k 0.03% Unchanged
84 RVW Wealth, LLC 0.02% of their portfolio LOS ANGELES, CA 29,03729.0k $256.1k $256.1k 0.02% Unchanged
85 MML INVESTORS SERVICES, LLC 0.00% of their portfolio SPRINGFIELD, MA 28,14028.1k $248.0k $248.0k 0.00% Added +8.7k +8,698
86 D.A. DAVIDSON & CO. 0.00% of their portfolio GREAT FALLS, MT 27,93227.9k $246.4k $246.4k 0.00% Reduced -4.1k -4,071
87 Laird Norton Wetherby Wealth Management, LLC 0.01% of their portfolio Seattle, WA 27,16527.2k $239.6k $239.6k 0.01% Added +1.8k +1,768
88 Diversify Advisory Services, LLC 0.01% of their portfolio SANDY, UT 26,62526.6k $235.4k $235.4k 0.01% Unchanged
89 Quadcap Wealth Management, LLC 0.04% of their portfolio Frisco, TX 25,84325.8k $227.9k $227.9k 0.04% Reduced -570 -570
90 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 25,61925.6k $226.0k $226.0k 0.00% Reduced -53.9k -53,881
91 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.02% of their portfolio CEDAR RAPIDS, IA 24,57024.6k $216.7k $216.7k 0.02% Added +4.2k +4,193
92 Centurion Wealth Management LLC 0.07% of their portfolio Mclean, VA 23,92423.9k $211.0k $211.0k 0.07% First filing
93 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 23,60023.6k $208.2k $208.2k 0.00% Reduced -951 -951
94 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 23,39523.4k $206.3k $206.3k 0.00% Added +308 +308
95 NWF Advisory Services Inc. 0.03% of their portfolio Los Angeles, CA 23,10223.1k $203.8k $203.8k 0.03% Added +8.9k +8,900
96 Shulman DeMeo Asset Management LLC 0.05% of their portfolio LAKE SUCCESS, NY 21,81721.8k $192.4k $192.4k 0.05% Reduced -751 -751
97 JONES ROAD CAPITAL MANAGEMENT, L.P. 0.15% of their portfolio NEW YORK, NY 21,80421.8k $192.3k $192.3k 0.15% Added +464 +464
98 Klingman & Associates, LLC 0.01% of their portfolio New York, NY 20,14320.1k $177.7k $177.7k 0.01% Unchanged
99 Chicago Partners Investment Group LLC 0.01% of their portfolio CHICAGO, IL 19,98220.0k $175.8k $175.8k 0.01% Added +3.0k +2,965
100 Focus Partners Wealth 0.00% of their portfolio ST LOUIS, MO 19,52019.5k $172.2k $172.2k 0.00% Unchanged