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NEUBERGER BERMAN RE ES SEC FD
NEUBERGER BERMAN RE ES SEC FD. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 62 Institutional holders with a total value of $85,896,400.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 3,639,022 19,250,000 22.41%
2 WELLS FARGO & COMPANY/MN 2,368,693 12,531,000 14.59%
3 Advisors Asset Management, Inc. 1,340,148 7,089,000 8.25%
4 CORNERSTONE ADVISORS INC 1,122,549 5,938,000 6.91%
5 SUN LIFE FINANCIAL INC 200 5,147,000 5.99%
6 RIVERNORTH CAPITAL MANAGEMENT, LLC 966,559 5,113,000 5.95%
7 RAYMOND JAMES & ASSOCIATES 916,327 4,847,000 5.64%
8 1607 Capital Partners, LLC 730,898 3,866,000 4.50%
9 BANK OF AMERICA CORP /DE/ 666,438 3,525,000 4.10%
10 WOLVERINE ASSET MANAGEMENT LLC 420,741 2,225,000 2.59%
11 CSS LLC/IL 377,507 1,997,000 2.32%
12 Bulldog Investors, LLP 359,824 1,903,000 2.22%
13 DOLIVER ADVISORS, LP 244,536 1,293,000 1.51%
14 VSR Financial Services, Inc. 213,148 1,132,000 1.32%
15 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 209,130 1,103,000 1.28%
16 BNP PARIBAS FINANCIAL MARKETS 156,130 825,928 0.96%
17 Yakira Capital Management, Inc. 151,351 801,000 0.93% SH
18 NORTH STAR ASSET MANAGEMENT INC 143,055 757,000 0.88%
19 UBS Group AG 109,632 580,000 0.68%
20 Commonwealth Equity Services, Inc 99,981 529,000 0.62%
21 LPL Financial LLC 97,669 517,000 0.60%
22 ROYAL BANK OF CANADA 96,656 511,000 0.59%
23 MSI Financial Services Inc 81,217 430,000 0.50%
24 KING INVESTMENT ADVISORS INC/TX 72,270 382,000 0.44%
25 GUGGENHEIM CAPITAL LLC 61,092 324,000 0.38%
26 AQR CAPITAL MANAGEMENT LLC 59,526 315,000 0.37%
27 SHEPHERD KAPLAN KROCHUK, LLC 59,250 313,000 0.36%
28 SG Americas Securities, LLC 51,666 273,000 0.32%
29 GEODE CAPITAL MANAGEMENT, LLC 50,301 266,000 0.31% PRN
30 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 49,045 259,000 0.30%
31 Neuberger Berman Group LLC 48,375 255,000 0.30%
32 OPPENHEIMER & CO INC 35,557 188,000 0.22%
33 Shaker Financial Services, LLC 33,000 175,000 0.20%
34 Capital Investment Advisors, LLC 24,385 129,000 0.15%
35 Round Table Services, LLC 23,600 125,000 0.15%
36 AMERIPRISE FINANCIAL INC 23,114 122,000 0.14%
37 RAYMOND JAMES TRUST N.A. 19,947 106,000 0.12%
38 Stratos Wealth Partners, LTD. 20,000 105,900 0.12%
39 CARRET ASSET MANAGEMENT, LLC 16,305 86,000 0.10%
40 LADENBURG THALMANN FINANCIAL SERVICES INC. 15,402 81,000 0.09%
41 TFS CAPITAL LLC 13,239 70,000 0.08%
42 PANAGORA ASSET MANAGEMENT INC 12,732 67,000 0.08%
43 STONEBRIDGE CAPITAL MANAGEMENT INC 10,000 53,000 0.06%
44 REGENTATLANTIC CAPITAL LLC 9,020 47,716 0.06%
45 Thomas J. Herzfeld Advisors, Inc. 7,216 38,000 0.04%
46 SIGNATUREFD, LLC 7,200 38,000 0.04%
47 Creative Planning 5,332 28,000 0.03%
48 ENVESTNET ASSET MANAGEMENT INC 4,539 24,000 0.03%
49 WealthTrust Fairport, LLC 3,987 21,000 0.02%
50 AMERICAN INTERNATIONAL GROUP, INC. 3,322 17,573 0.02%
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From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.