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

Institutional Holders (2015Q3)
Portfolio Summary: 55 Institutional holders with a total value of $59,913,014.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 1,978,705 9,122,000 15.23%
2 RIVERNORTH CAPITAL MANAGEMENT, LLC 1,670,515 7,701,000 12.85%
3 CORNERSTONE ADVISORS INC 1,122,549 5,175,000 8.64%
4 Advisors Asset Management, Inc. 1,079,431 4,976,000 8.31%
5 MORGAN STANLEY 923,528 4,257,000 7.11%
6 RAYMOND JAMES & ASSOCIATES 909,601 4,193,000 7.00%
7 BANK OF AMERICA CORP /DE/ 830,778 3,830,000 6.39%
8 SUN LIFE FINANCIAL INC 120 3,072,000 5.13%
9 1607 Capital Partners, LLC 664,081 3,061,000 5.11%
10 VSR Financial Services, Inc. 416,070 1,918,000 3.20%
11 CSS LLC/IL 395,470 1,823,000 3.04%
12 Yakira Capital Management, Inc. 375,004 1,729,000 2.89% SH
13 BANK OF NOVA SCOTIA 273,539 1,261,000 2.10%
14 NORTH STAR ASSET MANAGEMENT INC 135,262 624,000 1.04%
15 Virtu KCG Holdings LLC 128,947 594,000 0.99%
16 GUGGENHEIM CAPITAL LLC 120,574 556,000 0.93%
17 LPL Financial LLC 107,108 510,000 0.85%
18 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 98,716 455,000 0.76%
19 DOLIVER ADVISORS, LP 97,708 450,000 0.75%
20 AQR ARBITRAGE LLC 95,432 440,000 0.73%
21 ROYAL BANK OF CANADA 83,530 385,000 0.64%
22 MSI Financial Services Inc 81,112 374,000 0.62%
23 Oxbow Advisors, LLC 72,270 335,000 0.56%
24 PARAMETRIC PORTFOLIO ASSOCIATES LLC 72,113 332,000 0.55%
25 Raymond James Financial Services Advisors, Inc. 71,499 330,000 0.55%
26 WOLVERINE ASSET MANAGEMENT LLC 60,882 280,000 0.47%
27 SHEPHERD KAPLAN KROCHUK, LLC 59,250 273,000 0.46%
28 OPPENHEIMER & CO INC 57,494 265,000 0.44%
29 Commonwealth Equity Services, Inc 51,722 238,000 0.40%
30 Neuberger Berman Group LLC 48,375 223,000 0.37%
31 UBS Group AG 33,879 157,000 0.26%
32 Round Table Services, LLC 23,600 109,000 0.18%
33 RAYMOND JAMES TRUST N.A. 22,247 103,000 0.17%
34 Capital Investment Advisors, LLC 21,869 101,000 0.17%
35 Concert Wealth Management Inc. 20,381 97,000 0.16%
36 AMERIPRISE FINANCIAL INC 16,513 76,000 0.13%
37 CARRET ASSET MANAGEMENT, LLC 16,298 75,000 0.13%
38 LADENBURG THALMANN FINANCIAL SERVICES INC. 15,780 73,000 0.12%
39 ENVESTNET ASSET MANAGEMENT INC 12,446 57,000 0.10%
40 STONEBRIDGE CAPITAL MANAGEMENT INC 10,000 46,000 0.08%
41 Stratos Wealth Partners, LTD. 10,000 46,000 0.08%
42 AMERICAN INTERNATIONAL GROUP, INC. 8,022 37,000 0.06%
43 Thomas J. Herzfeld Advisors, Inc. 7,217 33,000 0.06%
44 SIGNATUREFD, LLC 7,200 33,000 0.06%
45 Creative Planning 5,332 25,000 0.04%
46 MassMutual Private Wealth & Trust, FSB 2,700 13,014 0.02%
47 FIRST MANHATTAN CO. LLC. 3,028 13,000 0.02%
48 SYNOVUS FINANCIAL CORP 2,087 10,000 0.02%
49 BENJAMIN F. EDWARDS & COMPANY, INC. 1,590 7,000 0.01%
50 Formidable Asset Management, LLC 1,450 6,000 0.01%
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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.