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

Institutional Holders (2016Q4)
Portfolio Summary: 63 Institutional holders with a total value of $95,447,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 THOMPSON DAVIS & CO., INC. 250 1,000 0.00%
2 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 167 1,000 0.00%
3 REILLY FINANCIAL ADVISORS, LLC 612 3,000 0.00%
4 MANUFACTURERS LIFE INSURANCE COMPANY, THE 563 3,000 0.00%
5 Commonwealth Financial Services, LLC 704 4,000 0.00%
6 CITIGROUP INC 935 5,000 0.01%
7 CAPTRUST FINANCIAL ADVISORS 1,186 6,000 0.01%
8 Creative Planning 1,566 8,000 0.01%
9 MSI Financial Services Inc 1,645 9,000 0.01%
10 SYNOVUS FINANCIAL CORP 2,087 11,000 0.01%
11 NEXT Financial Group, Inc 2,400 13,000 0.01%
12 FIRST MANHATTAN CO. LLC. 3,028 16,000 0.02%
13 SOWELL FINANCIAL SERVICES LLC 4,450 23,000 0.02%
14 FNY PARTNERS FUND LP 4,386 24,000 0.03%
15 ACROSPIRE INVESTMENT MANAGEMENT LLC 5,600 30,000 0.03%
16 IFP ADVISORS, INC 8,689 47,000 0.05%
17 Stratos Wealth Partners, LTD. 10,000 54,000 0.06%
18 STONEBRIDGE CAPITAL MANAGEMENT INC 10,000 54,000 0.06%
19 LADENBURG THALMANN FINANCIAL SERVICES INC. 10,572 58,000 0.06%
20 CMT TRADING LLC 10,931 59,000 0.06%
21 SILVER CAPITAL MANAGEMENT LLC 11,400 61,000 0.06%
22 FDx Advisors, Inc. 13,462 72,000 0.08%
23 STIFEL FINANCIAL CORP 15,090 81,000 0.08%
24 FineMark National Bank & Trust 15,000 81,000 0.08%
25 Capital Investment Advisors, LLC 18,801 101,000 0.11%
26 TWO SIGMA SECURITIES, LLC 21,937 118,000 0.12%
27 AMERIPRISE FINANCIAL INC 22,189 119,000 0.12%
28 RAYMOND JAMES TRUST N.A. 22,247 119,000 0.12%
29 OPPENHEIMER & CO INC 24,850 133,000 0.14%
30 UBS Group AG 31,447 169,000 0.18%
31 STRATEGIC INVESTMENT MANAGEMENT, LLC 35,000 187,000 0.20%
32 ADVISOR GROUP, INC. 37,806 203,000 0.21%
33 Raymond James Financial Services Advisors, Inc. 46,396 249,000 0.26%
34 Neuberger Berman Group LLC 47,921 257,000 0.27%
35 OPERA TRADING CAPITAL 48,878 262,000 0.27%
36 STEWARD PARTNERS INVESTMENT ADVISORY, LLC 49,880 267,000 0.28%
37 Commonwealth Equity Services, Inc 63,619 342,000 0.36%
38 Cambridge Investment Research Advisors, Inc. 75,504 405,000 0.42%
39 DOLIVER ADVISORS, LP 81,982 440,000 0.46%
40 ROYAL BANK OF CANADA 84,384 453,000 0.47%
41 Saba Capital Management, L.P. 85,333 458,000 0.48%
42 FLAGSHIP HARBOR ADVISORS, LLC 119,815 632,000 0.66%
43 NORTH STAR ASSET MANAGEMENT INC 119,013 639,000 0.67%
44 GUGGENHEIM CAPITAL LLC 121,251 651,000 0.68%
45 Alpine Global Management, LLC 125,000 671,000 0.70%
46 CLOUGH CAPITAL PARTNERS L P 139,058 747,000 0.78%
47 LPL Financial LLC 142,914 765,000 0.80%
48 COHEN & STEERS, INC. 180,775 971,000 1.02%
49 SIT INVESTMENT ASSOCIATES INC 270,510 1,453,000 1.52%
50 POTRERO CAPITAL RESEARCH LLC 278,611 1,496,000 1.57%
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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.