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

Institutional Holders (2017Q2)
Portfolio Summary: 56 Institutional holders with a total value of $54,141,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Bulldog Investors, LLP 1,818,319 9,819,000 18.14%
2 Advisors Asset Management, Inc. 1,622,559 8,762,000 16.18%
3 PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. 1,027,222 5,547,000 10.25%
4 WELLS FARGO & COMPANY/MN 722,441 3,901,000 7.21%
5 1607 Capital Partners, LLC 517,471 2,794,000 5.16%
6 WOLVERINE ASSET MANAGEMENT LLC 503,169 2,717,000 5.02%
7 BANK OF AMERICA CORP /DE/ 485,134 2,620,000 4.84%
8 Laurion Capital Management LP 402,360 2,173,000 4.01%
9 CSS LLC/IL 365,542 1,974,000 3.65%
10 MORGAN STANLEY 309,845 1,674,000 3.09%
11 RAYMOND JAMES & ASSOCIATES 280,534 1,515,000 2.80%
12 COHEN & STEERS, INC. 247,166 1,335,000 2.47%
13 CLOUGH CAPITAL PARTNERS L P 233,200 1,259,000 2.33%
14 BANK OF NOVA SCOTIA 195,670 1,057,000 1.95%
15 FLAGSHIP HARBOR ADVISORS, LLC 117,365 626,000 1.16%
16 ROYAL BANK OF CANADA 85,672 463,000 0.86%
17 OPPENHEIMER & CO INC 77,416 418,000 0.77%
18 Cambridge Investment Research Advisors, Inc. 74,678 403,000 0.74%
19 NORTH STAR ASSET MANAGEMENT INC 73,009 394,000 0.73%
20 Commonwealth Equity Services, Inc 72,877 394,000 0.73%
21 Strategic Advisors LLC 66,460 359,000 0.66%
22 AE WEALTH MANAGEMENT LLC 62,279 336,000 0.62%
23 STEWARD PARTNERS INVESTMENT ADVISORY, LLC 60,831 328,000 0.61%
24 Saba Capital Management, L.P. 53,762 290,000 0.54%
25 DOLIVER ADVISORS, LP 49,867 271,000 0.50%
26 ADVISOR GROUP, INC. 49,592 268,000 0.50%
27 Neuberger Berman Group LLC 47,921 259,000 0.48%
28 LPL Financial LLC 35,564 192,000 0.35%
29 OPERA TRADING CAPITAL 31,024 168,000 0.31%
30 Raymond James Financial Services Advisors, Inc. 31,125 168,000 0.31%
31 LADENBURG THALMANN FINANCIAL SERVICES INC. 30,093 163,000 0.30%
32 Invesco Ltd. 25,651 139,000 0.26%
33 AMERIPRISE FINANCIAL INC 24,551 133,000 0.25%
34 UBS Group AG 23,964 129,000 0.24%
35 MILLENNIUM MANAGEMENT LLC 23,536 127,000 0.23%
36 RAYMOND JAMES TRUST N.A. 18,813 102,000 0.19%
37 Capital Investment Advisors, LLC 17,169 93,000 0.17%
38 PARAMETRIC PORTFOLIO ASSOCIATES LLC 16,484 89,000 0.16%
39 FineMark National Bank & Trust 15,112 82,000 0.15%
40 EULAV Asset Management 14,395 78,000 0.14%
41 Concert Wealth Management Inc. 13,416 70,000 0.13%
42 STIFEL FINANCIAL CORP 12,920 69,000 0.13%
43 GUGGENHEIM CAPITAL LLC 11,459 62,000 0.11%
44 MML INVESTORS SERVICES, INC. 10,233 55,000 0.10%
45 STONEBRIDGE CAPITAL MANAGEMENT INC 10,000 54,000 0.10%
46 BB&T SECURITIES, LLC 10,000 54,000 0.10%
47 Stratos Wealth Partners, LTD. 10,000 54,000 0.10%
48 IFP ADVISORS, INC 9,079 49,000 0.09%
49 FIRST MANHATTAN CO. LLC. 3,028 16,000 0.03%
50 MOUNTAIN CAPITAL INVESTMENT ADVISORS INC. 2,654 14,000 0.03%
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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.