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NUVEEN CORE EQUITY ALPHA FD
NUVEEN CORE EQUITY ALPHA FD. Institutional holdings reported to the SEC.

Institutional Holders (2016Q1)
Portfolio Summary: 40 Institutional holders with a total value of $118,059,338.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GFS Advisors, LLC 558,149 40,950,000 34.69%
2 USCA RIA LLC 558,149 40,950,000 34.69%
3 Karpus Management, Inc. 579,747 7,902,000 6.69%
4 Advisors Asset Management, Inc. 384,619 5,242,000 4.44%
5 RAYMOND JAMES & ASSOCIATES 279,701 3,812,000 3.23%
6 GUGGENHEIM CAPITAL LLC 215,286 2,934,000 2.49%
7 UBS Group AG 208,853 2,847,000 2.41%
8 BANK OF AMERICA CORP /DE/ 131,732 1,796,000 1.52%
9 LPL Financial LLC 104,697 1,410,000 1.19%
10 Raymond James Financial Services Advisors, Inc. 100,139 1,365,000 1.16%
11 MORGAN STANLEY 86,671 1,181,000 1.00%
12 WELLS FARGO & COMPANY/MN 74,382 1,014,000 0.86%
13 BANK OF NOVA SCOTIA 68,187 929,000 0.79%
14 AUSDAL FINANCIAL PARTNERS, INC. 58,483 797,000 0.68%
15 ROYAL BANK OF CANADA 53,661 731,000 0.62%
16 Invesco Ltd. 46,655 636,000 0.54%
17 Shaker Financial Services, LLC 38,529 525,000 0.44%
18 Jacobus Wealth Management, Inc. 35,527 484,000 0.41%
19 DOLIVER ADVISORS, LP 33,545 457,000 0.39%
20 Weiss Asset Management LP 31,574 430,000 0.36%
21 Commonwealth Equity Services, Inc 15,996 218,000 0.18%
22 AMERICAN INTERNATIONAL GROUP, INC. 14,215 194,000 0.16%
23 Janney Montgomery Scott LLC 13,496 184,000 0.16%
24 OPPENHEIMER & CO INC 13,388 183,000 0.16%
25 PNC FINANCIAL SERVICES GROUP, INC. 12,375 168,000 0.14%
26 RAYMOND JAMES TRUST N.A. 10,165 139,000 0.12%
27 GENEOS WEALTH MANAGEMENT INC. 9,290 126,000 0.11%
28 IFP ADVISORS, INC 8,857 121,000 0.10%
29 Formidable Asset Management, LLC 6,500 86,000 0.07%
30 CITIGROUP INC 5,347 73,000 0.06%
31 Thomas J. Herzfeld Advisors, Inc. 4,616 63,000 0.05%
32 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,240 58,000 0.05%
33 Creative Planning 1,503 20,000 0.02%
34 SONORA INVESTMENT MANAGEMENT, LLC 700 9,338 0.01%
35 People's United Financial, Inc. 575 8,000 0.01%
36 ADVOCACY WEALTH MANAGEMENT SERVICES, LLC 400 5,000 0.00%
37 Hoxton Financial, Inc. 351 5,000 0.00%
38 Tower Research Capital LLC (TRC) 320 4,000 0.00%
39 FineMark National Bank & Trust 142 2,000 0.00%
40 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 100 1,000 0.00%

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.