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NUVEEN FLTNG RTE INCM OPP FD
NUVEEN FLTNG RTE INCM OPP FD. Institutional holdings reported to the SEC.

Institutional Holders (2014Q2)
Portfolio Summary: 57 Institutional holders with a total value of $74,403,745.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Invesco Ltd. 1,488,712 18,504,000 24.87%
2 GUGGENHEIM CAPITAL LLC 1,101,774 13,694,000 18.40%
3 MORGAN STANLEY 666,812 8,288,000 11.14%
4 Advisors Asset Management, Inc. 367,207 4,564,000 6.13%
5 Windsor Capital Management, LLC 359,068 4,463,000 6.00%
6 LPL Financial LLC 276,547 3,437,000 4.62%
7 Trust Asset Management LLC 219,465 2,728,000 3.67%
8 Horizon Kinetics LLC 158,039 1,964,000 2.64%
9 ROYAL BANK OF CANADA 114,038 1,418,000 1.91%
10 Gradient Investments LLC 112,973 1,404,000 1.89%
11 CORNERSTONE ADVISORS INC 112,907 1,403,000 1.89%
12 ProVise Management Group, LLC 96,952 1,205,000 1.62%
13 UBS AG 81,214 1,009,000 1.36%
14 Cetera Advisors LLC 79,682 986,000 1.33%
15 BANK OF AMERICA CORP /DE/ 62,867 781,000 1.05%
16 WELLS FARGO & COMPANY/MN 59,468 739,000 0.99%
17 AMERIPRISE FINANCIAL INC 48,647 611,000 0.82%
18 TIEMANN INVESTMENT ADVISORS, LLC 43,278 538,000 0.72%
19 RAYMOND JAMES & ASSOCIATES 42,376 527,000 0.71%
20 WALTER & KEENAN WEALTH MANAGEMENT LLC /IN/ /ADV 40,600 505,000 0.68%
21 OPPENHEIMER & CO INC 39,898 496,000 0.67%
22 ZAZOVE ASSOCIATES LLC 34,542 429,000 0.58%
23 Cambridge Investment Research Advisors, Inc. 29,253 364,000 0.49%
24 WEDBUSH SECURITIES INC 25,980 323,000 0.43%
25 INVESTMENT CENTERS OF AMERICA INC 25,293 314,000 0.42%
26 SELZ CAPITAL LLC 25,000 311,000 0.42%
27 Commonwealth Equity Services, Inc 24,179 301,000 0.40%
28 JPMORGAN CHASE & CO 24,000 298,000 0.40%
29 NEW ENGLAND SECURITIES CORP /MA/ 22,834 284,000 0.38%
30 COHEN & STEERS, INC. 22,227 276,000 0.37%
31 Annex Advisory Services, LLC 18,442 229,000 0.31%
32 NATIONAL PLANNING CORP 17,483 217,000 0.29%
33 LADENBURG THALMANN FINANCIAL SERVICES INC. 16,388 204,000 0.27%
34 VICUS CAPITAL 15,655 195,000 0.26%
35 BNP PARIBAS FINANCIAL MARKETS 15,150 188,315 0.25%
36 Bank of New York Mellon Corp 14,301 178,000 0.24%
37 First Allied Advisory Services, Inc. 12,091 151,000 0.20%
38 SHEETS SMITH WEALTH MANAGEMENT 11,400 142,000 0.19%
39 SeaBridge Investment Advisors LLC 8,910 111,000 0.15%
40 D.A. DAVIDSON & CO. 8,500 105,000 0.14%
41 WOLVERINE ASSET MANAGEMENT LLC 7,196 89,000 0.12%
42 OPTIMUM INVESTMENT ADVISORS 7,000 87,000 0.12%
43 TCI Wealth Advisors, Inc. 7,000 87,000 0.12%
44 Creative Planning 3,656 45,000 0.06%
45 Compagnie Lombard Odier SCmA 3,500 44,000 0.06%
46 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 3,333 41,000 0.06%
47 Thomas J. Herzfeld Advisors, Inc. 2,000 25,000 0.03%
48 PNC FINANCIAL SERVICES GROUP, INC. 2,000 24,000 0.03%
49 Focused Wealth Management, Inc 1,600 20,000 0.03%
50 Financial Architects, Inc 1,125 14,000 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.