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

Institutional Holders (2015Q4)
Portfolio Summary: 70 Institutional holders with a total value of $94,445,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 JPMORGAN CHASE & CO 1,124,429 11,019,000 11.67%
2 Invesco Ltd. 963,800 9,445,000 10.00%
3 GUGGENHEIM CAPITAL LLC 908,003 8,900,000 9.42%
4 MORGAN STANLEY 880,240 8,626,000 9.13%
5 BANK OF AMERICA CORP /DE/ 630,991 6,184,000 6.55%
6 Yorktown Management & Research Co Inc 493,000 4,831,000 5.12%
7 Windsor Capital Management, LLC 328,569 3,219,000 3.41%
8 RIVERNORTH CAPITAL MANAGEMENT, LLC 309,495 3,033,000 3.21%
9 Gradient Investments LLC 288,463 2,827,000 2.99%
10 Advisors Asset Management, Inc. 275,851 2,703,000 2.86%
11 EATON VANCE MANAGEMENT 269,352 2,640,000 2.80%
12 Trust Asset Management LLC 268,601 2,632,000 2.79%
13 MARINER INVESTMENT GROUP LLC 265,376 2,601,000 2.75%
14 Kohlberg Kravis Roberts & Co. L.P. 240,100 2,353,000 2.49%
15 LPL Financial LLC 239,609 2,346,000 2.48%
16 Stratos Wealth Partners, LTD. 230,281 2,257,000 2.39%
17 COHEN & STEERS, INC. 147,474 1,445,000 1.53%
18 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 136,014 1,333,000 1.41%
19 PARAMETRIC PORTFOLIO ASSOCIATES LLC 94,960 931,000 0.99%
20 BLACKROCK ADVISORS LLC 91,512 897,000 0.95%
21 Kellner Capital, LLC 85,866 841,000 0.89%
22 WELLS FARGO & COMPANY/MN 85,698 839,000 0.89%
23 ProVise Management Group, LLC 84,802 831,000 0.88%
24 Horizon Kinetics LLC 80,769 792,000 0.84%
25 Raymond James Financial Services Advisors, Inc. 71,763 703,000 0.74%
26 Squarepoint Ops LLC 68,896 675,000 0.71%
27 SG Americas Securities, LLC 67,950 666,000 0.71%
28 AMERIPRISE FINANCIAL INC 65,431 641,000 0.68%
29 Shaker Financial Services, LLC 57,890 567,000 0.60%
30 LADENBURG THALMANN FINANCIAL SERVICES INC. 55,633 545,000 0.58%
31 ROYAL BANK OF CANADA 50,266 492,000 0.52%
32 HUNTINGTON NATIONAL BANK 48,740 478,000 0.51% PRN
33 INVESTMENT CENTERS OF AMERICA INC 47,521 467,000 0.49%
34 Weiss Asset Management LP 45,924 450,000 0.48%
35 Aviance Capital Partners, LLC 44,977 441,000 0.47%
36 UBS Group AG 39,221 384,000 0.41%
37 ROBINSON CAPITAL MANAGEMENT, LLC 35,335 346,000 0.37%
38 ZAZOVE ASSOCIATES LLC 34,542 339,000 0.36%
39 WALTER & KEENAN WEALTH MANAGEMENT LLC /IN/ /ADV 31,100 305,000 0.32%
40 Carnick & Kubik, LLC 30,953 303,000 0.32%
41 CAXTON CORP 26,314 258,000 0.27%
42 TIEMANN INVESTMENT ADVISORS, LLC 23,441 230,000 0.24%
43 Virtu KCG Holdings LLC 22,510 221,000 0.23%
44 Eos Management, L.P. 21,372 209,000 0.22%
45 Commonwealth Equity Services, Inc 21,122 207,000 0.22%
46 B. Riley Wealth Advisors, Inc. 19,734 194,000 0.21%
47 Cambridge Investment Research Advisors, Inc. 19,514 191,000 0.20%
48 Sigma Planning Corp 18,556 182,000 0.19%
49 Annex Advisory Services, LLC 18,492 181,000 0.19%
50 Carnegie Investment Counsel 15,200 143,000 0.15%
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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.