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

Institutional Holders (2016Q1)
Portfolio Summary: 65 Institutional holders with a total value of $94,361,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 JPMORGAN CHASE & CO 1,194,429 11,813,000 12.52%
2 MORGAN STANLEY 936,218 9,259,000 9.81%
3 GUGGENHEIM CAPITAL LLC 871,217 8,617,000 9.13%
4 Invesco Ltd. 860,359 8,509,000 9.02%
5 BANK OF AMERICA CORP /DE/ 694,311 6,866,000 7.28%
6 RIVERNORTH CAPITAL MANAGEMENT, LLC 503,492 4,980,000 5.28%
7 Yorktown Management & Research Co Inc 493,000 4,876,000 5.17%
8 MARINER INVESTMENT GROUP LLC 369,561 3,655,000 3.87%
9 WELLS FARGO & COMPANY/MN 308,543 3,051,000 3.23%
10 Gradient Investments LLC 294,453 2,912,000 3.09%
11 EATON VANCE MANAGEMENT 269,352 2,648,000 2.81%
12 LPL Financial LLC 248,032 2,443,000 2.59%
13 Stratos Wealth Partners, LTD. 182,770 1,808,000 1.92%
14 Windsor Capital Management, LLC 180,636 1,786,000 1.89%
15 UBS Group AG 173,471 1,716,000 1.82%
16 COHEN & STEERS, INC. 147,474 1,459,000 1.55%
17 Raymond James Financial Services Advisors, Inc. 147,019 1,454,000 1.54%
18 CREDIT SUISSE AG/ 118,036 1,167,000 1.24%
19 PARAMETRIC PORTFOLIO ASSOCIATES LLC 95,159 941,000 1.00%
20 HUNTINGTON NATIONAL BANK 78,521 913,000 0.97% PRN
21 ROBINSON CAPITAL MANAGEMENT, LLC 91,706 907,000 0.96%
22 BLACKROCK ADVISORS LLC 91,512 905,000 0.96%
23 Kellner Capital, LLC 85,866 849,000 0.90%
24 ProVise Management Group, LLC 84,519 836,000 0.89%
25 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 84,339 834,000 0.88%
26 Advisors Asset Management, Inc. 82,066 812,000 0.86%
27 PROFICIO CAPITAL PARTNERS LLC 74,540 737,000 0.78%
28 Horizon Kinetics LLC 74,280 735,000 0.78%
29 INVESTMENT CENTERS OF AMERICA INC 61,937 617,000 0.65%
30 AMERIPRISE FINANCIAL INC 54,343 537,000 0.57%
31 LADENBURG THALMANN FINANCIAL SERVICES INC. 52,986 524,000 0.56%
32 SG Americas Securities, LLC 39,152 387,000 0.41%
33 Aviance Capital Partners, LLC 38,777 384,000 0.41%
34 ROYAL BANK OF CANADA 38,725 383,000 0.41%
35 Carnick & Kubik, LLC 34,531 342,000 0.36%
36 ZAZOVE ASSOCIATES LLC 34,542 342,000 0.36%
37 TELEMUS CAPITAL, LLC 29,213 289,000 0.31%
38 Capital Investment Advisors, LLC 28,278 280,000 0.30%
39 Trust Asset Management LLC 27,303 270,000 0.29%
40 B. Riley Wealth Advisors, Inc. 24,416 241,000 0.26%
41 TIEMANN INVESTMENT ADVISORS, LLC 23,517 233,000 0.25%
42 WALTER & KEENAN WEALTH MANAGEMENT LLC /IN/ /ADV 19,600 194,000 0.21%
43 Annex Advisory Services, LLC 18,492 183,000 0.19%
44 Commonwealth Equity Services, Inc 17,954 178,000 0.19%
45 FIRST FOUNDATION ADVISORS 16,923 167,000 0.18%
46 MSI Financial Services Inc 15,008 148,000 0.16%
47 Sigma Planning Corp 14,632 145,000 0.15%
48 Cambridge Investment Research Advisors, Inc. 14,446 143,000 0.15%
49 Allen Investment Management, LLC 14,122 140,000 0.15%
50 Carnegie Investment Counsel 13,500 134,000 0.14%
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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.