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

Institutional Holders (2016Q2)
Portfolio Summary: 67 Institutional holders with a total value of $91,892,490.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WOLVERINE TRADING LP /BD 110 1,125 0.00%
2 PENSERRA CAPITAL MANAGEMENT LLC 412 4,000 0.00%
3 Creative Planning 700 7,000 0.01%
4 WFG Advisors, LP 900 9,000 0.01%
5 FIFTH THIRD BANCORP 1,050 11,000 0.01%
6 NEXT Financial Group, Inc 1,564 16,000 0.02%
7 WEALTHPLAN PARTNERS, LLC 1,595 16,365 0.02%
8 SeaBridge Investment Advisors LLC 1,670 17,000 0.02%
9 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 2,625 27,000 0.03%
10 PNC FINANCIAL SERVICES GROUP, INC. 3,253 33,000 0.04%
11 GENEOS WEALTH MANAGEMENT INC. 4,000 41,000 0.04%
12 ADVISOR GROUP, INC. 5,558 56,000 0.06%
13 MSI Financial Services Inc 8,172 83,000 0.09%
14 OPTIMUM INVESTMENT ADVISORS 10,000 103,000 0.11%
15 RAYMOND JAMES & ASSOCIATES 10,525 108,000 0.12%
16 FIRST TRUST ADVISORS LP 11,526 118,000 0.13%
17 SHEETS SMITH WEALTH MANAGEMENT 13,400 137,000 0.15%
18 SHEAFF BROCK INVESTMENT ADVISORS, LLC 13,400 137,000 0.15%
19 Carnegie Investment Counsel 13,500 143,000 0.16%
20 Virtu KCG Holdings LLC 13,990 144,000 0.16%
21 Allen Investment Management, LLC 14,122 145,000 0.16%
22 Annex Advisory Services, LLC 15,300 157,000 0.17%
23 Sigma Planning Corp 16,406 168,000 0.18%
24 Fiera Capital Corp 16,887 173,000 0.19%
25 Commonwealth Equity Services, Inc 17,485 179,000 0.19%
26 OPPENHEIMER & CO INC 18,170 187,000 0.20%
27 FDx Advisors, Inc. 18,613 191,000 0.21%
28 WALTER & KEENAN WEALTH MANAGEMENT LLC /IN/ /ADV 19,600 201,000 0.22%
29 Cambridge Investment Research Advisors, Inc. 20,846 214,000 0.23%
30 TIEMANN INVESTMENT ADVISORS, LLC 23,622 242,000 0.26%
31 B. Riley Wealth Advisors, Inc. 24,494 252,000 0.27%
32 TELEMUS CAPITAL, LLC 29,153 299,000 0.33%
33 ZAZOVE ASSOCIATES LLC 29,447 302,000 0.33%
34 ROYAL BANK OF CANADA 31,492 323,000 0.35%
35 CARNICK & KUBIK GROUP, LLC 34,943 359,000 0.39%
36 Aviance Capital Partners, LLC 46,714 479,000 0.52%
37 AMERIPRISE FINANCIAL INC 48,204 495,000 0.54%
38 Oxbow Advisors, LLC 49,656 509,000 0.55%
39 BELLWETHER INVESTMENT GROUP, LLC 50,446 518,000 0.56%
40 LADENBURG THALMANN FINANCIAL SERVICES INC. 52,388 537,000 0.58%
41 INVESTMENT CENTERS OF AMERICA INC 62,559 642,000 0.70%
42 Raymond James Financial Services Advisors, Inc. 68,287 701,000 0.76%
43 Horizon Kinetics LLC 69,576 714,000 0.78%
44 ROBINSON CAPITAL MANAGEMENT, LLC 71,706 736,000 0.80%
45 Windsor Capital Management, LLC 76,211 781,000 0.85%
46 Advisors Asset Management, Inc. 80,189 823,000 0.90%
47 ProVise Management Group, LLC 85,516 878,000 0.96%
48 Kellner Capital, LLC 85,866 881,000 0.96%
49 PROFICIO CAPITAL PARTNERS LLC 119,660 1,273,000 1.39%
50 LPL Financial LLC 142,849 1,471,000 1.60%
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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.