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

Institutional Holders (2016Q3)
Portfolio Summary: 61 Institutional holders with a total value of $92,449,673.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 JPMORGAN CHASE & CO 1,070,329 11,838,000 12.80%
2 BANK OF AMERICA CORP /DE/ 1,057,782 11,699,000 12.65%
3 GUGGENHEIM CAPITAL LLC 885,282 9,791,000 10.59%
4 Invesco Ltd. 663,330 7,337,000 7.94%
5 MORGAN STANLEY 612,490 6,775,000 7.33%
6 Capital Investment Advisors, LLC 430,196 4,758,000 5.15%
7 Gradient Investments LLC 385,871 4,268,000 4.62%
8 EATON VANCE MANAGEMENT 269,352 2,974,000 3.22%
9 FIRST FOUNDATION ADVISORS 248,372 2,747,000 2.97%
10 Yorktown Management & Research Co Inc 233,915 2,587,000 2.80%
11 UBS Group AG 227,347 2,514,000 2.72%
12 WELLS FARGO & COMPANY/MN 209,965 2,322,000 2.51%
13 CREDIT SUISSE AG/ 176,847 1,956,000 2.12%
14 COHEN & STEERS, INC. 168,771 1,867,000 2.02%
15 LPL Financial LLC 164,539 1,823,000 1.97%
16 Stratos Wealth Partners, LTD. 161,434 1,785,000 1.93%
17 PROFICIO CAPITAL PARTNERS LLC 114,570 1,267,000 1.37%
18 Advisors Asset Management, Inc. 113,737 1,258,000 1.36%
19 Kellner Capital, LLC 85,866 950,000 1.03%
20 ProVise Management Group, LLC 79,591 880,000 0.95%
21 ROBINSON CAPITAL MANAGEMENT, LLC 71,706 793,000 0.86%
22 Raymond James Financial Services Advisors, Inc. 71,480 791,000 0.86%
23 Horizon Kinetics LLC 69,076 764,000 0.83%
24 INVESTMENT CENTERS OF AMERICA INC 66,569 738,000 0.80%
25 Windsor Capital Management, LLC 64,114 709,000 0.77%
26 AMERIPRISE FINANCIAL INC 53,589 593,000 0.64%
27 LADENBURG THALMANN FINANCIAL SERVICES INC. 51,011 564,000 0.61%
28 Aviance Capital Partners, LLC 50,037 553,000 0.60%
29 Oxbow Advisors, LLC 43,561 482,000 0.52%
30 CARNICK & KUBIK GROUP, LLC 35,355 391,000 0.42%
31 ROYAL BANK OF CANADA 32,131 356,000 0.39%
32 B. Riley Wealth Advisors, Inc. 30,235 335,000 0.36%
33 ZAZOVE ASSOCIATES LLC 29,447 326,000 0.35% PRN
34 TELEMUS CAPITAL, LLC 29,140 322,000 0.35%
35 TIEMANN INVESTMENT ADVISORS, LLC 23,718 262,000 0.28%
36 Sigma Planning Corp 21,887 242,000 0.26%
37 OPPENHEIMER & CO INC 18,685 206,000 0.22%
38 PNC FINANCIAL SERVICES GROUP, INC. 18,528 205,000 0.22%
39 D.A. DAVIDSON & CO. 18,474 204,000 0.22%
40 Cambridge Investment Research Advisors, Inc. 18,012 199,000 0.22%
41 Fiera Capital Corp 16,887 187,000 0.20%
42 WALTER & KEENAN WEALTH MANAGEMENT LLC /IN/ /ADV 19,600 177,000 0.19%
43 RAYMOND JAMES & ASSOCIATES 15,882 176,000 0.19%
44 FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD 15,275 169,000 0.18%
45 Commonwealth Equity Services, Inc 14,224 157,000 0.17%
46 Carnegie Investment Counsel 13,500 149,000 0.16%
47 FIRST TRUST ADVISORS LP 13,386 148,000 0.16%
48 SHEETS SMITH WEALTH MANAGEMENT 13,400 148,000 0.16%
49 GENEOS WEALTH MANAGEMENT INC. 12,000 132,000 0.14%
50 SHEAFF BROCK INVESTMENT ADVISORS, LLC 11,400 126,000 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.