Dark
Light
System
Security
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 PENSERRA CAPITAL MANAGEMENT LLC 544 6,000 0.01%
2 FIFTH THIRD BANCORP 1,050 12,000 0.01%
3 WEALTHPLAN PARTNERS, LLC 1,595 17,673 0.02%
4 SeaBridge Investment Advisors LLC 1,670 18,000 0.02%
5 NEXT Financial Group, Inc 1,764 20,000 0.02%
6 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 2,625 29,000 0.03%
7 ENVESTNET ASSET MANAGEMENT INC 3,806 42,000 0.05%
8 WFG Advisors, LP 5,200 58,000 0.06%
9 ADVISOR GROUP, INC. 5,500 61,000 0.07%
10 MSI Financial Services Inc 6,795 75,000 0.08%
11 OPTIMUM INVESTMENT ADVISORS 10,000 111,000 0.12%
12 SHEAFF BROCK INVESTMENT ADVISORS, LLC 11,400 126,000 0.14%
13 GENEOS WEALTH MANAGEMENT INC. 12,000 132,000 0.14%
14 SHEETS SMITH WEALTH MANAGEMENT 13,400 148,000 0.16%
15 FIRST TRUST ADVISORS LP 13,386 148,000 0.16%
16 Carnegie Investment Counsel 13,500 149,000 0.16%
17 Commonwealth Equity Services, Inc 14,224 157,000 0.17%
18 FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD 15,275 169,000 0.18%
19 RAYMOND JAMES & ASSOCIATES 15,882 176,000 0.19%
20 WALTER & KEENAN WEALTH MANAGEMENT LLC /IN/ /ADV 19,600 177,000 0.19%
21 Fiera Capital Corp 16,887 187,000 0.20%
22 Cambridge Investment Research Advisors, Inc. 18,012 199,000 0.22%
23 D.A. DAVIDSON & CO. 18,474 204,000 0.22%
24 PNC FINANCIAL SERVICES GROUP, INC. 18,528 205,000 0.22%
25 OPPENHEIMER & CO INC 18,685 206,000 0.22%
26 Sigma Planning Corp 21,887 242,000 0.26%
27 TIEMANN INVESTMENT ADVISORS, LLC 23,718 262,000 0.28%
28 TELEMUS CAPITAL, LLC 29,140 322,000 0.35%
29 ZAZOVE ASSOCIATES LLC 29,447 326,000 0.35% PRN
30 B. Riley Wealth Advisors, Inc. 30,235 335,000 0.36%
31 ROYAL BANK OF CANADA 32,131 356,000 0.39%
32 CARNICK & KUBIK GROUP, LLC 35,355 391,000 0.42%
33 Oxbow Advisors, LLC 43,561 482,000 0.52%
34 Aviance Capital Partners, LLC 50,037 553,000 0.60%
35 LADENBURG THALMANN FINANCIAL SERVICES INC. 51,011 564,000 0.61%
36 AMERIPRISE FINANCIAL INC 53,589 593,000 0.64%
37 Windsor Capital Management, LLC 64,114 709,000 0.77%
38 INVESTMENT CENTERS OF AMERICA INC 66,569 738,000 0.80%
39 Horizon Kinetics LLC 69,076 764,000 0.83%
40 Raymond James Financial Services Advisors, Inc. 71,480 791,000 0.86%
41 ROBINSON CAPITAL MANAGEMENT, LLC 71,706 793,000 0.86%
42 ProVise Management Group, LLC 79,591 880,000 0.95%
43 Kellner Capital, LLC 85,866 950,000 1.03%
44 Advisors Asset Management, Inc. 113,737 1,258,000 1.36%
45 PROFICIO CAPITAL PARTNERS LLC 114,570 1,267,000 1.37%
46 Stratos Wealth Partners, LTD. 161,434 1,785,000 1.93%
47 LPL Financial LLC 164,539 1,823,000 1.97%
48 COHEN & STEERS, INC. 168,771 1,867,000 2.02%
49 CREDIT SUISSE AG/ 176,847 1,956,000 2.12%
50 WELLS FARGO & COMPANY/MN 209,965 2,322,000 2.51%
Page 1 of 2

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.