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NUVEEN SR INCOME FD
NUVEEN SR INCOME FD. Institutional holdings reported to the SEC.

Institutional Holders (2017Q1)
Portfolio Summary: 52 Institutional holders with a total value of $60,938,504.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 SEI INVESTMENTS CO 15 0 0.00%
2 PENSERRA CAPITAL MANAGEMENT LLC 936 6,000 0.01%
3 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,000 7,000 0.01%
4 INTELLECTUS PARTNERS, LLC 1,172 8,000 0.01%
5 North Star Investment Management Corp. 1,300 9,000 0.01%
6 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 1,750 12,000 0.02%
7 CITIGROUP INC 2,000 14,000 0.02%
8 WEALTHCARE CAPITAL MANAGEMENT LLC 3,461 24,000 0.04%
9 WASHINGTON TRUST BANK 5,000 34,000 0.06%
10 GENEOS WEALTH MANAGEMENT INC. 9,334 63,000 0.10%
11 First Heartland Consultants, Inc. 10,772 73,000 0.12%
12 Camelot Portfolios, LLC 11,000 75,000 0.12%
13 Mariner, LLC 11,750 80,000 0.13%
14 DAVENPORT & Co LLC 17,600 119,504 0.20%
15 SUSQUEHANNA INTERNATIONAL GROUP, LLP 23,287 158,000 0.26%
16 M&T BANK CORP 23,631 160,000 0.26%
17 COMMUNITY BANK & TRUST, WACO, TEXAS 24,200 164,000 0.27%
18 INVESTMENT CENTERS OF AMERICA INC 25,375 172,000 0.28%
19 MILLENNIUM MANAGEMENT LLC 27,441 186,000 0.31%
20 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 28,556 194,000 0.32%
21 Brick & Kyle, Associates 30,099 204,000 0.33%
22 OTA Financial Group L.P. 30,599 207,000 0.34%
23 CITADEL ADVISORS LLC 30,767 209,000 0.34%
24 IFP ADVISORS, INC 30,801 209,000 0.34%
25 Klingman & Associates, LLC 37,279 253,000 0.42%
26 PNC FINANCIAL SERVICES GROUP, INC. 38,582 262,000 0.43%
27 B. Riley Wealth Advisors, Inc. 44,437 302,000 0.50%
28 Cetera Advisor Networks LLC 44,475 302,000 0.50%
29 E&G Advisors, LP 46,000 312,000 0.51%
30 Capital Investment Advisors, LLC 52,145 354,000 0.58%
31 ROYAL BANK OF CANADA 54,633 371,000 0.61%
32 AVIANCE CAPITAL MANAGEMENT, LLC 57,612 391,000 0.64%
33 Bank of New York Mellon Corp 62,708 426,000 0.70%
34 Raymond James Financial Services Advisors, Inc. 72,328 491,000 0.81%
35 ADVISOR GROUP, INC. 73,361 498,000 0.82%
36 Private Advisor Group, LLC 77,076 528,000 0.87%
37 STIFEL FINANCIAL CORP 89,972 612,000 1.00%
38 LLBH PRIVATE WEALTH MANAGEMENT, LLC 126,869 861,000 1.41%
39 Horizon Kinetics LLC 142,164 965,000 1.58%
40 COHEN & STEERS, INC. 150,009 1,019,000 1.67%
41 SII INVESTMENTS INC/WI 171,616 1,169,000 1.92%
42 Yorktown Management & Research Co Inc 183,429 1,245,000 2.04%
43 BANK OF AMERICA CORP /DE/ 245,360 1,666,000 2.73%
44 WELLS FARGO & COMPANY/MN 270,414 1,836,000 3.01%
45 Invesco Ltd. 374,620 2,544,000 4.17%
46 UBS Group AG 447,042 3,035,000 4.98%
47 MORGAN STANLEY 453,768 3,081,000 5.06%
48 Advisors Asset Management, Inc. 553,567 3,759,000 6.17%
49 LADENBURG THALMANN FINANCIAL SERVICES INC. 655,056 4,449,000 7.30%
50 GUGGENHEIM CAPITAL LLC 1,023,402 6,949,000 11.40%
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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.