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NUVEEN DOW 30 DYNAMIC OVERWR
NUVEEN DOW 30 DYNAMIC OVERWR. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 57 Institutional holders with a total value of $108,892,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 PARAMETRIC PORTFOLIO ASSOCIATES LLC 926,881 13,903,000 12.77%
2 UBS Group AG 741,847 11,128,000 10.22%
3 Karpus Management, Inc. 538,637 8,080,000 7.42%
4 Invesco Ltd. 508,154 7,622,000 7.00%
5 WELLS FARGO & COMPANY/MN 452,043 6,781,000 6.23%
6 Advisors Asset Management, Inc. 373,092 5,596,000 5.14%
7 BANK OF AMERICA CORP /DE/ 271,493 4,072,000 3.74%
8 LPL Financial LLC 250,699 3,776,000 3.47%
9 LADENBURG THALMANN FINANCIAL SERVICES INC. 249,786 3,746,000 3.44%
10 Raymond James Financial Services Advisors, Inc. 236,820 3,552,000 3.26%
11 GUGGENHEIM CAPITAL LLC 234,359 3,515,000 3.23%
12 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 224,567 3,369,000 3.09%
13 MORGAN STANLEY 207,967 3,120,000 2.87%
14 1832 Asset Management L.P. 203,546 3,053,000 2.80%
15 RAYMOND JAMES & ASSOCIATES 189,145 2,837,000 2.61%
16 Oxbow Advisors, LLC 177,850 2,668,000 2.45%
17 ROYAL BANK OF CANADA 142,344 2,135,000 1.96%
18 1607 Capital Partners, LLC 141,018 2,115,000 1.94%
19 AMERIPRISE FINANCIAL INC 120,816 1,899,000 1.74%
20 Private Advisor Group, LLC 106,787 1,636,000 1.50%
21 Capital Investment Advisors, LLC 108,350 1,625,000 1.49%
22 Aviance Capital Partners, LLC 107,569 1,614,000 1.48%
23 COHEN & STEERS, INC. 105,445 1,582,000 1.45%
24 Formidable Asset Management, LLC 101,275 1,519,000 1.39%
25 CITIGROUP INC 72,589 1,089,000 1.00%
26 BANK OF NOVA SCOTIA 66,823 1,002,000 0.92%
27 PNC FINANCIAL SERVICES GROUP, INC. 45,992 690,000 0.63%
28 SCHNIEDERS CAPITAL MANAGEMENT LLC 39,295 589,000 0.54%
29 ROBINSON CAPITAL MANAGEMENT, LLC 35,314 530,000 0.49%
30 Cambridge Investment Research Advisors, Inc. 24,927 374,000 0.34%
31 KEYBANK NATIONAL ASSOCIATION/OH 23,896 358,000 0.33%
32 Commonwealth Equity Services, Inc 22,933 344,000 0.32%
33 Thomas J. Herzfeld Advisors, Inc. 22,254 334,000 0.31%
34 ALLEGIS INVESTMENT ADVISORS, LLC 21,731 326,000 0.30%
35 PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC 13,923 212,000 0.19%
36 FLAGSHIP HARBOR ADVISORS, LLC 13,452 205,000 0.19%
37 Bank of New York Mellon Corp 12,368 186,000 0.17%
38 Creative Planning 11,950 179,000 0.16%
39 MSI Financial Services Inc 11,832 178,000 0.16%
40 OPPENHEIMER & CO INC 11,774 177,000 0.16%
41 SHEAFF BROCK INVESTMENT ADVISORS, LLC 10,975 165,000 0.15%
42 Shaker Financial Services, LLC 11,006 165,000 0.15%
43 TWO SIGMA SECURITIES, LLC 10,186 153,000 0.14%
44 FIFTH THIRD BANCORP 8,849 133,000 0.12%
45 ADVISOR GROUP, INC. 7,736 116,000 0.11%
46 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 6,857 103,000 0.09%
47 D.A. DAVIDSON & CO. 5,100 76,000 0.07%
48 IFP ADVISORS, INC 5,005 75,000 0.07%
49 GENEOS WEALTH MANAGEMENT INC. 3,795 56,000 0.05%
50 SECURITY NATIONAL TRUST CO 2,976 45,000 0.04%
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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.