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NUVEEN NASDAQ 100 DYNAMIC OV
NUVEEN NASDAQ 100 DYNAMIC OV. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 60 Institutional holders with a total value of $116,538,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 937,526 17,401,000 14.93%
2 Advisors Asset Management, Inc. 737,631 13,690,000 11.75%
3 UBS Group AG 695,685 12,911,000 11.08%
4 ROYAL BANK OF CANADA 479,948 8,908,000 7.64%
5 Invesco Ltd. 461,823 8,572,000 7.36%
6 GUGGENHEIM CAPITAL LLC 433,325 8,043,000 6.90%
7 BANK OF AMERICA CORP /DE/ 274,125 5,088,000 4.37%
8 RAYMOND JAMES & ASSOCIATES 237,299 4,404,000 3.78%
9 WELLS FARGO & COMPANY/MN 233,357 4,331,000 3.72%
10 Raymond James Financial Services Advisors, Inc. 228,391 4,239,000 3.64%
11 LADENBURG THALMANN FINANCIAL SERVICES INC. 197,889 3,673,000 3.15%
12 1832 Asset Management L.P. 165,655 3,075,000 2.64%
13 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 142,095 2,637,000 2.26%
14 LPL Financial LLC 103,753 1,933,000 1.66%
15 Commonwealth Equity Services, Inc 86,837 1,612,000 1.38%
16 COHEN & STEERS, INC. 86,642 1,608,000 1.38%
17 1607 Capital Partners, LLC 85,533 1,587,000 1.36%
18 VICUS CAPITAL 67,202 1,247,000 1.07%
19 BANK OF NOVA SCOTIA 65,431 1,214,000 1.04%
20 Aviance Capital Partners, LLC 53,496 993,000 0.85%
21 FLAGSHIP HARBOR ADVISORS, LLC 43,354 838,000 0.72%
22 Janney Montgomery Scott LLC 44,950 834,000 0.72%
23 Financial Sense Advisors, Inc. 43,815 813,000 0.70%
24 D.A. DAVIDSON & CO. 33,452 620,000 0.53%
25 Shaker Financial Services, LLC 31,757 589,000 0.51%
26 OPPENHEIMER & CO INC 30,665 569,000 0.49%
27 WADE G W & INC 28,688 532,000 0.46%
28 Thomas J. Herzfeld Advisors, Inc. 22,347 415,000 0.36%
29 PNC FINANCIAL SERVICES GROUP, INC. 22,262 414,000 0.36%
30 Global Endowment Management, LP 20,000 371,000 0.32%
31 Private Advisor Group, LLC 19,136 370,000 0.32%
32 STEPHENS INC /AR/ 17,821 331,000 0.28%
33 ALLEGIS INVESTMENT ADVISORS, LLC 17,137 318,000 0.27%
34 MSI Financial Services Inc 15,218 282,000 0.24%
35 Formidable Asset Management, LLC 12,922 240,000 0.21%
36 NATIONAL PLANNING CORP 10,854 215,000 0.18%
37 Bank of New York Mellon Corp 10,781 201,000 0.17%
38 AMERICAN NATIONAL BANK & TRUST 10,000 186,000 0.16%
39 ADVOCACY WEALTH MANAGEMENT SERVICES, LLC 7,420 138,000 0.12%
40 PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC 7,077 136,000 0.12%
41 ADVISOR GROUP, INC. 6,817 126,000 0.11%
42 IFP ADVISORS, INC 5,160 96,000 0.08%
43 PROFICIO CAPITAL PARTNERS LLC 4,500 84,000 0.07%
44 Creative Planning 3,855 72,000 0.06%
45 STEWARD PARTNERS INVESTMENT ADVISORY, LLC 3,895 72,000 0.06%
46 Allworth Financial LP 3,591 67,000 0.06%
47 CITIGROUP INC 3,540 66,000 0.06%
48 IHT WEALTH MANAGEMENT, LLC 3,232 60,000 0.05%
49 GENEOS WEALTH MANAGEMENT INC. 3,178 58,000 0.05%
50 BELLWETHER INVESTMENT GROUP, LLC 2,547 47,000 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.