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Nuveen Floating Rate Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
BAM
101
Barrett Asset Management
New York
$10K – – –
FWM
102
Focused Wealth Management
New York
$10K – – –
BAM
103
Bellevue Asset Management
Washington
$10K +$9.61K +1,000 New
PAM
104
Panagora Asset Management
Massachusetts
$8K -$9.93K -1,033 -58%
APA
105
American Portfolios Advisors
New York
$5.33K -$4.2K -437 -46%
FCM
106
Firestone Capital Management
Florida
$3K +$2.98K +310 New
RCM
107
Rivernorth Capital Management
Florida
– -$10.8M -1,106,089 Closed
JP Morgan Chase
108
JP Morgan Chase
New York
– -$7.64M -785,892 Closed
VIA
109
Vident Investment Advisory
Georgia
– -$3.92M -403,199 Closed
WAM
110
Wolverine Asset Management
Illinois
– -$773K -79,622 Closed
IWC
111
Integrated Wealth Concepts
Massachusetts
– -$225K -23,140 Closed
WIA
112
World Investment Advisors
California
– -$114K -11,683 Closed
PNC Financial Services Group
113
PNC Financial Services Group
Pennsylvania
– -$88K -9,000 Closed
GSWM
114
Golden State Wealth Management
California
– -$39K -4,018 Closed
TRCT
115
Tower Research Capital (TRC)
New York
– -$31K -3,174 Closed
QCIG
116
Quad-Cities Investment Group
Iowa
– -$9K -896 Closed
AIC
117
Ameritas Investment Company
Nebraska
– -$8K -850 Closed
TFS
118
TrustCore Financial Services
Tennessee
– -$5.47K -569 Closed
SFS
119
Sowell Financial Services
Arkansas
– +$135 +14 New