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Nuveen Floating Rate Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
LPL Financial
1
LPL Financial
California
$18.6M +$913K +113,694 +5%
Wells Fargo
2
Wells Fargo
California
$13.3M +$264K +32,892 +2%
Morgan Stanley
3
Morgan Stanley
New York
$10.2M +$837K +104,202 +9%
PCM
4
Penserra Capital Management
California
$10.1M +$639K +79,529 +7%
Invesco
5
Invesco
Georgia
$8.3M -$483K -60,120 -5%
GC
6
Guggenheim Capital
Illinois
$7.99M -$477K -59,335 -6%
Bank of America
7
Bank of America
North Carolina
$7.39M -$83.1K -10,339 -1%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$5.5M +$99.3K +12,363 +2%
Rockefeller Capital Management
9
Rockefeller Capital Management
New York
$4.27M +$2.4M +298,818 +123%
Goldman Sachs
10
Goldman Sachs
New York
$3.98M
UBS Group
11
UBS Group
Switzerland
$3.94M -$165K -20,518 -4%
Cohen & Steers
12
Cohen & Steers
New York
$3.55M
AAM
13
Advisors Asset Management
Colorado
$3.29M -$432K -53,830 -11%
N
14
Natixis
France
$3.18M +$623K +77,593 +24%
Baird Financial Group
15
Baird Financial Group
Wisconsin
$3.13M +$15.9K +1,976 +0.5%
BAM
16
Byrne Asset Management
New Jersey
$3.1M -$16.8K -2,095 -0.5%
Ameriprise
17
Ameriprise
Minnesota
$2.91M +$103K +12,868 +4%
RA
18
RFG Advisory
Alabama
$1.91M -$64.4K -8,012 -3%
CIA
19
Capital Investment Advisors
Georgia
$1.79M -$24.4K -3,042 -1%
KC
20
Kades & Cheifetz
Pennsylvania
$1.58M +$14.5K +1,807 +0.9%
IMA
21
Investment Management Associates
Colorado
$1.29M
Osaic Holdings
22
Osaic Holdings
Arizona
$1.27M +$384K +47,800 +42%
Envestnet Asset Management
23
Envestnet Asset Management
Illinois
$1.23M +$47.5K +5,908 +4%
Commonwealth Equity Services
24
Commonwealth Equity Services
Massachusetts
$1.19M -$176K -21,942 -13%
Thrivent Financial for Lutherans
25
Thrivent Financial for Lutherans
Minnesota
$1.19M +$58.1K +7,232 +5%