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Nuveen Mortgage and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RJFSA
26
Raymond James Financial Services Advisors
Florida
$523K +$104K +4,610 +25%
UR
27
USCA RIA
Texas
$486K
UBS Group
28
UBS Group
Switzerland
$440K -$458K -20,377 -51%
LPL Financial
29
LPL Financial
California
$381K +$22.2K +990 +6%
FAAS
30
First Allied Advisory Services
California
$345K +$348K +15,490 New
IT
31
Independence Trust
Tennessee
$292K +$293K +13,053 New
CAN
32
Cetera Advisor Networks
California
$264K -$8.2K -365 -3%
TIM
33
Tortoise Investment Management
New York
$141K +$142K +6,300 New
Cohen & Steers
34
Cohen & Steers
New York
$73K -$12K -534 -14%
Deutsche Bank
35
Deutsche Bank
Germany
$45K +$22.5K +1,000 +99%
AIG
36
American International Group
New York
$34K
GXMC
37
Global X Management Company
New York
$32K +$31.9K +1,419 New
US Bancorp
38
US Bancorp
Minnesota
$30K
MFS
39
MSI Financial Services
Massachusetts
$26K -$13.5K -600 -34%
ASN
40
Advisory Services Network
Georgia
$22K
OFS
41
Orrstown Financial Services
Pennsylvania
$18K
CPIG
42
Chicago Partners Investment Group
Illinois
$17K +$16.9K +753 New
FWM
43
Focused Wealth Management
New York
$11K -$8.99K -400 -46%
UCFA
44
United Capital Financial Advisors
Texas
-$920K -40,562 Closed
Envestnet Asset Management
45
Envestnet Asset Management
Illinois
-$872K -38,415 Closed
YMRC
46
Yorktown Management & Research Company
Virginia
-$622K -27,400 Closed
LCM
47
Landscape Capital Management
New Jersey
-$270K -11,905 Closed
Fifth Third Bancorp
48
Fifth Third Bancorp
Ohio
-$23K -1,000 Closed