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Nuveen Mortgage and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
UR
26
USCA RIA
Texas
$631K +$138K +6,102 +28%
IPC
27
Independent Portfolio Consultants
Florida
$622K -$397K -17,575 -39%
RGC
28
Roberts, Glore & Co
Illinois
$600K +$21.5K +950 +4%
UBS Group
29
UBS Group
Switzerland
$478K +$31.8K +1,409 +7%
Ameriprise
30
Ameriprise
Minnesota
$370K +$368K +16,295 New
HB
31
Homrich & Berg
Georgia
$293K -$241K -10,646 -45%
CAN
32
Cetera Advisor Networks
California
$246K -$27.8K -1,232 -10%
BRF
33
B. Riley Financial
California
$228K +$227K +10,033 New
FAAS
34
First Allied Advisory Services
California
$217K -$130K -5,744 -37%
MFS
35
MSI Financial Services
Massachusetts
$137K +$110K +4,875 +420%
Deutsche Bank
36
Deutsche Bank
Germany
$91K +$45.2K +2,000 +99%
AIA
37
Allegis Investment Advisors
Idaho
$81K +$80.8K +3,576 New
Cohen & Steers
38
Cohen & Steers
New York
$74K
AIG
39
American International Group
New York
$35K
GXMC
40
Global X Management Company
New York
$31K -$1.58K -70 -5%
US Bancorp
41
US Bancorp
Minnesota
$31K
ASN
42
Advisory Services Network
Georgia
$23K
WAM
43
Wealthspire Advisors (Maryland)
Maryland
$20K
OFS
44
Orrstown Financial Services
Pennsylvania
$18K
CPIG
45
Chicago Partners Investment Group
Illinois
$17K
FWM
46
Focused Wealth Management
New York
$11K
PCM
47
Penserra Capital Management
California
$5K +$4.88K +216 New
PAM
48
PT Asset Management
Illinois
-$9.01M -402,158 Closed
SCM
49
Saba Capital Management
New York
-$6.79M -303,289 Closed
Citigroup
50
Citigroup
New York
-$1.71M -76,462 Closed