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Nuveen Mortgage and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Stifel Financial
26
Stifel Financial
Missouri
$462K +$457K +20,000 New
CWM
27
Concert Wealth Management
California
$295K +$291K +12,741 New
IPC
28
Independent Portfolio Consultants
Florida
$284K -$554K -24,240 -66%
DA
29
Doliver Advisors
Texas
$266K +$263K +11,512 New
CAN
30
Cetera Advisor Networks
California
$246K -$3.06K -134 -1%
BRF
31
B. Riley Financial
California
$225K
RJA
32
Raymond James & Associates
Florida
$200K +$198K +8,658 New
MFS
33
MSI Financial Services
Massachusetts
$139K
Deutsche Bank
34
Deutsche Bank
Germany
$92K
Cohen & Steers
35
Cohen & Steers
New York
$76K
GXMC
36
Global X Management Company
New York
$47K +$15.2K +666 +49%
AG
37
Advisor Group
Arizona
$35K +$34.9K +1,526 New
US Bancorp
38
US Bancorp
Minnesota
$30K -$937 -41 -3%
CPIG
39
Chicago Partners Investment Group
Illinois
$27K +$9.08K +397 +53%
WAM
40
Wealthspire Advisors (Maryland)
Maryland
$25K
ASN
41
Advisory Services Network
Georgia
$23K
FWM
42
Focused Wealth Management
New York
$11K
IA
43
IFP Advisors
Florida
$10K +$9.42K +412 New
GWM
44
Geneos Wealth Management
Colorado
$9K
PCM
45
Penserra Capital Management
California
$4K
CRC
46
Curi RMB Capital
Illinois
-$2.05M -91,315 Closed
Northwestern Mutual Wealth Management
47
Northwestern Mutual Wealth Management
Wisconsin
-$101K -4,490 Closed
AIG
48
American International Group
New York
-$34K -1,526 Closed