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Nuveen Mortgage and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RGC
26
Roberts, Glore & Co
Illinois
$480K -$11.3K -450 -2%
M&T Bank
27
M&T Bank
New York
$340K +$75.5K +3,000 +29%
IPC
28
Independent Portfolio Consultants
Florida
$334K -$41.4K -1,647 -11%
SFS
29
Sowell Financial Services
Arkansas
$327K
GXMC
30
Global X Management Company
New York
$290K
BRF
31
B. Riley Financial
California
$240K -$6.29K -250 -3%
CAN
32
Cetera Advisor Networks
California
$230K +$8.22K +327 +4%
PFGIA
33
Patriot Financial Group Insurance Agency
Massachusetts
$141K +$29K +1,154 +26%
Cohen & Steers
34
Cohen & Steers
New York
$39K
TSW
35
Thompson Siegel & Walmsley
Virginia
$38K +$37.7K +1,500 New
WAM
36
Wealthspire Advisors (Maryland)
Maryland
$27K
ASN
37
Advisory Services Network
Georgia
$26K
PNC Financial Services Group
38
PNC Financial Services Group
Pennsylvania
$22K +$21.7K +862 New
FWM
39
Focused Wealth Management
New York
$12K
IA
40
IFP Advisors
Florida
$11K
TRCT
41
Tower Research Capital (TRC)
New York
$11K +$8.68K +345 +500%
NA
42
NewEdge Advisors
Louisiana
$10.2K +$10.1K +400 New
GWM
43
Geneos Wealth Management
Colorado
$10K
PCM
44
Penserra Capital Management
California
$6K +$553 +22 +10%
AG
45
Advisor Group
Arizona
$5K -$33K -1,314 -86%
WT
46
Whittier Trust
California
$1K
LPL Financial
47
LPL Financial
California
-$1.62M -65,288 Closed
WMG
48
WESCAP Management Group
California
-$614K -24,790 Closed
VKH
49
Virtu KCG Holdings
New York
-$313K -12,638 Closed
US Bancorp
50
US Bancorp
Minnesota
-$32K -1,305 Closed