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Nuveen Mortgage and Income Fund
JLS

Name Holding Trade Value Shares
Change 		Change in
Stake
Bank of America
1
Bank of America
North Carolina
$11.5M +$12.5M +451,550 New
GC
2
Guggenheim Capital
Illinois
$8.99M +$9.79M +353,822 New
SIA
3
Sit Investment Associates
Minnesota
$4.98M +$5.42M +195,912 New
Morgan Stanley
4
Morgan Stanley
New York
$3.24M +$3.53M +127,402 New
Invesco
5
Invesco
Georgia
$1.9M +$2.08M +74,980 New
RCM
6
Rivernorth Capital Management
Florida
$1.65M +$1.79M +64,834 New
Wells Fargo
7
Wells Fargo
California
$1.31M +$1.43M +51,645 New
LPL Financial
8
LPL Financial
California
$1.21M +$1.32M +47,803 New
HB
9
Homrich & Berg
Georgia
$665K +$720K +26,022 New
DA
10
Doliver Advisors
Texas
$649K +$707K +25,560 New
Cohen & Steers
11
Cohen & Steers
New York
$632K +$689K +24,900 New
U
12
UBS
Switzerland
$392K +$427K +15,429 New
SFS
13
Shaker Financial Services
Virginia
$373K +$406K +14,684 New
DMC
14
Drexel Morgan & Co
Pennsylvania
$364K +$397K +14,328 New
RJFSA
15
Raymond James Financial Services Advisors
Florida
$358K +$390K +14,099 New
RJA
16
Raymond James & Associates
Florida
$346K +$377K +13,638 New
Geode Capital Management
17
Geode Capital Management
Massachusetts
$339K – – –
Commonwealth Equity Services
18
Commonwealth Equity Services
Massachusetts
$292K +$319K +11,514 New
Royal Bank of Canada
19
Royal Bank of Canada
Ontario, Canada
$242K +$264K +9,542 New
CWM
20
Cabot Wealth Management
Massachusetts
$215K +$235K +8,475 New
AIG
21
American International Group
New York
$189K +$206K +7,455 New
LTFS
22
Ladenburg Thalmann Financial Services
Florida
$151K +$165K +5,954 New
CAPTRUST Financial Advisors
23
CAPTRUST Financial Advisors
North Carolina
$127K +$138K +5,000 New
WAM
24
Wolverine Asset Management
Illinois
$122K +$134K +4,831 New
TRCT
25
Tower Research Capital (TRC)
New York
$41K +$44.4K +1,603 New
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