Nuveen CA DIV ADV Muni FD 3

Q2 2016 vs Q3 2016

Comparing institutional holders between quarters

Compare Detailed Historical Funds Options Short Interest 13D/13G Peers Targeting Trading Summary Profile

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Advisors Asset Management, Inc.

INCREASED

Shares432,767 from 425,580

Change+7,187 (+2%)

Value$6.6K (-$107)

Filed 2016-10-31

Guggenheim Capital LLC

DECREASED

Shares343,247 from 372,462

Change-29,215 (-8%)

Value$5.3K (-$639)

Filed 2016-11-15

Invesco Ltd.

INCREASED

Shares339,663 from 315,555

Change+24,108 (+8%)

Value$5.2K (+$209)

Filed 2016-11-14

Wells Fargo & Company

INCREASED

Shares151,858 from 144,823

Change+7,035 (+5%)

Value$2.3K (+$34)

Filed 2016-10-31

LPL Financial LLC

INCREASED

Shares116,951 from 116,854

Change+97 (+0%)

Value$1.8K (-$112)

Filed 2016-11-16

UBS Group AG

INCREASED

Shares110,475 from 93,945

Change+16,530 (+18%)

Value$1.7K (+$206)

Filed 2016-11-14

Morgan Stanley

DECREASED

Shares59,803 from 63,855

Change-4,052 (-6%)

Value$919 (-$94)

Filed 2016-11-10

EP Wealth Advisors, LLC

DECREASED

Shares44,269 from 45,502

Change-1,233 (-3%)

Value$680 (-$42)

Filed 2016-11-15

IFP Advisors, Inc

INCREASED

Shares40,712 from 40,493

Change+219 (+1%)

Value$625 (-$18)

Filed 2016-11-04

Commonwealth Equity Services, Inc

INCREASED

Shares37,239 from 32,043

Change+5,196 (+16%)

Value$572 (+$63)

Filed 2016-10-25

Atlantic Trust Group, LLC

DECREASED

Shares23,896 from 35,896

Change-12,000 (-33%)

Value$367 (-$203)

Filed 2016-11-09

Wedbush Securities Inc

NEW

Shares21,461

Change+21,461

Value$330

Filed 2016-11-04

Raymond James Financial Services Advisors, Inc.

UNCHANGED

Shares19,900 from 19,900

Change0 (0%)

Value$306 (-$10)

Filed 2016-11-14

Ladenburg Thalmann Financial Services Inc

INCREASED

Shares18,458 from 18,408

Change+50 (+0%)

Value$284 (-$8)

Filed 2016-11-14

Laurel Wealth Advisors, Inc.

UNCHANGED

Shares17,615 from 17,615

Change0 (0%)

Value$271 (-$9)

Filed 2016-11-15

Royal Bank of Canada

INCREASED

Shares17,043 from 8,043

Change+9,000 (+112%)

Value$262 (+$134)

Filed 2016-11-14

D.A. Davidson & Co.

INCREASED

Shares17,000 from 16,000

Change+1,000 (+6%)

Value$261 (+$8)

Filed 2016-11-18

Laurion Capital Management LP

NEW

Shares15,878

Change+15,878

Value$244

Filed 2016-11-10

First Allied Advisory Services, Inc.

NEW

Shares15,513

Change+15,513

Value$238

Filed 2016-11-14

Bank of America Corp

DECREASED

Shares12,521 from 13,559

Change-1,038 (-8%)

Value$193 (-$22)

Filed 2016-11-14

Doliver Advisors, LP

NEW

Shares10,308

Change+10,308

Value$158

Filed 2016-10-31

Security National Trust Co

UNCHANGED

Shares4,400 from 4,400

Change0 (0%)

Value$68 (-$2)

Filed 2016-10-25

Creative Planning

UNCHANGED

Shares3,450 from 3,450

Change0 (0%)

Value$53 (-$2)

Filed 2016-10-12

MetLife Securities, Inc

UNCHANGED

Shares3,399 from 3,399

Change0 (0%)

Value$52 (-$2)

Filed 2016-10-13

Integrated Wealth Management

UNCHANGED

Shares2,500 from 2,500

Change0 (0%)

Value$38 (-$2)

Filed 2016-10-21

Deutsche Bank Ag\

CLOSED

Shares0 from 3,000

Change-3,000 (-100%)

Value$0 (-$47)

Filed 2016-11-14

Tower Research Capital LLC (TRC)

CLOSED

Shares0 from 80

Change-80 (-100%)

Value$0 (-$1)

Filed 2016-11-08

	Status
Advisors Asset Management, Inc.	INCREASED	432,767	425,580	+7,187	+2%	$6.8K	$6.6K	-$107	2016-10-31
Guggenheim Capital LLC	DECREASED	343,247	372,462	-29,215	-8%	$5.9K	$5.3K	-$639	2016-11-15
Invesco Ltd.	INCREASED	339,663	315,555	+24,108	+8%	$5.0K	$5.2K	+$209	2016-11-14
Wells Fargo & Company	INCREASED	151,858	144,823	+7,035	+5%	$2.3K	$2.3K	+$34	2016-10-31
LPL Financial LLC	INCREASED	116,951	116,854	+97	+0%	$1.9K	$1.8K	-$112	2016-11-16
UBS Group AG	INCREASED	110,475	93,945	+16,530	+18%	$1.5K	$1.7K	+$206	2016-11-14
Morgan Stanley	DECREASED	59,803	63,855	-4,052	-6%	$1.0K	$919	-$94	2016-11-10
EP Wealth Advisors, LLC	DECREASED	44,269	45,502	-1,233	-3%	$722	$680	-$42	2016-11-15
IFP Advisors, Inc	INCREASED	40,712	40,493	+219	+1%	$643	$625	-$18	2016-11-04
Commonwealth Equity Services, Inc	INCREASED	37,239	32,043	+5,196	+16%	$509	$572	+$63	2016-10-25
Atlantic Trust Group, LLC	DECREASED	23,896	35,896	-12,000	-33%	$570	$367	-$203	2016-11-09
Wedbush Securities Inc	NEW	21,461	—	+21,461	—	—	$330	—	2016-11-04
Raymond James Financial Services Advisors, Inc.	UNCHANGED	19,900	19,900	0	0%	$316	$306	-$10	2016-11-14
Ladenburg Thalmann Financial Services Inc	INCREASED	18,458	18,408	+50	+0%	$292	$284	-$8	2016-11-14
Laurel Wealth Advisors, Inc.	UNCHANGED	17,615	17,615	0	0%	$280	$271	-$9	2016-11-15
Royal Bank of Canada	INCREASED	17,043	8,043	+9,000	+112%	$128	$262	+$134	2016-11-14
D.A. Davidson & Co.	INCREASED	17,000	16,000	+1,000	+6%	$253	$261	+$8	2016-11-18
Laurion Capital Management LP	NEW	15,878	—	+15,878	—	—	$244	—	2016-11-10
First Allied Advisory Services, Inc.	NEW	15,513	—	+15,513	—	—	$238	—	2016-11-14
Bank of America Corp	DECREASED	12,521	13,559	-1,038	-8%	$215	$193	-$22	2016-11-14
Doliver Advisors, LP	NEW	10,308	—	+10,308	—	—	$158	—	2016-10-31
Security National Trust Co	UNCHANGED	4,400	4,400	0	0%	$70	$68	-$2	2016-10-25
Creative Planning	UNCHANGED	3,450	3,450	0	0%	$55	$53	-$2	2016-10-12
MetLife Securities, Inc	UNCHANGED	3,399	3,399	0	0%	$54	$52	-$2	2016-10-13
Integrated Wealth Management	UNCHANGED	2,500	2,500	0	0%	$40	$38	-$2	2016-10-21
Deutsche Bank Ag\	CLOSED	0	3,000	-3,000	-100%	$47	$0	-$47	2016-11-14
Tower Research Capital LLC (TRC)	CLOSED	0	80	-80	-100%	$1	$0	-$1	2016-11-08

Showing 27 of 27 institutions