Nuveen Quality PFD Inc FD 3

Q1 2016 vs Q2 2016

Comparing institutional holders between quarters

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

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US Financial Advisors, LLC

UNCHANGED

Shares21,563 from 21,563

Change0 (0%)

Value$185 ($0)

Filed 2016-08-12

UBS Group AG

CLOSED

Shares0 from 912,348

Change-912,348 (-100%)

Value$0 (-$7.8K)

Filed 2016-08-12

SIT Investment Associates Inc

CLOSED

Shares0 from 618,821

Change-618,821 (-100%)

Value$0 (-$5.3K)

Filed 2016-07-28

Cambridge Investment Research Advisors, Inc.

CLOSED

Shares0 from 309,991

Change-309,991 (-100%)

Value$0 (-$2.7K)

Filed 2016-08-04

LPL Financial LLC

CLOSED

Shares0 from 268,963

Change-268,963 (-100%)

Value$0 (-$2.3K)

Filed 2016-08-15

Invesco Ltd.

CLOSED

Shares0 from 257,272

Change-257,272 (-100%)

Value$0 (-$2.2K)

Filed 2016-08-15

Oxbow Advisors, LLC

CLOSED

Shares0 from 245,131

Change-245,131 (-100%)

Value$0 (-$2.1K)

Filed 2016-08-02

Weiss Asset Management LP

CLOSED

Shares0 from 240,487

Change-240,487 (-100%)

Value$0 (-$2.1K)

Filed 2016-08-12

Arete Wealth Advisors, LLC

CLOSED

Shares0 from 161,826

Change-161,826 (-100%)

Value$0 (-$1.4K)

Filed 2016-08-15

Morgan Stanley

CLOSED

Shares0 from 153,826

Change-153,826 (-100%)

Value$0 (-$1.3K)

Filed 2016-08-12

Horizon Kinetics LLC

CLOSED

Shares0 from 140,334

Change-140,334 (-100%)

Value$0 (-$1.2K)

Filed 2016-08-15

Fiduciary Financial Services of the Southwest Inc

CLOSED

Shares0 from 104,929

Change-104,929 (-100%)

Value$0 (-$899)

Filed 2016-08-12

Wells Fargo & Company

CLOSED

Shares0 from 96,717

Change-96,717 (-100%)

Value$0 (-$829)

Filed 2016-08-11

Commonwealth Equity Services, Inc

CLOSED

Shares0 from 95,678

Change-95,678 (-100%)

Value$0 (-$820)

Filed 2016-08-04

United Capital Financial Advisors, LLC

CLOSED

Shares0 from 67,080

Change-67,080 (-100%)

Value$0 (-$575)

Filed 2016-08-15

Envestnet Asset Management Inc

CLOSED

Shares0 from 65,321

Change-65,321 (-100%)

Value$0 (-$560)

Filed 2016-08-15

Proficio Capital Partners LLC

CLOSED

Shares0 from 64,642

Change-64,642 (-100%)

Value$0 (-$554)

Filed 2016-07-29

Bank of America Corp

CLOSED

Shares0 from 61,977

Change-61,977 (-100%)

Value$0 (-$531)

Filed 2016-08-15

Parametric Portfolio Associates LLC

CLOSED

Shares0 from 60,301

Change-60,301 (-100%)

Value$0 (-$517)

Filed 2016-08-12

Global Endowment Management, LP

CLOSED

Shares0 from 60,000

Change-60,000 (-100%)

Value$0 (-$514)

Filed 2016-08-12

Guggenheim Capital LLC

CLOSED

Shares0 from 55,804

Change-55,804 (-100%)

Value$0 (-$478)

Filed 2016-08-15

First Trust Advisors LP

CLOSED

Shares0 from 39,893

Change-39,893 (-100%)

Value$0 (-$342)

Filed 2016-08-04

Clough Capital Partners L P

CLOSED

Shares0 from 38,500

Change-38,500 (-100%)

Value$0 (-$330)

Filed 2016-08-15

Raymond James & Associates

CLOSED

Shares0 from 27,729

Change-27,729 (-100%)

Value$0 (-$238)

Filed 2016-08-11

Shaker Financial Services, LLC

CLOSED

Shares0 from 26,442

Change-26,442 (-100%)

Value$0 (-$227)

Filed 2016-08-01

Royal Bank of Canada

CLOSED

Shares0 from 24,818

Change-24,818 (-100%)

Value$0 (-$213)

Filed 2016-08-24

Citigroup Inc

CLOSED

Shares0 from 23,480

Change-23,480 (-100%)

Value$0 (-$201)

Filed 2016-08-12

Rehmann Capital Advisory Group

CLOSED

Shares0 from 16,535

Change-16,535 (-100%)

Value$0 (-$142)

Filed 2016-07-25

Shufro Rose & Co LLC

CLOSED

Shares0 from 14,950

Change-14,950 (-100%)

Value$0 (-$128)

Filed 2016-08-05

Edmonds Duncan Registered Investment Advisors, LLC

CLOSED

Shares0 from 11,200

Change-11,200 (-100%)

Value$0 (-$96)

Filed 2016-08-29

Ladenburg Thalmann Financial Services Inc

CLOSED

Shares0 from 8,225

Change-8,225 (-100%)

Value$0 (-$70)

Filed 2016-08-15

City Holding Co

CLOSED

Shares0 from 4,500

Change-4,500 (-100%)

Value$0 (-$39)

Filed 2016-07-13

MetLife Securities, Inc

CLOSED

Shares0 from 3,740

Change-3,740 (-100%)

Value$0 (-$32)

Filed 2016-07-25

Next Financial Group, Inc

CLOSED

Shares0 from 2,194

Change-2,194 (-100%)

Value$0 (-$18)

Filed 2016-07-07

American International Group, Inc.

CLOSED

Shares0 from 1,867

Change-1,867 (-100%)

Value$0 (-$16.0K)

Filed 2016-08-11

PNC Financial Services Group, Inc.

CLOSED

Shares0 from 1,745

Change-1,745 (-100%)

Value$0 (-$15)

Filed 2016-08-05

Clearbridge Investments, LLC

CLOSED

Shares0 from 1,000

Change-1,000 (-100%)

Value$0 (-$9)

Filed 2016-08-15

Commonwealth Financial Services, LLC

CLOSED

Shares0 from 500

Change-500 (-100%)

Value$0 (-$4)

Filed 2016-07-21

Penserra Capital Management LLC

CLOSED

Shares0 from 253

Change-253 (-100%)

Value$0 (-$2)

Filed 2016-08-09

Winfield Associates, Inc.

CLOSED

Shares0 from 229

Change-229 (-100%)

Value$0 (-$2)

Filed 2016-08-15

Tower Research Capital LLC (TRC)

CLOSED

Shares0 from 178

Change-178 (-100%)

Value$0 (-$2)

Filed 2016-08-10

Gradient Investments LLC

CLOSED

Shares0 from 50

Change-50 (-100%)

Value$0 ($0)

Filed 2016-07-14

Northwestern Mutual Wealth Management Co

CLOSED

Shares0 from 22

Change-22 (-100%)

Value$0 ($0)

Filed 2016-08-29

Carnick & Company, LLC

N/A

Shares— from 7,284

Change-7,284 (-100%)

Value—

	Status
US Financial Advisors, LLC	UNCHANGED	21,563	21,563	0	0%	$185	$185	$0	2016-08-12
UBS Group AG	CLOSED	0	912,348	-912,348	-100%	$7.8K	$0	-$7.8K	2016-08-12
SIT Investment Associates Inc	CLOSED	0	618,821	-618,821	-100%	$5.3K	$0	-$5.3K	2016-07-28
Cambridge Investment Research Advisors, Inc.	CLOSED	0	309,991	-309,991	-100%	$2.7K	$0	-$2.7K	2016-08-04
LPL Financial LLC	CLOSED	0	268,963	-268,963	-100%	$2.3K	$0	-$2.3K	2016-08-15
Invesco Ltd.	CLOSED	0	257,272	-257,272	-100%	$2.2K	$0	-$2.2K	2016-08-15
Oxbow Advisors, LLC	CLOSED	0	245,131	-245,131	-100%	$2.1K	$0	-$2.1K	2016-08-02
Weiss Asset Management LP	CLOSED	0	240,487	-240,487	-100%	$2.1K	$0	-$2.1K	2016-08-12
Arete Wealth Advisors, LLC	CLOSED	0	161,826	-161,826	-100%	$1.4K	$0	-$1.4K	2016-08-15
Morgan Stanley	CLOSED	0	153,826	-153,826	-100%	$1.3K	$0	-$1.3K	2016-08-12
Horizon Kinetics LLC	CLOSED	0	140,334	-140,334	-100%	$1.2K	$0	-$1.2K	2016-08-15
Fiduciary Financial Services of the Southwest Inc	CLOSED	0	104,929	-104,929	-100%	$899	$0	-$899	2016-08-12
Wells Fargo & Company	CLOSED	0	96,717	-96,717	-100%	$829	$0	-$829	2016-08-11
Commonwealth Equity Services, Inc	CLOSED	0	95,678	-95,678	-100%	$820	$0	-$820	2016-08-04
United Capital Financial Advisors, LLC	CLOSED	0	67,080	-67,080	-100%	$575	$0	-$575	2016-08-15
Envestnet Asset Management Inc	CLOSED	0	65,321	-65,321	-100%	$560	$0	-$560	2016-08-15
Proficio Capital Partners LLC	CLOSED	0	64,642	-64,642	-100%	$554	$0	-$554	2016-07-29
Bank of America Corp	CLOSED	0	61,977	-61,977	-100%	$531	$0	-$531	2016-08-15
Parametric Portfolio Associates LLC	CLOSED	0	60,301	-60,301	-100%	$517	$0	-$517	2016-08-12
Global Endowment Management, LP	CLOSED	0	60,000	-60,000	-100%	$514	$0	-$514	2016-08-12
Guggenheim Capital LLC	CLOSED	0	55,804	-55,804	-100%	$478	$0	-$478	2016-08-15
First Trust Advisors LP	CLOSED	0	39,893	-39,893	-100%	$342	$0	-$342	2016-08-04
Clough Capital Partners L P	CLOSED	0	38,500	-38,500	-100%	$330	$0	-$330	2016-08-15
Raymond James & Associates	CLOSED	0	27,729	-27,729	-100%	$238	$0	-$238	2016-08-11
Shaker Financial Services, LLC	CLOSED	0	26,442	-26,442	-100%	$227	$0	-$227	2016-08-01
Royal Bank of Canada	CLOSED	0	24,818	-24,818	-100%	$213	$0	-$213	2016-08-24
Citigroup Inc	CLOSED	0	23,480	-23,480	-100%	$201	$0	-$201	2016-08-12
Rehmann Capital Advisory Group	CLOSED	0	16,535	-16,535	-100%	$142	$0	-$142	2016-07-25
Shufro Rose & Co LLC	CLOSED	0	14,950	-14,950	-100%	$128	$0	-$128	2016-08-05
Edmonds Duncan Registered Investment Advisors, LLC	CLOSED	0	11,200	-11,200	-100%	$96	$0	-$96	2016-08-29
Ladenburg Thalmann Financial Services Inc	CLOSED	0	8,225	-8,225	-100%	$70	$0	-$70	2016-08-15
City Holding Co	CLOSED	0	4,500	-4,500	-100%	$39	$0	-$39	2016-07-13
MetLife Securities, Inc	CLOSED	0	3,740	-3,740	-100%	$32	$0	-$32	2016-07-25
Next Financial Group, Inc	CLOSED	0	2,194	-2,194	-100%	$18	$0	-$18	2016-07-07
American International Group, Inc.	CLOSED	0	1,867	-1,867	-100%	$16.0K	$0	-$16.0K	2016-08-11
PNC Financial Services Group, Inc.	CLOSED	0	1,745	-1,745	-100%	$15	$0	-$15	2016-08-05
Clearbridge Investments, LLC	CLOSED	0	1,000	-1,000	-100%	$9	$0	-$9	2016-08-15
Commonwealth Financial Services, LLC	CLOSED	0	500	-500	-100%	$4	$0	-$4	2016-07-21
Penserra Capital Management LLC	CLOSED	0	253	-253	-100%	$2	$0	-$2	2016-08-09
Winfield Associates, Inc.	CLOSED	0	229	-229	-100%	$2	$0	-$2	2016-08-15
Tower Research Capital LLC (TRC)	CLOSED	0	178	-178	-100%	$2	$0	-$2	2016-08-10
Gradient Investments LLC	CLOSED	0	50	-50	-100%	$0	$0	$0	2016-07-14
Northwestern Mutual Wealth Management Co	CLOSED	0	22	-22	-100%	$0	$0	$0	2016-08-29
Carnick & Company, LLC	N/A	—	7,284	-7,284	-100%	$62	—	—	—

Showing 44 of 44 institutions