0000938077-14-000005.txt : 20141114 0000938077-14-000005.hdr.sgml : 20141114 20141114161734 ACCESSION NUMBER: 0000938077-14-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141114 DATE AS OF CHANGE: 20141114 EFFECTIVENESS DATE: 20141114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DOLIVER CAPITAL ADVISORS, INC. CENTRAL INDEX KEY: 0000938077 IRS NUMBER: 561827546 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05031 FILM NUMBER: 141224402 BUSINESS ADDRESS: STREET 1: 6363 WOODWAY, SUITE 963 CITY: HOUSTON STATE: TX ZIP: 77057 BUSINESS PHONE: 713-917-0022 MAIL ADDRESS: STREET 1: 6363 WOODWAY, SUITE 963 CITY: HOUSTON STATE: TX ZIP: 77057 FORMER COMPANY: FORMER CONFORMED NAME: DEEP DISCOUNT ADVISORS INC /NC/ DATE OF NAME CHANGE: 19950215 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000938077 XXXXXXXX 09-30-2014 09-30-2014 DOLIVER CAPITAL ADVISORS, INC.

6363 WOODWAY, SUITE 963 HOUSTON TX 77057

13F HOLDINGS REPORT 028-05031 N Ralph D. McBride 713-917-0022 Ralph D. McBride Houston TX 11-14-2014 0 274 145475 false INFORMATION TABLE 2 13f.xml 13 QTR 2014 ABERDEEN EMERGING MRKT TELECOMMUN FD COM 00301T102 193 13887 SH SOLE NONE 0 0 13887 ABERDEEN AUSTRALIA EQUITY FD COM 003011103 119 15224 SH SOLE NONE 0 0 15224 ADAMS EXPRESS CO COM 006212104 2309 165645 SH SOLE NONE 0 0 165645 ADVENT CLAY CONV SEC INC FD COM 007639107 634 93346 SH SOLE NONE 0 0 93346 ADVENT CLAY CONV SEC INC FD COM 00764C109 1001 57736 SH SOLE NONE 0 0 57736 ADVENT CLAYMORE ENH GRW & IN COM 00765E104 403 42506 SH SOLE NONE 0 0 42506 ALLIANCE NEW YORK MUN INC FD COM 018714105 764 60697 SH SOLE NONE 0 0 60697 ALLIANCEBERNSTEIN GLOBAL HIGH INCOME FD COM 01879R106 585 43039 SH SOLE NONE 0 0 43039 ALLIANZ GI CONV & INCOME FD II COM 018825109 261 28566 SH SOLE NONE 0 0 28566 AALIANC GI CONV & INCOME FD COM 018828103 218 22822 SH SOLE NONE 0 0 22822 ALLIANZGI EQUITY & CONV INCO COM 018829101 581 29256 SH SOLE NONE 0 0 29256 ALPINE GLOBAL DYNAMIC DIVIDEND FUND COM NEW 02082E205 304 30731 SH SOLE NONE 0 0 30731 ALPINE GLOBAL PREMIER PROPERTIES FD COM SBI 02083A103 312 45440 SH SOLE NONE 0 0 45440 ALPINE TOTAL DYNAMIC DIVID FD COM SH BEN INT N 021060207 443 52087 SH SOLE NONE 0 0 52087 APOLLO SENIOR FLOATING RATE FUND COM 037636107 455 26630 SH SOLE NONE 0 0 26630 ASIA PACIFIC FD COM 044901106 273 24184 SH SOLE NONE 0 0 24184 ASIA TIGERS FD COM 04516T105 267 22475 SH SOLE NONE 0 0 22475 BANCROFT FUND LTD COM 059695106 1016 51392 SH SOLE NONE 0 0 51392 BLACKROCK INCOME OPP TRUST I COM 092475102 543 52447 SH SOLE NONE 0 0 52447 BLACKROCK MUNICIPL INC QLTY COM 092479104 584 42201 SH SOLE NONE 0 0 42201 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 702 48439 SH SOLE NONE 0 0 48439 BLACKROCK MUNICIPAL INCOME T BRIC ETF 09248F109 506 37029 SH SOLE NONE 0 0 37029 BLACKROCK MUNIC INCM INVST T SH BEN INT 09248H105 325 23862 SH SOLE NONE 0 0 23862 BLACKROCK PA STRATEGIC MUN T COM 09248R103 200 16012 SH SOLE NONE 0 0 16012 BLACKROCK STRATEGIC MUN TR COM 09248T109 216 16283 SH SOLE NONE 0 0 16283 BLACKROCK BUILD AMERICA BOND TRUST SHS 09248X100 919 43728 SH SOLE NONE 0 0 43728 BLACKROCK CORE BOND T SHS BEN INT 09249E101 203 15153 SH SOLE NONE 0 0 15153 BLACKROCK MUNIC BD INVST TR COM 09249K107 295 20529 SH SOLE NONE 0 0 20529 BLACKROCK MARYAND MUNICIPAL BOND COM 09249L105 270 18866 SH SOLE NONE 0 0 18866 BLACKROCK MUNI INCOME TR II COM 09249N101 225 15647 SH SOLE NONE 0 0 15647 BLACKROCK N Y MUNIC BOND TRUST COM 09249P106 305 22294 SH SOLE NONE 0 0 22294 BLACKROCK NY MUN INCOME TR I COM 09249R102 315 22598 SH SOLE NONE 0 0 22598 BLACKROCK NY MUNI INC QLTY T COM 09249U105 538 41333 SH SOLE NONE 0 0 41333 BLACKROCK LIMITED DURATION INCOME T COM SHS 09249W101 643 39752 SH SOLE NONE 0 0 39752 BLACKROCK LONG-TERM MUNI ADV COM 09250B103 297 26353 SH SOLE NONE 0 0 26353 BLACKROCK DIVIDEND INCOME TRUST SHS 09250D109 415 31684 SH SOLE NONE 0 0 31684 BLACKROCK MUNI INCOME INV QL COM 09250G102 700 49503 SH SOLE NONE 0 0 49503 BLACKROCK ENERGY & RES TR COM 09250U101 838 35044 SH SOLE NONE 0 0 35044 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 686 48597 SH SOLE NONE 0 0 48597 BLACKROCK CREDIT ALLCTN INC TR COM 092508100 746 56081 SH SOLE NONE 0 0 56081 BLACKROCK ENHANCED EQT DIV T COM 09251A104 92 11250 SH SOLE NONE 0 0 11250 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 181 24034 SH SOLE NONE 0 0 24034 BLACKROCK MUNIHOLDINGS FD COM 09253N104 228 14144 SH SOLE NONE 0 0 14144 BLACKROCK MUNI INTER DR FD I COM 09253X102 209 14475 SH SOLE NONE 0 0 14475 BLACKROCK MUNIENHANCED FD COM 09253Y100 441 39405 SH SOLE NONE 0 0 39405 BLACROCK MUNIHOLDNGS QLTY I COM 09254A101 521 40184 SH SOLE NONE 0 0 40184 BLACKROCK REAL ASSET EQUITY COM 09254B109 499 58887 SH SOLE NONE 0 0 58887 BLACKROCK MUNIHLDNGS QLTY II COM 09254C107 279 20973 SH SOLE NONE 0 0 20973 BLACKROCK MUNIYIELD QUALITY FUND FD III COM 09254E103 144 10525 SH SOLE NONE 0 0 10525 BLACKROCK MUNIY QUALITY FD I COM 09254G108 401 31388 SH SOLE NONE 0 0 31388 BLACKROCK MUNIHOLDINGS CALI QL COM 09254L107 934 65616 SH SOLE NONE 0 0 65616 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 176 11592 SH SOLE NONE 0 0 11592 BLACKROCK MUNIYIELD CALIF QUALITY FD COM 09254N103 859 58929 SH SOLE NONE 0 0 58929 BLACKROCK MUNIHLDS INVSTM QL COM 09254P108 442 31787 SH SOLE NONE 0 0 31787 BLACKROCK MUNIYLD INVST QLTY COM 09254T100 710 53281 SH SOLE NONE 0 0 53281 BLACKROCK MUNIYLD MICH QLTY COM 09254V105 395 29600 SH SOLE NONE 0 0 29600 BLACKROCK MUNIYLD MICH QLTY COM 09254W103 773 61607 SH SOLE NONE 0 0 61607 BLACKROCK MUNIHLDGS NJ QLTY COM 09254X101 540 38627 SH SOLE NONE 0 0 38627 BLACKROCK MUNIYIELD N J FD I COM 09254Y109 368 25362 SH SOLE NONE 0 0 25362 BLACKROCK ECOSOLUTIONS INVT COM SH 092546100 596 77931 SH SOLE NONE 0 0 77931 BLACKROCK MUNIYIELD NJ QLTY COM 09255A100 284 20380 SH SOLE NONE 0 0 20380 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 399 29866 SH SOLE NONE 0 0 29866 BLACKROCK MUNIYIELD NY QLTY COM 09255E102 691 53898 SH SOLE NONE 0 0 53898 BLACKROCK MUNI N Y INTER DUR COM 09255F109 450 32759 SH SOLE NONE 0 0 32759 BLACKROCK MUNIYIELD PA QLTY COM 09255G107 811 57670 SH SOLE NONE 0 0 57670 BLACKROCK CORP HI YIELD FD COM 09255P107 274 23167 SH SOLE NONE 0 0 23167 BLACKROCK DEBT STRAT FD INC COM 09255R103 811 212302 SH SOLE NONE 0 0 212302 BLACKSTONE GSO FLOATING RTE FU COM 09256U105 177 10311 SH SOLE NONE 0 0 10311 BLACKROCK RES & COMM STRAT T SHS 09257A108 767 68283 SH SOLE NONE 0 0 68283 BLACKSTONE GSO LONG-SHORT CREDIT INCOME FD COM SHS BN INT 09257D102 966 57874 SH SOLE NONE 0 0 57874 BLACKSTONE GSO STRATEGIC CREDIT FD COM SHS BEN IN 09257R101 287 17085 SH SOLE NONE 0 0 17085 CBRE CLARION GLOBAL REAL EST COM 12504G100 445 53136 SH SOLE NONE 0 0 53136 CALAMOS GLOBAL DYNAMIC INCM FD COM 12811L107 103 11139 SH SOLE NONE 0 0 11139 CENTRAL EUROPE, RUSSIA & TURKEY FD COM 153436100 512 20609 SH SOLE NONE 0 0 20609 CHINA FD COM 169373107 369 17701 SH SOLE NONE 0 0 17701 CLEARBRIDGE ENERGY MLP OPPORTUNITY FD COM 18469P100 1386 56811 SH SOLE NONE 0 0 56811 CLEARBRIDGE ENERGY MLP TOTAL RETURN FD COM 18469Q108 1278 55450 SH SOLE NONE 0 0 55450 CLEARBRIDGE ENERGY MLP FD COM 184692101 3033 108799 SH SOLE NONE 0 0 108799 CLOUGH GLOBAL ALLOCATION FUN COM 18913Y103 610 42660 SH SOLE NONE 0 0 42660 CLOUGH GLOBAL EQUITY FD COM 18914C100 341 23802 SH SOLE NONE 0 0 23802 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 1615 135361 SH SOLE NONE 0 0 135361 COHEN & STEERS QUALITY REALTY COM 19247L106 154 14480 SH SOLE NONE 0 0 14480 COHEN & STEERS TOTAL RETURN COM 19247R103 333 27843 SH SOLE NONE 0 0 27843 COHEN & STEERS REIT & PFD IN COM 19247X100 317 18140 SH SOLE NONE 0 0 18140 COHEN & STEERS INFRASTRUCTUR COM 19248A109 330 14242 SH SOLE NONE 0 0 14242 COHEN & STEERS CLOSED END OP COM 19248P106 599 45951 SH SOLE NONE 0 0 45951 CREDIT SUISSE ASSET MGMT INC COM 224916106 195 57136 SH SOLE NONE 0 0 57136 CREDIT SUISSE HIGH YIELD BOND FD SH BEN INT 22544F103 37 11910 SH SOLE NONE 0 0 11910 DTF TAX-FREE INCOME INC COM 23334J107 225 14937 SH SOLE NONE 0 0 14937 DELAWARE INVTS DIV & INCOME COM 245915103 220 22327 SH SOLE NONE 0 0 22327 DELAWARE ENHANCED GBL DIV & COM 246060107 352 29253 SH SOLE NONE 0 0 29253 DELAWARE INVT NAT MUNI INC F SH BEN INT 24610T108 608 47621 SH SOLE NONE 0 0 47621 DELAWARE INV MN MUN INC FD I COM 24610V103 273 20207 SH SOLE NONE 0 0 20207 DEUTSCHE HIGH INCOME TR SHS 25155R100 364 40687 SH SOLE NONE 0 0 40687 DEUTSCHE GLOBAL HIGH INCOME COM 25158V108 282 34829 SH SOLE NONE 0 0 34829 DEUTSCHE HIGH INCOME OPPORT COM NEW 25158Y102 847 57880 SH SOLE NONE 0 0 57880 DEUTSCHE MULTI-MKT INCOME TR SHS 25160E102 763 86169 SH SOLE NONE 0 0 86169 DEUTSCHE STRATEGIC INCOME TR SHS 25160F109 625 51515 SH SOLE NONE 0 0 51515 DIVERSIFIED REAL ASSET INC F COM SHS 25533B108 2253 127060 SH SOLE NONE 0 0 127060 DELAWARE INVTS GLOBAL DIV & INCOME FD SH BEN INT 26200S101 607 163962 SH SOLE NONE 0 0 163962 DREYFUS STRATEGIC MUNICIPAL BOND FD COM 26202F107 94 11725 SH SOLE NONE 0 0 11725 DUFF & PHELPS UTILITY & CORP BOND TRUST COM 26432K108 562 57448 SH SOLE NONE 0 0 57448 EATON VANCE MI MUNI INCOME T SH BEN INT 27826D106 594 47937 SH SOLE NONE 0 0 47937 EATON VANCE MA MUNI INCOME T SH BEN INT 27826E104 546 41442 SH SOLE NONE 0 0 41442 EATON VANCE CA MUNI INCOME T SH BEN INT 27826F101 408 33026 SH SOLE NONE 0 0 33026 EATON VANCE OH MUNI INCOME T SH BEN INT 27826G109 182 13535 SH SOLE NONE 0 0 13535 EATON VANCE SR INCOME TR SH BEN INT 27826S103 288 44181 SH SOLE NONE 0 0 44181 EATON VANCE PA MUNI INCOME T SH BEN INT 27826T101 386 32033 SH SOLE NONE 0 0 32033 EATON VANCE ENHANCED EQUITY INCOME FD COM 278274105 155 11284 SH SOLE NONE 0 0 11284 EATON VANCE FLTING RATE INC COM 278279104 783 53715 SH SOLE NONE 0 0 53715 EATON VANCE INSURED MUNIC BOND FD COM 27827X101 378 30217 SH SOLE NONE 0 0 30217 EATON VANCE NEW YORK MUN BD COM 27827Y109 482 39100 SH SOLE NONE 0 0 39100 EATON VANCE CALIF MUN BD FD COM 27828A100 289 25476 SH SOLE NONE 0 0 25476 EATON VANCE LTD DUR INCOME F COM 27828H105 705 48361 SH SOLE NONE 0 0 48361 EATON VANCE N Y MUN BD FD II COM 27828T109 165 13942 SH SOLE NONE 0 0 13942 EATON VANCE SH TM DR DIVR IN COM 27828V104 775 52848 SH SOLE NONE 0 0 52848 EATON VANCE TAX MANAGED BUY WRITE OPPORTUNITIE FD COM 27828Y108 258 17404 SH SOLE NONE 0 0 17404 EATON VANCE TAX MNGD GBL DV COM 27829F108 105 10497 SH SOLE NONE 0 0 10497 EATON VANCE NATL MUN OPPORT COM SHS 27829L105 389 19502 SH SOLE NONE 0 0 19502 ELLSWORTH FD LTD COM 289074106 1013 117108 SH SOLE NONE 0 0 117108 EUROPEAN EQUITY FD COM 298768102 95 11514 SH SOLE NONE 0 0 11514 FEDERATED ENHANC TREAS INCM COM SH BEN INT 314162108 367 27278 SH SOLE NONE 0 0 27278 FEDERATED PREM INTR MUN INC COM 31423M105 385 29996 SH SOLE NONE 0 0 29996 FIRST TR ABERDEEN EMERG OPT COM 33731K102 526 29591 SH SOLE NONE 0 0 29591 FIRST TR ACTIVE DIVID INCOME COM 33731L100 132 14612 SH SOLE NONE 0 0 14612 FIRST TRUST/ABERDEEN GLOBAL OPPORTUNITY INCOME FD COM SHS 337319107 353 25923 SH SOLE NONE 0 0 25923 FIRST TRUST/GALLATIN SPECIALTY FINANCE & FIN OPP FD COM BEN INTR 33733G109 176 21097 SH SOLE NONE 0 0 21097 FIRST TR SR FLG RTE INCM FD COM 33733U108 237 17468 SH SOLE NONE 0 0 17468 FIRST TRUST MORTAGE INCOME FD COM SHS 33734E103 325 21485 SH SOLE NONE 0 0 21485 FIRST TRUST ENERGY INFRASTRUCTURE FD COM 33738C103 365 15304 SH SOLE NONE 0 0 15304 FIRST TR HIGH INCOME L/S FD COM 33738E109 438 25601 SH SOLE NONE 0 0 25601 FORT DEARBORN INCOME SECS IN COM 347200107 547 37787 SH SOLE NONE 0 0 37787 FRANKLIN TEMPLETON LTD DUR I COM 35472T101 849 68601 SH SOLE NONE 0 0 68601 FRANKLIN UNVL TR SH BEN INT 355145103 503 71663 SH SOLE NONE 0 0 71663 GDL FUND COM SH BEN IT 361570104 1334 126492 SH SOLE NONE 0 0 126492 GABELLI GLOBL UTIL & INCOME COM SH BEN INT 36242L105 426 22230 SH SOLE NONE 0 0 22230 GABELLI GLB SML & MD CP VAL COM 36249W104 162 15788 SH SOLE NONE 0 0 15788 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 108 11675 SH SOLE NONE 0 0 11675 GENERAL AMERN INVS INC COM 368802104 1844 49754 SH SOLE NONE 0 0 49754 GLOBAL HIGH INCOME FUND INC COM 37933G108 332 34347 SH SOLE NONE 0 0 34347 H&Q HEALTHCARE INVESTORS SH BEN INT 404052102 483 16999 SH SOLE NONE 0 0 16999 H&Q LIFE SCIENCES INVESTORS SH BEN INT 404053100 590 26696 SH SOLE NONE 0 0 26696 HANCOCK JOHN INCOME SECS TR COM 410123103 528 37440 SH SOLE NONE 0 0 37440 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 291 22139 SH SOLE NONE 0 0 22139 INVESCO HIGH INCOME TR II COM 46131F101 181 11630 SH SOLE NONE 0 0 11630 INVESCO SENIOR INCOME TRUST COM 46131H107 396 83461 SH SOLE NONE 0 0 83461 INVESCO MUN TR COM 46131J103 304 24258 SH SOLE NONE 0 0 24258 INVESCO TR INVT GRADE MUNS COM 46131T101 874 65182 SH SOLE NONE 0 0 65182 INVESCO MUNIC OPPORTUNITY TRUST COM 46132C107 365 29141 SH SOLE NONE 0 0 29141 INVESCO CALIF VALUE MUNIC INCOME TRUST COM 46132H106 395 32312 SH SOLE NONE 0 0 32312 INVESCO PA VALUE MUN INCOME COM 46132K109 375 28753 SH SOLE NONE 0 0 28753 INVESCO DYNAMIC CR OPP FD COM 46132R104 299 24186 SH SOLE NONE 0 0 24186 INVESCO MUNIC INCOME OPPORTUNITIES TRUST COM 46132X101 73 10787 SH SOLE NONE 0 0 10787 INVESCO QUALITY MUNI INC TRS COM 46133G107 319 26325 SH SOLE NONE 0 0 26325 LMP REAL ESTATE INCOME FD IN COM 50208C108 666 59295 SH SOLE NONE 0 0 59295 LEGG MASON BW GLOBAL INCOME OPPORTUNITIES FD COM 52469B100 977 57713 SH SOLE NONE 0 0 57713 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 988 169462 SH SOLE NONE 0 0 169462 MFS CHARTER INCOME TRUST SH BEN INT 552727109 855 96466 SH SOLE NONE 0 0 96466 MFS INTERMEDIATE INCOME TRUST SH BEN INT 55273C107 281 56115 SH SOLE NONE 0 0 56115 MFS MUNIC INCOME TRUST SH BEN INT 552738106 111 16994 SH SOLE NONE 0 0 16994 MACQUARIE/FIRST TR GLO INFRA UTIL DIV & INCOME FD COM 55607W100 205 12199 SH SOLE NONE 0 0 12199 MADISON STRTG SECTOR PREM FD COM 558268108 625 50479 SH SOLE NONE 0 0 50479 MANAGED HIGH YIELD PLUS FD COM 561911108 70 35320 SH SOLE NONE 0 0 35320 MFS CALIF MUN FD COM 59318C106 310 28799 SH SOLE NONE 0 0 28799 MONTGOMERY STR INCOME SECS I COM 614115103 310 19010 SH SOLE NONE 0 0 19010 MORGAN STANLEY EMERGING MARKETS FD COM 61744G107 229 14826 SH SOLE NONE 0 0 14826 MORGAN STANLEY EMER MKTS DEB COM 61744H105 697 71870 SH SOLE NONE 0 0 71870 MORGAN STANLEY TRUSTS INCOME SECS INC 61745P874 776 43489 SH SOLE NONE 0 0 43489 MS CHINA A SHARE FD COM 617468103 1219 50225 SH SOLE NONE 0 0 50225 MORGAN STANLEY EM MKTS DM DE COM 617477104 944 79944 SH SOLE NONE 0 0 79944 NEUBERGER BERMAN HIGH YIELD STRATEGIES FD COM 64128C106 317 24522 SH SOLE NONE 0 0 24522 NEUBERGER BERMAN RE ES SEC F COM 64190A103 1389 288139 SH SOLE NONE 0 0 288139 NEW IRELAND FUND INC COM 645673104 322 25447 SH SOLE NONE 0 0 25447 NUVEEN CONN PREM INCOME MUN COM 67060D107 1070 86033 SH SOLE NONE 0 0 86033 NUVEEN MASS PREM INCOME MUN COM 67061E104 673 50778 SH SOLE NONE 0 0 50778 NUVEEN MD PREM INCOME MUN FD COM 67061Q107 1170 93547 SH SOLE NONE 0 0 93547 NUVEEN MUN ADVANTAGE FD INC COM 67062H106 862 63878 SH SOLE NONE 0 0 63878 NUVEEN QUALITY MUN FD INC COM 67062N103 1080 83479 SH SOLE NONE 0 0 83479 NUVEEN PERFOMANCE PLUS MUNIC FD COM 67062P108 447 30821 SH SOLE NONE 0 0 30821 NUVEEN NY PERFORM PLUS MUN F COM 67062R104 429 30788 SH SOLE NONE 0 0 30788 NUVEEN PREM INCOME MUN FD COM 67062T100 714 53253 SH SOLE NONE 0 0 53253 NUVEEN MUN MKT OPPORTUNITY F COM 67062W103 631 47583 SH SOLE NONE 0 0 47583 NUVEEN PREM INCOME MUN FD 2 COM 67063W102 386 28070 SH SOLE NONE 0 0 28070 NUVEEN VA PREM INCOME MUN FD COM 67064R102 149 11349 SH SOLE NONE 0 0 11349 NUVEEN CAL AMT-FREE MUN INC COM 670651108 500 35909 SH SOLE NONE 0 0 35909 NUVEEN INSURED N Y TAX FREE ADV MUNIC FD COM 670656107 946 73932 SH SOLE NONE 0 0 73932 NUVEEN AMT-FREE MUN INCOME F COM 670657105 172 12720 SH SOLE NONE 0 0 12720 NUVEEN DIVID ADVANTAGE MUN F COM 67066V101 268 19330 SH SOLE NONE 0 0 19330 NUVEEN NY DIVID ADVNTG MUN F COM 67066X107 1105 82861 SH SOLE NONE 0 0 82861 NUVEEN CA DIVIDEND ADV MUN F COM 67066Y105 208 14615 SH SOLE NONE 0 0 14615 NUVEEN SENIOR INCOME FD COM 67067Y104 116 17343 SH SOLE NONE 0 0 17343 NUVEEN CA DIV ADVANTG MUN FD COM 67069X104 463 33430 SH SOLE NONE 0 0 33430 NUVEEN NJ DIV ADVANTAGE MUN COM 67069Y102 694 51658 SH SOLE NONE 0 0 51658 NUVEEN GBL VL OPPORTUNITIES COM 6706EH103 199 14860 SH SOLE NONE 0 0 14860 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 845 74280 SH SOLE NONE 0 0 74280 NUVEEN DIVERSIFIED DIV INCM COM 6706EP105 209 17983 SH SOLE NONE 0 0 17983 NUVEEN EQUITY PREM INCOME FD COM 6706ER101 162 12723 SH SOLE NONE 0 0 12723 NUVEEN EQUITY PREM ADV FD COM 6706ET107 258 19750 SH SOLE NONE 0 0 19750 NUVEEN EQUITY PREM & GROWTH COM 6706EW100 195 13845 SH SOLE NONE 0 0 13845 NUVEEN PREMIUM INCOME MUNIC FD 4 COM 6706K4105 242 18995 SH SOLE NONE 0 0 18995 NUVEEN NY DIV ADVANTG MUN FD COM 67070A101 733 55672 SH SOLE NONE 0 0 55672 NUVEEN DIV ADVANTAGE MUN FD COM 67070F100 435 31246 SH SOLE NONE 0 0 31246 NUVEEN DIV ADV MUNI FD 3 COM 67070X101 1164 85138 SH SOLE NONE 0 0 85138 NUVEEN CA DIV ADV MUNI FD 3 COM SH BEN INT 67070Y109 544 42591 SH SOLE NONE 0 0 42591 NUVEEN NEW JERSEY MUN VALUE COM 670702109 408 28819 SH SOLE NONE 0 0 28819 NUVEEN NEW YORK MUN VALUE FD COM 670706100 232 16042 SH SOLE NONE 0 0 16042 NUVEEN REAL ESTATE INCOME FD COM 67071B108 136 12953 SH SOLE NONE 0 0 12953 NUVEEN DIVID ADVANTAGE MUN I COM 67071L106 861 60995 SH SOLE NONE 0 0 60995 NUVEEN QUALITY PFD INCOME FD COM 67071S101 396 48543 SH SOLE NONE 0 0 48543 NUVEEN NEW JERSEY DIVID COM 67071T109 765 58243 SH SOLE NONE 0 0 58243 NUVEEN GA DIV ADV MUN FD 2 COM 67072B107 291 22839 SH SOLE NONE 0 0 22839 NUVEEN QUALITY PFD INCOME FD 2 COM 67072C105 682 78346 SH SOLE NONE 0 0 78346 NUVEEN FLOATING RATE INCOME FD COM 67072T108 1244 110160 SH SOLE NONE 0 0 110160 NUVEEN QUALITY PFD INC FD 3 COM 67072W101 882 105403 SH SOLE NONE 0 0 105403 NUVEEN LG/SHT COMMODITY TOTR COM 670731108 1791 121317 SH SOLE NONE 0 0 121317 NUVEEN PFD INCOME OPPRTNY FD COM 67073B106 1075 116833 SH SOLE NONE 0 0 116833 NUVEEN CREDIT STRATEGIES INCOME FD COM SHS 67073D102 1274 142618 SH SOLE NONE 0 0 142618 NUVEEN MTG OPPORTUNITY TERM COM 670735109 380 16003 SH SOLE NONE 0 0 16003 NUVEEN DIVERSIFIED COMMODTY COM UT BEN INT 67074P104 342 24795 SH SOLE NONE 0 0 24795 NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FD COM 67074X107 447 26097 SH SOLE NONE 0 0 26097 NUVEEN MULTI MKT INCOME FD I COM 67075J107 601 79610 SH SOLE NONE 0 0 79610 NUVEEN DIVER CURRENCY OPPOR COM 67090N109 816 76552 SH SOLE NONE 0 0 76552 NUVEEN MUNIC VALUE FD COM 670928100 235 24958 SH SOLE NONE 0 0 24958 NUVEEN NJ INVT QUALITY MUN F COM 670971100 847 63559 SH SOLE NONE 0 0 63559 NUVEEN PA INVT QUALITY MUN F COM 670972108 720 52872 SH SOLE NONE 0 0 52872 NUVEEN SELECT QUALITY MUN FD COM 670973106 554 40525 SH SOLE NONE 0 0 40525 NUVEEN QUALITY INCOME MUN FD COM 670977107 680 49671 SH SOLE NONE 0 0 49671 NUVEEN MICH QUALITY INCOME M COM 670979103 207 15154 SH SOLE NONE 0 0 15154 NUVEEN TEX QUALITY INCOM MU COM 670983105 168 11546 SH SOLE NONE 0 0 11546 NUVEEN PREMIER MUN INCOME FD COM 670988104 574 42665 SH SOLE NONE 0 0 42665 NUVEEN NJ PREM INCOME MUN FD COM 67101N106 811 59467 SH SOLE NONE 0 0 59467 PETROLEUM & RES CORP COM 716549100 679 23561 SH SOLE NONE 0 0 23561 PIMCO CORPORATE & INCOME STRATEGY FD COM 72200U100 435 27523 SH SOLE NONE 0 0 27523 PIMCO STRATEGIC INCOME FD COM 72200X104 114 11592 SH SOLE NONE 0 0 11592 PIMCO CORPORATE & INCOME OPPORTUNITY FD COM 72201B101 334 19563 SH SOLE NONE 0 0 19563 PIMCO INCOME STRATEGY FD COM 72201H108 126 10517 SH SOLE NONE 0 0 10517 PIMCO DYNAMIC INCOME FD SHS 72201Y101 1361 43140 SH SOLE NONE 0 0 43140 PIMCO HIGH INCOME FD COM SHS 722014107 689 59054 SH SOLE NONE 0 0 59054 PIONEER FLOATING RATE TRUST COM 72369J102 364 30983 SH SOLE NONE 0 0 30983 PRUDENTIAL SHORT DURATION HIGH YIELD FD COM 74442F107 428 25607 SH SOLE NONE 0 0 25607 PUTNAM HIGH INCOME SECURITIES FD SHS BEN INT 746779107 206 24701 SH SOLE NONE 0 0 24701 PUTNAM MANAGED MUNIC INCOME TRUST COM 746823103 179 25306 SH SOLE NONE 0 0 25306 PUTNAM PREMIER INCOME TRUST SH BEN INT 746853100 94 17217 SH SOLE NONE 0 0 17217 PUTNAM MASTER INTERMEDIATE INCOME TRUST SH BEN INT 746909100 112 22316 SH SOLE NONE 0 0 22316 PUTNAM MUNIC OPPORTUNITIES TRUST SH BEN INT 746922103 304 25946 SH SOLE NONE 0 0 25946 RMR REAL ESTATE INCOME FUND COM 76970B101 889 47280 SH SOLE NONE 0 0 47280 ROYCE FOCUS TR COM 78080N108 127 16188 SH SOLE NONE 0 0 16188 ROYCE GLOBAL VALUE TRUST COM 78081T104 364 41749 SH SOLE NONE 0 0 41749 ROYCE VALUE TR INC COM 780910105 452 31158 SH SOLE NONE 0 0 31158 STRATEGIC GLOBAL INCOME FD COM 862719101 1248 141286 SH SOLE NONE 0 0 141286 SWISS HELVETIA FD COM 870875101 817 60415 SH SOLE NONE 0 0 60415 TEMPLETON EMERGING MARKETS INCOME FD COM 880192109 348 27364 SH SOLE NONE 0 0 27364 THAI FD COM 882904105 265 21554 SH SOLE NONE 0 0 21554 TRANSAMERICA INCOME SHARES COM 893506105 629 30842 SH SOLE NONE 0 0 30842 TRI CONTL CORP COM 895436103 2121 101616 SH SOLE NONE 0 0 101616 TURKISH INVESTMENT FD COM 900145103 179 17192 SH SOLE NONE 0 0 17192 VIRTUS GLOBAL MULTI-SEC INC COM 92829B101 438 25647 SH SOLE NONE 0 0 25647 VOYA ASIA PAC DIVID EQUITY I COM 92912J102 255 20185 SH SOLE NONE 0 0 20185 VOYA PRIME RATE TR SH BEN INT 92913A100 82 14917 SH SOLE NONE 0 0 14917 WELLS FARGO ADVANTAGE INCOME OPPORTUNITIES FD COM SHS 94987B105 275 30388 SH SOLE NONE 0 0 30388 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 706 50590 SH SOLE NONE 0 0 50590 WESTERN ASSET EMRG MKT DEBT COM 95766A101 942 55084 SH SOLE NONE 0 0 55084 WESTERN ASSET EMRG MKT INCM COM 95766E103 372 30911 SH SOLE NONE 0 0 30911 WESTERN ASSET GLOBAL PARTNERS INCOME FD COM 95766G108 527 50719 SH SOLE NONE 0 0 50719 WESTERN ASSET HIGH INCOME OPPORTUNITY FD COM 95766K106 190 32785 SH SOLE NONE 0 0 32785 WESTERN ASSET MUNIC HIGH INCOME FD COM 95766N103 84 11620 SH SOLE NONE 0 0 11620 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 870 75410 SH SOLE NONE 0 0 75410 WESTERN ASSET CLYM INFL OPP COM 95766R104 1545 133284 SH SOLE NONE 0 0 133284 WESTERN ASSET INCOME FD COM 95766T100 234 17456 SH SOLE NONE 0 0 17456 WESTERN ASSET WORLDWIDE INCO COM 957668106 382 31230 SH SOLE NONE 0 0 31230 WESTERN ASSET HGH YLD DFNDFD COM 95768B107 1189 71555 SH SOLE NONE 0 0 71555 WESTERN ASSET GLOBAL CP DEFI COM 95790C107 411 22621 SH SOLE NONE 0 0 22621 ZWEIG TOTAL RETURN FD INC COM 989837208 406 29278 SH SOLE NONE 0 0 29278