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Virtus Diversified Income & Convertible Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Rivernorth Capital Management
1
Rivernorth Capital Management
Florida
$5.86M -$337K -20,419 -6%
Bank of America
2
Bank of America
North Carolina
$3.77M +$159K +9,645 +5%
Parametric Portfolio Associates
3
Parametric Portfolio Associates
Washington
$3.35M +$1.51M +91,307 +94%
Citigroup
4
Citigroup
New York
$2.4M -$461K -27,953 -17%
Doliver Advisors
5
Doliver Advisors
Texas
$2.13M +$995K +60,279 +102%
Advisors Asset Management
6
Advisors Asset Management
Colorado
$1.99M +$1.1M +66,863 +148%
Royal Bank of Canada
7
Royal Bank of Canada
Ontario, Canada
$1.8M +$651K +39,427 +64%
Wells Fargo
8
Wells Fargo
California
$795K -$148K -8,982 -17%
LPL Financial
9
LPL Financial
California
$618K +$20.5K +1,240 +4%
Morgan Stanley
10
Morgan Stanley
New York
$515K -$64.6K -3,918 -12%
Raymond James & Associates
11
Raymond James & Associates
Florida
$322K +$299K +18,101 New
Wedbush Securities
12
Wedbush Securities
California
$283K +$57.7K +3,500 +28%
Allianz Asset Management
13
Allianz Asset Management
Germany
$278K +$231K +13,994 New
UBS Group
14
UBS Group
Switzerland
$238K +$50.6K +3,069 +30%
Thompson Davis & Co
15
Thompson Davis & Co
Virginia
$53K – – –
Ladenburg Thalmann Financial Services
16
Ladenburg Thalmann Financial Services
Florida
$17K +$3.27K +198 +26%
MSI Financial Services
17
MSI Financial Services
Massachusetts
$6K +$5.61K +340 New
Clough Capital Partners
18
Clough Capital Partners
Massachusetts
– -$1.71M -94,400 Closed
Landscape Capital Management
19
Landscape Capital Management
New Jersey
– -$1.33M -72,995 Closed
Virtu KCG Holdings
20
Virtu KCG Holdings
New York
– -$606K -33,385 Closed
Mariner Investment Group
21
Mariner Investment Group
New York
– -$574K -31,625 Closed
Stifel Financial
22
Stifel Financial
Missouri
– -$339K -18,680 Closed
GSA Capital Partners
23
GSA Capital Partners
United Kingdom
– -$314K -17,300 Closed
Squarepoint
24
Squarepoint
New York
– -$276K -15,200 Closed
Integrated Wealth Management (Palm Desert)
25
Integrated Wealth Management (Palm Desert)
California
– -$38K -2,089 Closed