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Virtus Diversified Income & Convertible Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Advisors Asset Management
1
Advisors Asset Management
Colorado
$8.3M +$2.94M +141,665 +56%
Bank of America
2
Bank of America
North Carolina
$6.45M +$253K +12,226 +4%
Guggenheim Capital
3
Guggenheim Capital
Illinois
$4.89M +$1.07M +51,453 +28%
Rivernorth Capital Management
4
Rivernorth Capital Management
Florida
$3.46M -$4.71M -227,537 -58%
Parametric Portfolio Associates
5
Parametric Portfolio Associates
Washington
$3.36M +$3.32M +160,474 New
Invesco
6
Invesco
Georgia
$3.04M +$1.33M +64,148 +79%
Wells Fargo
7
Wells Fargo
California
$1.34M -$735K -35,461 -36%
Raymond James & Associates
8
Raymond James & Associates
Florida
$1.33M +$175K +8,425 +15%
Royal Bank of Canada
9
Royal Bank of Canada
Ontario, Canada
$1.26M +$50.9K +2,456 +4%
Morgan Stanley
10
Morgan Stanley
New York
$590K +$150K +7,250 +35%
Ladenburg Thalmann Financial Services
11
Ladenburg Thalmann Financial Services
Florida
$566K -$21.1K -1,017 -4%
ArrowMark Colorado Holdings
12
ArrowMark Colorado Holdings
Colorado
$392K – – –
Wedbush Securities
13
Wedbush Securities
California
$314K – – –
USCA RIA
14
USCA RIA
Texas
$222K +$219K +10,585 New
UBS Group
15
UBS Group
Switzerland
$216K +$9.49K +458 +5%
Creative Planning
16
Creative Planning
Kansas
$84K +$41.4K +2,000 +100%
Advisor Group
17
Advisor Group
Arizona
$64K – – –
Thompson Davis & Co
18
Thompson Davis & Co
Virginia
$52K -$99.4K -4,800 -66%
D.A. Davidson & Co
19
D.A. Davidson & Co
Montana
$31K – – –
Citigroup
20
Citigroup
New York
$31K +$29.5K +1,424 +1,758%
BB&T Investment Services
21
BB&T Investment Services
North Carolina
$14K +$13.5K +650 New
MUFG Americas
22
MUFG Americas
New York
$2K +$21 +1 +0.9%
SEI Investments
23
SEI Investments
Pennsylvania
$2K +$1.12K +54 +117%
LPL Financial
24
LPL Financial
California
– -$1.47M -72,113 Closed
Shaker Financial Services
25
Shaker Financial Services
Virginia
– -$334K -16,439 Closed