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Advent Convertible and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Royal Bank of Canada
26
Royal Bank of Canada
Ontario, Canada
$136K -$809 -45 -0.6%
AIG
27
American International Group
New York
$129K +$36.9K +2,054 +41%
Bank of Montreal
28
Bank of Montreal
Ontario, Canada
$28K – – –
Deutsche Bank
29
Deutsche Bank
Germany
$24K – – –
Ladenburg Thalmann Financial Services
30
Ladenburg Thalmann Financial Services
Florida
$24K +$2.55K +142 +12%
NSIM
31
North Star Investment Management
Illinois
$23K +$19.1K +1,062 +518%
NES
32
New England Securities
New York
$21K +$20.3K +1,130 New
FANJ
33
Financial Architects (New Jersey)
New Jersey
$20K +$20.1K +1,116 New
NFG
34
Next Financial Group
Texas
$19K +$18.5K +1,027 New
Citigroup
35
Citigroup
New York
$11K +$6.49K +361 +140%
RIA
36
Regal Investment Advisors
Michigan
$9K +$6K +334 +108%
MUFG Americas
37
MUFG Americas
New York
$8K +$252 +14 +4%
Bartlett & Co
38
Bartlett & Co
Ohio
$7K – – –
BRWM
39
B. Riley Wealth Management
Tennessee
$7K +$108 +6 +1%
WAS
40
Winch Advisory Services
Wisconsin
$7K +$108 +6 +2%
First Horizon Advisors
41
First Horizon Advisors
Tennessee
$1K – – –
FAM
42
Formidable Asset Management
Ohio
– -$2.65M -149,811 Closed
TJHA
43
Thomas J. Herzfeld Advisors
Florida
– -$1.16M -64,215 Closed
AQR Capital Management
44
AQR Capital Management
Connecticut
– -$522K -28,869 Closed
DA
45
Doliver Advisors
Texas
– -$271K -14,981 Closed
United Capital Financial Advisors
46
United Capital Financial Advisors
Texas
– -$200K -11,046 Closed
Whittier Trust
47
Whittier Trust
California
– -$119K -6,589 Closed
AllianceBernstein
48
AllianceBernstein
Tennessee
– -$27K -1,496 Closed
Tower Research Capital (TRC)
49
Tower Research Capital (TRC)
New York
– -$6K -324 Closed
Capital Analysts LLC
50
Capital Analysts LLC
Pennsylvania
– -$1.3K -72 Closed