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Advent Convertible and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
AE Wealth Management
51
AE Wealth Management
Kansas
$225K +$217K +14,872 New
FIA
52
FNY Investment Advisers
New York
$218K +$176K +12,079 +515%
Sigma Planning Corp
53
Sigma Planning Corp
Michigan
$199K – – –
Simplicity Solutions
54
Simplicity Solutions
Minnesota
$180K +$174K +11,900 New
Steward Partners Investment Advisory
55
Steward Partners Investment Advisory
New York
$150K – – –
PFGIA
56
Patriot Financial Group Insurance Agency
Massachusetts
$124K – – –
IFAM
57
Institutional & Family Asset Management
Colorado
$63K – – –
CT
58
Caldwell Trust
Florida
$46.6K +$44.9K +3,081 New
Carson Wealth (CWM LLC)
59
Carson Wealth (CWM LLC)
Nebraska
$39K – – –
ZB
60
Zions Bancorporation
Utah
$31K – – –
NSIM
61
North Star Investment Management
Illinois
$29K – – –
RIA
62
Realta Investment Advisors
Delaware
$24K -$37.4K -2,567 -62%
Advisory Services Network
63
Advisory Services Network
Georgia
$20K +$933 +64 +5%
PNC Financial Services Group
64
PNC Financial Services Group
Pennsylvania
$16K +$11.2K +765 +267%
MWC
65
MBM Wealth Consultants
Missouri
$15K – – –
VRM
66
Vectors Research Management
New York
$14K +$13.5K +924 New
Bartlett & Co Wealth Management
67
Bartlett & Co Wealth Management
Ohio
$12.4K – – –
Panagora Asset Management
68
Panagora Asset Management
Massachusetts
$7K -$9.29K -637 -58%
AF
69
Advisornet Financial
Minnesota
$6K – – –
Sowell Financial Services
70
Sowell Financial Services
Arkansas
$5K -$88 -6 -2%
Geneos Wealth Management
71
Geneos Wealth Management
Colorado
$1K – – –
Tower Research Capital (TRC)
72
Tower Research Capital (TRC)
New York
$1K +$729 +50 New
JP Morgan Chase
73
JP Morgan Chase
New York
– -$4.21M -296,432 Closed
FAM
74
Formidable Asset Management
Ohio
– -$1.69M -120,054 Closed
BlackRock
75
BlackRock
New York
– -$474K -33,361 Closed