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Advent Convertible and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Oppenheimer & Co
51
Oppenheimer & Co
New York
$213K +$226K +12,146 New
Sowell Financial Services
52
Sowell Financial Services
Arkansas
$203K +$215K +11,571 New
Sigma Planning Corp
53
Sigma Planning Corp
Michigan
$191K -$22.3K -1,202 -10%
QC
54
Quantedge Capital
Singapore
$189K -$519K -27,934 -72%
Geneos Wealth Management
55
Geneos Wealth Management
Colorado
$182K – – –
Wolverine Asset Management
56
Wolverine Asset Management
Illinois
$150K +$160K +8,586 New
PFGIA
57
Patriot Financial Group Insurance Agency
Massachusetts
$121K -$10.1K -544 -7%
TJHA
58
Thomas J. Herzfeld Advisors
Florida
$100K -$2.84M -152,689 -96%
Northwestern Mutual Wealth Management
59
Northwestern Mutual Wealth Management
Wisconsin
$82K +$10.6K +568 +14%
GLLW
60
Graves Light Lenhart Wealth
Virginia
$80K – – –
IFAM
61
Institutional & Family Asset Management
Colorado
$73K – – –
APWA
62
Atlas Private Wealth Advisors
New Jersey
$49K -$20.8K -1,118 -29%
ZB
63
Zions Bancorporation
Utah
$36K – – –
APA
64
American Portfolios Advisors
New York
$36K – – –
TWM
65
Tradition Wealth Management
Minnesota
$30K – – –
FIA
66
FNY Investment Advisers
New York
$22K -$23.9K -1,284 -50%
AA
67
Addison Advisors
Vermont
$22K – – –
MWC
68
MBM Wealth Consultants
Missouri
$18K – – –
Allworth Financial
69
Allworth Financial
California
$15K -$56 -3 -0.4%
Bartlett & Co Wealth Management
70
Bartlett & Co Wealth Management
Ohio
$14.4K – – –
AW
71
Alaethes Wealth
Nevada
$14K – – –
Bartlett & Co
72
Bartlett & Co
Ohio
$14K – – –
US Bancorp
73
US Bancorp
Minnesota
$12K – – –
NSIM
74
North Star Investment Management
Illinois
$8K – – –
AF
75
Advisornet Financial
Minnesota
$7K – – –