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Advent Convertible and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
SIS
76
Sound Income Strategies
Florida
$17K +$16K +1,400 New
GIA
77
GHP Investment Advisors
Colorado
$15.7K +$14.8K +1,300 New
GSWM
78
Golden State Wealth Management
California
$12.4K – – –
Federation des caisses Desjardins du Quebec
79
Federation des caisses Desjardins du Quebec
Quebec, Canada
$12.1K – – –
AWM
80
Atticus Wealth Management
Florida
$10.1K – – –
ME
81
McIlrath & Eck
Washington
$9.75K – – –
Global Retirement Partners
82
Global Retirement Partners
California
$8.5K +$8K +702 New
FGA
83
Fortis Group Advisors
New Jersey
$6.59K – – –
GWP
84
Gen-Wealth Partners
Michigan
$5.99K – – –
NSIM
85
North Star Investment Management
Illinois
$5.08K – – –
Carson Wealth (CWM LLC)
86
Carson Wealth (CWM LLC)
Nebraska
$5K – – –
JP Morgan Chase
87
JP Morgan Chase
New York
$4.84K -$103 -9 -2%
Allworth Financial
88
Allworth Financial
California
$4.84K – – –
PNC Financial Services Group
89
PNC Financial Services Group
Pennsylvania
$3.38K -$209K -18,326 -99%
AssetMark Inc
90
AssetMark Inc
California
$3.17K – – –
WA
91
WPG Advisers
Maryland
$3.08K -$7K -614 -71%
SFS
92
Shaker Financial Services
Virginia
– -$235K -20,421 Closed
Citadel Advisors
93
Citadel Advisors
Florida
– -$220K -19,121 Closed
TCA
94
Transcend Capital Advisors
New Jersey
– -$135K -11,681 Closed
PFBT
95
Parkside Financial Bank & Trust
Missouri
– -$23.5K -2,042 Closed
Coldstream Capital Management
96
Coldstream Capital Management
Washington
– -$2.2K -191 Closed