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AVK

Advent Convertible and Income Fund
AVK

Name Holding Trade Value Shares
Change 		Change in
Stake
GC
1
Guggenheim Capital
Illinois
$10.2M +$10.5M +620,757 New
AAM
2
Advisors Asset Management
Colorado
$8.38M +$8.63M +508,240 New
Wells Fargo
3
Wells Fargo
California
$8.29M +$8.54M +502,766 New
WCM
4
Windsor Capital Management
Arizona
$8.01M +$8.25M +485,669 New
PPA
5
Parametric Portfolio Associates
Washington
$6.2M +$6.39M +376,062 New
OA
6
Oxbow Advisors
Texas
$5.8M +$5.97M +351,855 New
Morgan Stanley
7
Morgan Stanley
New York
$5.37M +$5.53M +325,579 New
RCM
8
Rivernorth Capital Management
Florida
$4.01M +$4.13M +243,084 New
Ameriprise
9
Ameriprise
Minnesota
$3.47M +$3.57M +210,344 New
CS
10
Credit Suisse
Switzerland
$2.78M +$2.86M +168,325 New
RJFSA
11
Raymond James Financial Services Advisors
Florida
$2.24M +$2.31M +135,806 New
LPL Financial
12
LPL Financial
California
$1.52M +$1.56M +92,077 New
RJA
13
Raymond James & Associates
Florida
$1.26M +$1.3M +76,284 New
TJHA
14
Thomas J. Herzfeld Advisors
Florida
$965K +$993K +58,488 New
Invesco
15
Invesco
Georgia
$810K +$834K +49,128 New
Bank of America
16
Bank of America
North Carolina
$677K +$696K +41,014 New
U
17
UBS
Switzerland
$581K +$598K +35,243 New
VAM
18
Visium Asset Management
New York
$476K +$489K +28,810 New
WAM
19
Wolverine Asset Management
Illinois
$405K +$418K +24,596 New
TC
20
TFS Capital
Pennsylvania
$303K +$312K +18,388 New
AQR Capital Management
21
AQR Capital Management
Connecticut
$282K +$290K +17,107 New
SGCA
22
Steel Grove Capital Advisors
Tennessee
$238K +$245K +14,430 New
Royal Bank of Canada
23
Royal Bank of Canada
Ontario, Canada
$227K +$234K +13,752 New
MPM
24
Meritage Portfolio Management
Kansas
$214K +$220K +12,955 New
OC
25
Oppenheimer & Co
New York
$212K +$218K +12,838 New
1
2