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ECF

Ellsworth Growth & Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
SCM
1
Saba Capital Management
New York
$5.82M -$158K -18,560 -3%
Morgan Stanley
2
Morgan Stanley
New York
$3.03M -$208K -24,517 -6%
Wells Fargo
3
Wells Fargo
California
$2.84M +$252K +29,662 +9%
Ameriprise
4
Ameriprise
Minnesota
$1.98M +$1.2M +141,083 +137%
FIA
5
Foundations Investment Advisors
Arizona
$1.84M +$164K +19,266 +9%
GC
6
Guggenheim Capital
Illinois
$1.73M +$297K +34,982 +20%
WAM
7
WNY Asset Management
New York
$1.44M +$255K +30,072 +20%
ACP
8
Aviance Capital Partners
Florida
$1.43M +$90.1K +10,620 +6%
Invesco
9
Invesco
Georgia
$1.17M +$424K +49,951 +53%
Baird Financial Group
10
Baird Financial Group
Wisconsin
$950K +$28.1K +3,308 +3%
AA
11
AQR Arbitrage
Connecticut
$672K +$99.7K +11,741 +17%
Envestnet Asset Management
12
Envestnet Asset Management
Illinois
$614K +$118K +13,887 +22%
RJFSA
13
Raymond James Financial Services Advisors
Florida
$592K +$1.25K +147 +0.2%
BI
14
Bulldog Investors
New Jersey
$583K -$372K -43,885 -38%
NA
15
NewEdge Advisors
Louisiana
$574K -$45.6K -5,370 -7%
IFWM
16
Institute for Wealth Management
Colorado
$518K -$9.89K -1,165 -2%
9WM
17
9258 Wealth Management
Ohio
$501K -$1.04K -122 -0.2%
AAM
18
Advisors Asset Management
Colorado
$393K +$2.28K +269 +0.6%
RJA
19
Raymond James & Associates
Florida
$370K -$84.2K -9,920 -18%
OPA
20
Old Port Advisors
Maine
$350K -$47.2K -5,557 -11%
WAM
21
Wolverine Asset Management
Illinois
$350K -$69.3K -8,159 -16%
Royal Bank of Canada
22
Royal Bank of Canada
Ontario, Canada
$318K -$153 -18 -0%
SFS
23
Shaker Financial Services
Virginia
$298K +$119K +14,014 +62%
UBS Group
24
UBS Group
Switzerland
$284K -$58.7K -6,917 -16%
CAPTRUST Financial Advisors
25
CAPTRUST Financial Advisors
North Carolina
$269K +$101K +11,884 +56%