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NIE

Virtus Equity & Convertible Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
DA
26
Doliver Advisors
Texas
$479K -$115K -6,268 -19%
Baird Financial Group
27
Baird Financial Group
Wisconsin
$411K +$15.5K +850 +4%
CWM
28
Concert Wealth Management
California
$404K
AA
29
AQR Arbitrage
Connecticut
$360K +$88.5K +4,844 +32%
WAM
30
Weiss Asset Management
Massachusetts
$351K +$358K +19,563 New
PCM
31
Pointe Capital Management
Michigan
$331K -$117K -6,425 -26%
CRC
32
Curi RMB Capital
Illinois
$329K +$87.9K +4,808 +36%
BKA
33
Brick & Kyle Associates
Pennsylvania
$323K -$9.14K -500 -3%
SKK
34
Shepherd Kaplan Krochuk
Massachusetts
$305K +$4.93K +270 +2%
SFS
35
Shaker Financial Services
Virginia
$289K +$294K +16,096 New
UCFA
36
United Capital Financial Advisors
Texas
$287K +$292K +15,983 New
Squarepoint
37
Squarepoint
New York
$264K +$269K +14,700 New
Citigroup
38
Citigroup
New York
$260K -$18.4K -1,004 -6%
BBPWM
39
Blue Bell Private Wealth Management
Pennsylvania
$220K -$43.9K -2,400 -16%
TPW
40
Tiller Private Wealth
Pennsylvania
$219K +$222K +12,171 New
BFM
41
Boothbay Fund Management
New York
$214K +$217K +11,896 New
LTFS
42
Ladenburg Thalmann Financial Services
Florida
$199K -$530 -29 -0.3%
Commonwealth Equity Services
43
Commonwealth Equity Services
Massachusetts
$187K +$191K +10,438 New
AIG
44
American International Group
New York
$87K
Deutsche Bank
45
Deutsche Bank
Germany
$72K
BCMIO
46
Beacon Capital Management Inc (Ohio)
Ohio
$70K
Envestnet Asset Management
47
Envestnet Asset Management
Illinois
$64K +$5.68K +311 +9%
MFS
48
MSI Financial Services
Massachusetts
$64K +$42.9K +2,347 +190%
DADC
49
D.A. Davidson & Co
Montana
$44K
S
50
SignatureFD
Georgia
$36K