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NIE

Virtus Equity & Convertible Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
PCM
26
Pointe Capital Management
Michigan
$335K
UCFA
27
United Capital Financial Advisors
Texas
$312K +$20.4K +1,190 +7%
BKA
28
Brick & Kyle Associates
Pennsylvania
$311K -$14.6K -850 -5%
SKK
29
Shepherd Kaplan Krochuk
Massachusetts
$309K
Citigroup
30
Citigroup
New York
$254K -$8.67K -505 -3%
TPW
31
Tiller Private Wealth
Pennsylvania
$234K +$11.6K +675 +6%
CA
32
Cetera Advisors
Colorado
$226K +$213K +12,410 New
LTFS
33
Ladenburg Thalmann Financial Services
Florida
$205K +$4.81K +280 +3%
Commonwealth Equity Services
34
Commonwealth Equity Services
Massachusetts
$191K +$910 +53 +0.5%
AIG
35
American International Group
New York
$124K +$34.4K +2,000 +41%
BBPWM
36
Blue Bell Private Wealth Management
Pennsylvania
$115K -$102K -5,933 -48%
Envestnet Asset Management
37
Envestnet Asset Management
Illinois
$58K -$7.25K -422 -12%
Deutsche Bank
38
Deutsche Bank
Germany
$55K -$17.2K -1,000 -25%
DADC
39
D.A. Davidson & Co
Montana
$45K
GWM
40
Geneos Wealth Management
Colorado
$40K +$38.6K +2,246 New
S
41
SignatureFD
Georgia
$36K
TJHA
42
Thomas J. Herzfeld Advisors
Florida
$36K
IA
43
IFP Advisors
Florida
$34K +$3.97K +231 +17%
CWM
44
Cedar Wealth Management
California
$31K
GAM
45
Gemmer Asset Management
California
$27K +$25.8K +1,500 New
CTC
46
Central Trust Company
Missouri
$23K
EWM
47
Edge Wealth Management
New York
$19K +$10.3K +600 +133%
Bank of Montreal
48
Bank of Montreal
Ontario, Canada
$14K
Northwestern Mutual Wealth Management
49
Northwestern Mutual Wealth Management
Wisconsin
$12K
MFW
50
Mosaic Family Wealth
Missouri
$9K