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NIE

Virtus Equity & Convertible Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
CA
26
Cetera Advisors
Colorado
$398K +$32.7K +1,700 +9%
PCM
27
Pointe Capital Management
Michigan
$291K +$289K +15,061 New
Ameriprise
28
Ameriprise
Minnesota
$281K +$280K +14,561 New
Citigroup
29
Citigroup
New York
$259K -$1.3M -67,581 -83%
SKK
30
Shepherd Kaplan Krochuk
Massachusetts
$243K
TPW
31
Tiller Private Wealth
Pennsylvania
$239K -$11K -575 -4%
UCFA
32
United Capital Financial Advisors
Texas
$233K -$72.7K -3,782 -24%
NPC
33
National Planning Corporation
California
$232K +$33.6K +1,750 +17%
AG
34
Advisor Group
Arizona
$228K -$826 -43 -0.4%
Millennium Management
35
Millennium Management
New York
$223K +$222K +11,551 New
BFEC
36
Benjamin F. Edwards & Company
Missouri
$154K +$6.96K +362 +5%
LTFS
37
Ladenburg Thalmann Financial Services
Florida
$109K -$22.2K -1,158 -17%
IA
38
IFP Advisors
Florida
$66K +$40.2K +2,095 +156%
DADC
39
D.A. Davidson & Co
Montana
$48K
GWM
40
Geneos Wealth Management
Colorado
$48K
TJHA
41
Thomas J. Herzfeld Advisors
Florida
$39K
CWM
42
Cedar Wealth Management
California
$33K
EWM
43
Edge Wealth Management
New York
$20K
Bank of Montreal
44
Bank of Montreal
Ontario, Canada
$15K
US Bancorp
45
US Bancorp
Minnesota
$9K +$8.74K +455 New
AF
46
Allworth Financial
California
$4K
FANJ
47
Financial Architects (New Jersey)
New Jersey
$4K
Creative Planning
48
Creative Planning
Kansas
$2K -$44.8K -2,332 -95%
WCM
49
Wealthcare Capital Management
Virginia
$2K
SEI Investments
50
SEI Investments
Pennsylvania
$2K +$730 +38 +50%