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NIE

Virtus Equity & Convertible Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
IFWM
26
Institute for Wealth Management
Colorado
$423K +$419K +21,314 New
BKA
27
Brick & Kyle Associates
Pennsylvania
$409K -$14.5K -737 -3%
Millennium Management
28
Millennium Management
New York
$358K +$130K +6,600 +57%
CRC
29
Curi RMB Capital
Illinois
$353K +$351K +17,852 New
Ameriprise
30
Ameriprise
Minnesota
$296K +$8.26K +420 +3%
Commonwealth Equity Services
31
Commonwealth Equity Services
Massachusetts
$288K +$287K +14,582 New
PCM
32
Pointe Capital Management
Michigan
$285K -$12.6K -641 -4%
SG Americas Securities
33
SG Americas Securities
New York
$260K +$259K +13,156 New
1CP
34
1607 Capital Partners
Virginia
$254K -$817K -41,532 -76%
SKK
35
Shepherd Kaplan Krochuk
Massachusetts
$249K
AG
36
Advisor Group
Arizona
$243K +$8.48K +431 +4%
UCFA
37
United Capital Financial Advisors
Texas
$232K -$6.69K -340 -3%
LPL Financial
38
LPL Financial
California
$211K -$1.38M -69,935 -87%
BFEC
39
Benjamin F. Edwards & Company
Missouri
$188K +$29.8K +1,515 +19%
LTFS
40
Ladenburg Thalmann Financial Services
Florida
$136K +$24.3K +1,234 +22%
IA
41
IFP Advisors
Florida
$68K
DADC
42
D.A. Davidson & Co
Montana
$49K
GWM
43
Geneos Wealth Management
Colorado
$49K
TJHA
44
Thomas J. Herzfeld Advisors
Florida
$40K
CWM
45
Cedar Wealth Management
California
$33K
VWA
46
V Wealth Advisors
Kansas
$23K +$22.7K +1,154 New
EWM
47
Edge Wealth Management
New York
$21K
Bank of Montreal
48
Bank of Montreal
Ontario, Canada
$15K
US Bancorp
49
US Bancorp
Minnesota
$9K
QAM
50
QCI Asset Management
New York
$5K +$4.92K +250 New