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NIE

Virtus Equity & Convertible Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Commonwealth Equity Services
26
Commonwealth Equity Services
Massachusetts
$334K +$31.1K +1,544 +11%
PCM
27
Pointe Capital Management
Michigan
$298K
Ameriprise
28
Ameriprise
Minnesota
$295K -$14.9K -740 -5%
UCFA
29
United Capital Financial Advisors
Texas
$289K +$44.8K +2,224 +19%
AG
30
Advisor Group
Arizona
$242K -$11.2K -558 -5%
SKK
31
Shepherd Kaplan Krochuk
Massachusetts
$232K -$28.2K -1,400 -11%
BFEC
32
Benjamin F. Edwards & Company
Missouri
$230K +$32K +1,591 +17%
CWM
33
Cornerstone Wealth Management
Missouri
$221K +$216K +10,710 New
LPL Financial
34
LPL Financial
California
$218K -$3.46K -172 -2%
HFS
35
HL Financial Services
Kentucky
$214K +$208K +10,343 New
Citigroup
36
Citigroup
New York
$194K -$485K -24,079 -72%
LTFS
37
Ladenburg Thalmann Financial Services
Florida
$179K +$34.7K +1,722 +25%
SPIA
38
Steward Partners Investment Advisory
New York
$124K +$121K +6,008 New
PNC Financial Services Group
39
PNC Financial Services Group
Pennsylvania
$118K -$660K -32,794 -85%
IA
40
IFP Advisors
Florida
$71K
GWM
41
Geneos Wealth Management
Colorado
$52K
TJHA
42
Thomas J. Herzfeld Advisors
Florida
$41K
CWM
43
Cedar Wealth Management
California
$35K
EWM
44
Edge Wealth Management
New York
$22K
Bank of Montreal
45
Bank of Montreal
Ontario, Canada
$16K
US Bancorp
46
US Bancorp
Minnesota
$9K
FANJ
47
Financial Architects (New Jersey)
New Jersey
$4K
WCM
48
Wealthcare Capital Management
Virginia
$2K
ASN
49
Advisory Services Network
Georgia
$1K
SFS
50
Shaker Financial Services
Virginia
-$1.38M -69,765 Closed