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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
$472K +$15.1K +700 +3%
SFS
27
Shaker Financial Services
Virginia
$465K +$485K +22,490 New
SCM
28
Saba Capital Management
New York
$395K
UCFA
29
United Capital Financial Advisors
Texas
$366K +$59.6K +2,767 +19%
BC
30
Brinker Capital
Pennsylvania
$363K -$16.1K -745 -4%
BFEC
31
Benjamin F. Edwards & Company
Missouri
$352K -$12.7K -588 -3%
CRC
32
Curi RMB Capital
Illinois
$351K +$37.4K +1,734 +11%
DA
33
Doliver Advisors
Texas
$329K +$342K +15,883 New
DC
34
Davenport & Co
Virginia
$283K +$20.4K +945 +7%
Commonwealth Equity Services
35
Commonwealth Equity Services
Massachusetts
$271K -$69.4K -3,220 -20%
Ameriprise
36
Ameriprise
Minnesota
$269K -$26K -1,207 -8%
UWM
37
USAdvisors Wealth Management
Minnesota
$260K +$452 +21 +0.2%
PCM
38
Pointe Capital Management
Michigan
$249K -$1.62K -75 -0.6%
LCM
39
Landscape Capital Management
New Jersey
$248K +$258K +11,983 New
LPL Financial
40
LPL Financial
California
$242K +$45.3K +2,103 +22%
LWAC
41
Laurel Wealth Advisors (California)
California
$234K +$244K +11,329 New
HFS
42
HL Financial Services
Kentucky
$231K +$12.9K +600 +6%
CWM
43
Cornerstone Wealth Management
Missouri
$209K -$11.7K -541 -5%
Citigroup
44
Citigroup
New York
$204K +$25.6K +1,187 +14%
SKK
45
Shepherd Kaplan Krochuk
Massachusetts
$201K
SPIA
46
Steward Partners Investment Advisory
New York
$124K
PNC Financial Services Group
47
PNC Financial Services Group
Pennsylvania
$118K
SWP
48
Stratos Wealth Partners
Ohio
$107K
MOS
49
MGO One Seven
Ohio
$72K +$13.8K +641 +23%
IA
50
IFP Advisors
Florida
$52K