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NIE

Virtus Equity & Convertible Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RJFSA
26
Raymond James Financial Services Advisors
Florida
$516K +$114K +5,629 +25%
BTS
27
BB&T Securities
Virginia
$503K -$17.6K -868 -3%
BKA
28
Brick & Kyle Associates
Pennsylvania
$435K +$477K +23,473 New
DA
29
Doliver Advisors
Texas
$382K +$418K +20,588 New
IFWM
30
Institute for Wealth Management
Colorado
$380K -$43.9K -2,163 -10%
Ameriprise
31
Ameriprise
Minnesota
$370K +$31.9K +1,569 +9%
Envestnet Asset Management
32
Envestnet Asset Management
Illinois
$363K +$397K +19,566 New
BFEC
33
Benjamin F. Edwards & Company
Missouri
$331K -$11K -543 -3%
CRC
34
Curi RMB Capital
Illinois
$325K +$355K +17,503 New
HFS
35
HL Financial Services
Kentucky
$322K +$45.7K +2,250 +15%
Commonwealth Equity Services
36
Commonwealth Equity Services
Massachusetts
$280K +$65.8K +3,239 +27%
SPIA
37
Steward Partners Investment Advisory
New York
$253K -$13.2K -650 -5%
UWM
38
USAdvisors Wealth Management
Minnesota
$242K +$9.12K +449 +4%
PNC Financial Services Group
39
PNC Financial Services Group
Pennsylvania
$234K +$112K +5,540 +78%
CWM
40
Cornerstone Wealth Management
Missouri
$232K +$253K +12,485 New
PCM
41
Pointe Capital Management
Michigan
$210K
LWAC
42
Laurel Wealth Advisors (California)
California
$187K -$63.2K -3,114 -24%
OC
43
Oppenheimer & Co
New York
$187K +$205K +10,107 New
Citigroup
44
Citigroup
New York
$158K -$40.9K -2,014 -19%
ASN
45
Advisory Services Network
Georgia
$148K +$22.5K +1,110 +16%
CA
46
Claro Advisors
Massachusetts
$139K +$123K +6,039 New
IA
47
IFP Advisors
Florida
$54K +$2.03K +100 +4%
MOS
48
MGO One Seven
Ohio
$49K +$53.9K +2,655 New
PB
49
Pinnacle Bancorp
Nebraska
$49K +$54.1K +2,663 New
GWM
50
Geneos Wealth Management
Colorado
$41K -$5.5K -271 -11%