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NIE

Virtus Equity & Convertible Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
KFGK
26
Keystone Financial Group (Kentucky)
Kentucky
$1.27M +$39.9K +1,300 +3%
SWM
27
Spire Wealth Management
Virginia
$1.27M -$23.4K -763 -2%
RIL
28
Rothschild Investment LLC
Illinois
$999K -$31.3K -1,019 -3%
Ameriprise
29
Ameriprise
Minnesota
$981K +$106K +3,450 +12%
CCP
30
Clough Capital Partners
Massachusetts
$901K +$919K +29,900 New
SPIA
31
Steward Partners Investment Advisory
New York
$897K
Bank of Montreal
32
Bank of Montreal
Ontario, Canada
$816K +$755K +24,585 New
Truist Financial
33
Truist Financial
North Carolina
$709K -$39.9K -1,300 -5%
XF
34
XML Financial
Maryland
$678K +$43.6K +1,419 +7%
BRWA
35
B. Riley Wealth Advisors
Florida
$656K +$44.2K +1,438 +7%
LCM
36
Landscape Capital Management
New Jersey
$642K +$655K +21,316 New
TC
37
Telemus Capital
Michigan
$639K -$11.7K -380 -2%
Bank of America
38
Bank of America
North Carolina
$631K +$30.2K +984 +5%
CWM
39
Cornerstone Wealth Management
Missouri
$549K -$11.5K -375 -2%
PNC Financial Services Group
40
PNC Financial Services Group
Pennsylvania
$526K
LPL Financial
41
LPL Financial
California
$511K +$93.9K +3,057 +22%
5L
42
55I LLC
Massachusetts
$504K +$514K +16,719 New
IFWM
43
Institute for Wealth Management
Colorado
$502K -$4.33K -141 -0.8%
WS
44
Wedbush Securities
California
$496K
ASN
45
Advisory Services Network
Georgia
$491K -$2.12K -69 -0.4%
SCA
46
SMH Capital Advisors
Texas
$446K -$25.2K -820 -5%
FF
47
FourThought Financial
Florida
$438K -$62.7K -2,039 -12%
Janney Montgomery Scott
48
Janney Montgomery Scott
Pennsylvania
$395K +$152K +4,936 +60%
DC
49
Davenport & Co
Virginia
$343K -$15.4K -500 -4%
CBT
50
CoreFirst Bank & Trust
Kansas
$320K