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NIE

Virtus Equity & Convertible Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
SPIA
26
Steward Partners Investment Advisory
New York
$847K +$207K +8,927 +28%
AA
27
AQR Arbitrage
Connecticut
$828K +$928K +39,920 New
Ameriprise
28
Ameriprise
Minnesota
$693K -$142K -6,115 -15%
RIL
29
Rothschild Investment LLC
Illinois
$660K -$31.1K -1,340 -4%
PFS
30
Prospera Financial Services
Texas
$658K -$38K -1,636 -5%
LCM
31
Landscape Capital Management
New Jersey
$609K +$681K +29,326 New
Thrivent Financial for Lutherans
32
Thrivent Financial for Lutherans
Minnesota
$546K +$285K +12,250 +87%
Truist Financial
33
Truist Financial
North Carolina
$484K +$20.9K +900 +4%
BRWA
34
B. Riley Wealth Advisors
Florida
$468K +$48.4K +2,081 +10%
SWM
35
Spire Wealth Management
Virginia
$447K -$481K -20,696 -49%
XF
36
XML Financial
Maryland
$435K +$17.5K +752 +4%
Bank of America
37
Bank of America
North Carolina
$417K -$25K -1,078 -5%
CWM
38
Cornerstone Wealth Management
Missouri
$397K -$5.11K -220 -1%
Bank of Montreal
39
Bank of Montreal
Ontario, Canada
$386K -$12.9K -555 -3%
SCA
40
SMH Capital Advisors
Texas
$384K +$67.7K +2,914 +19%
Stifel Financial
41
Stifel Financial
Missouri
$375K -$2.11M -90,894 -83%
IFWM
42
Institute for Wealth Management
Colorado
$344K -$1.32K -57 -0.3%
WS
43
Wedbush Securities
California
$341K
ASN
44
Advisory Services Network
Georgia
$337K -$15K -646 -4%
Envestnet Asset Management
45
Envestnet Asset Management
Illinois
$279K -$46.5K -2,002 -13%
TC
46
Telemus Capital
Michigan
$251K -$55.8K -2,400 -17%
DC
47
Davenport & Co
Virginia
$249K
Walleye Capital
48
Walleye Capital
New York
$241K +$269K +11,597 New
HWAM
49
Hennion & Walsh Asset Management
New Jersey
$222K +$249K +10,710 New
WI
50
Wintrust Investments
Illinois
$208K +$24.4K +1,050 +12%