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NIE

Virtus Equity & Convertible Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
BKA
26
Brick & Kyle Associates
Pennsylvania
$1.26M -$13.5K -623 -1%
KFGK
27
Keystone Financial Group (Kentucky)
Kentucky
$950K -$28.8K -1,327 -3%
SFS
28
Shaker Financial Services
Virginia
$873K +$845K +38,974 New
Walleye Capital
29
Walleye Capital
New York
$836K +$256K +11,784 +46%
Thrivent Financial for Lutherans
30
Thrivent Financial for Lutherans
Minnesota
$808K -$26.5K -1,222 -3%
Cetera Investment Advisers
31
Cetera Investment Advisers
Illinois
$771K +$387K +17,828 +107%
SPIA
32
Steward Partners Investment Advisory
New York
$750K -$27.7K -1,275 -4%
Commonwealth Equity Services
33
Commonwealth Equity Services
Massachusetts
$687K -$7.74K -357 -1%
SC
34
Stolper & Co
Oklahoma
$681K +$30.5K +1,404 +5%
RIL
35
Rothschild Investment LLC
Illinois
$664K
HWAM
36
Hennion & Walsh Asset Management
New Jersey
$635K +$132K +6,069 +27%
Stifel Financial
37
Stifel Financial
Missouri
$595K -$3.58K -165 -0.6%
Baird Financial Group
38
Baird Financial Group
Wisconsin
$585K +$20.4K +941 +4%
Cohen & Steers
39
Cohen & Steers
New York
$585K -$651K -30,000 -53%
CWM
40
Cornerstone Wealth Management
Missouri
$482K +$77.3K +3,565 +20%
SP
41
Stonebrook Private
Michigan
$471K -$45.5K -2,099 -9%
SWM
42
Spire Wealth Management
Virginia
$468K
Truist Financial
43
Truist Financial
North Carolina
$452K +$6.51K +300 +2%
CWM
44
Centurion Wealth Management
Virginia
$431K -$14.5K -667 -3%
CA
45
Cetera Advisors
Colorado
$430K +$416K +19,191 New
DADC
46
D.A. Davidson & Co
Montana
$422K +$6.81K +314 +2%
WS
47
Wedbush Securities
California
$362K +$152 +7 +0%
IFWM
48
Institute for Wealth Management
Colorado
$343K +$542 +25 +0.2%
Envestnet Asset Management
49
Envestnet Asset Management
Illinois
$309K +$299K +13,793 New
SCA
50
SMH Capital Advisors
Texas
$306K +$5.31K +245 +2%