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NIE

Virtus Equity & Convertible Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Thrivent Financial for Lutherans
26
Thrivent Financial for Lutherans
Minnesota
$1.04M +$204K +9,027 +25%
Commonwealth Equity Services
27
Commonwealth Equity Services
Massachusetts
$960K +$201K +8,895 +27%
KFGK
28
Keystone Financial Group (Kentucky)
Kentucky
$924K +$909K +40,135 New
Cetera Investment Advisers
29
Cetera Investment Advisers
Illinois
$788K +$17K +752 +2%
Ameriprise
30
Ameriprise
Minnesota
$774K -$871K -38,450 -53%
HWAM
31
Hennion & Walsh Asset Management
New Jersey
$771K +$31.5K +1,393 +4%
SPIA
32
Steward Partners Investment Advisory
New York
$731K -$60.3K -2,663 -8%
SC
33
Stolper & Co
Oklahoma
$711K +$9.89K +437 +1%
CA
34
Cornerstone Advisors
North Carolina
$705K +$230K +10,157 +50%
RIL
35
Rothschild Investment LLC
Illinois
$695K +$12.7K +562 +2%
Baird Financial Group
36
Baird Financial Group
Wisconsin
$596K +$4.51K +199 +0.8%
DADC
37
D.A. Davidson & Co
Montana
$550K +$62.5K +2,761 +13%
Stifel Financial
38
Stifel Financial
Missouri
$550K -$32.6K -1,441 -6%
BKA
39
Brick & Kyle Associates
Pennsylvania
$549K +$546K +24,116 New
CWM
40
Cornerstone Wealth Management
Missouri
$518K +$25.6K +1,132 +5%
CWM
41
Centurion Wealth Management
Virginia
$503K +$495K +21,861 New
Walleye Capital
42
Walleye Capital
New York
$475K +$467K +20,643 New
Truist Financial
43
Truist Financial
North Carolina
$457K -$7.25K -320 -2%
SFS
44
Shaker Financial Services
Virginia
$401K +$395K +17,425 New
FFO
45
Fortitude Family Office
Arizona
$372K +$366K +16,175 New
WS
46
Wedbush Securities
California
$372K +$159 +7 +0%
LFAS
47
Level Four Advisory Services
Texas
$367K +$42.8K +1,890 +13%
IFWM
48
Institute for Wealth Management
Colorado
$352K +$566 +25 +0.2%
PI
49
PFG Investments
New York
$325K +$1.04K +46 +0.3%
DWP
50
Daymark Wealth Partners
Ohio
$307K