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NIE

Virtus Equity & Convertible Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Ameriprise
26
Ameriprise
Minnesota
$710K +$123K +5,132 +19%
SC
27
Stolper & Co
Oklahoma
$680K +$7.77K +325 +1%
SPIA
28
Steward Partners Investment Advisory
New York
$665K -$25.7K -1,074 -3%
RIL
29
Rothschild Investment LLC
Illinois
$652K -$18.4K -769 -3%
GAA
30
Global Assets Advisory
Florida
$630K +$430K +18,000 +150%
Stifel Financial
31
Stifel Financial
Missouri
$611K +$13.9K +581 +2%
Baird Financial Group
32
Baird Financial Group
Wisconsin
$573K -$8.94K -374 -1%
DADC
33
D.A. Davidson & Co
Montana
$552K -$9.47K -396 -2%
CWM
34
Centurion Wealth Management
Virginia
$539K
CWM
35
Cornerstone Wealth Management
Missouri
$529K +$4.85K +203 +0.9%
Allspring Global Investments
36
Allspring Global Investments
North Carolina
$510K -$431K -18,036 -44%
Truist Financial
37
Truist Financial
North Carolina
$483K
LCM
38
Landscape Capital Management
New Jersey
$480K -$488K -20,413 -48%
LFAS
39
Level Four Advisory Services
Texas
$442K +$55.7K +2,328 +13%
Cetera Investment Advisers
40
Cetera Investment Advisers
Illinois
$415K -$25.1K -1,050 -5%
Envestnet Asset Management
41
Envestnet Asset Management
Illinois
$361K +$41.2K +1,722 +12%
IFWM
42
Institute for Wealth Management
Colorado
$335K -$3.52K -147 -1%
PI
43
PFG Investments
New York
$328K +$1.15K +48 +0.3%
IAIM
44
International Assets Investment Management
Florida
$280K
RAM
45
Readystate Asset Management
Illinois
$268K +$290K +12,123 New
SA
46
Sanctuary Advisors
Indiana
$262K -$1.66M -69,448 -85%
Janney Montgomery Scott
47
Janney Montgomery Scott
Pennsylvania
$256K -$3.85K -161 -1%
WS
48
Wedbush Securities
California
$250K +$18.1K +758 +7%
SCA
49
SMH Capital Advisors
Texas
$236K -$9.06K -379 -3%
JIC
50
Joel Isaacson & Co
New York
$221K +$239K +10,000 New