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NIE

Virtus Equity & Convertible Income Fund
NIE

Name Holding Trade Value Shares
Change 		Change in
Stake
Wells Fargo
1
Wells Fargo
California
$12.2M +$12.3M +666,023 New
AAM
2
Advisors Asset Management
Colorado
$8.57M +$8.64M +467,393 New
Invesco
3
Invesco
Georgia
$8.34M +$8.42M +455,152 New
GC
4
Guggenheim Capital
Illinois
$7.9M +$7.97M +431,087 New
Morgan Stanley
5
Morgan Stanley
New York
$7.55M +$7.62M +412,022 New
RCM
6
Rivernorth Capital Management
Florida
$7.31M +$7.37M +398,562 New
GFM
7
Gramercy Funds Management
Connecticut
$5.31M +$5.35M +289,465 New
RVP
8
Relative Value Partners
Illinois
$4.67M +$4.71M +254,525 New
SG Americas Securities
9
SG Americas Securities
New York
$1.45M +$1.46M +79,207 New
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$1.41M +$1.43M +77,146 New
CA
11
Cornerstone Advisors
North Carolina
$1.33M +$1.34M +72,361 New
LPL Financial
12
LPL Financial
California
$1.2M +$1.21M +65,543 New
RJFSA
13
Raymond James Financial Services Advisors
Florida
$1.05M +$1.06M +57,311 New
Bank of America
14
Bank of America
North Carolina
$997K +$1.01M +54,385 New
RJA
15
Raymond James & Associates
Florida
$780K +$787K +42,537 New
RIL
16
Rothschild Investment LLC
Illinois
$633K +$639K +34,550 New
U
17
UBS
Switzerland
$556K +$561K +30,326 New
FAAS
18
First Allied Advisory Services
California
$519K +$524K +28,350 New
DA
19
Doliver Advisors
Texas
$481K +$485K +26,248 New
OC
20
Oppenheimer & Co
New York
$455K +$459K +24,817 New
TJHA
21
Thomas J. Herzfeld Advisors
Florida
$440K +$444K +24,002 New
CWM
22
Concert Wealth Management
California
$425K +$429K +23,218 New
WAM
23
Wolverine Asset Management
Illinois
$402K +$406K +21,970 New
VAM
24
Visium Asset Management
New York
$392K +$395K +21,349 New
TC
25
TFS Capital
Pennsylvania
$362K +$365K +19,758 New
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