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NIE

Virtus Equity & Convertible Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$17.8M -$3.25M -165,267 -15%
Wells Fargo
2
Wells Fargo
California
$15M +$1.22M +62,215 +9%
AAM
3
Advisors Asset Management
Colorado
$12M +$1.63M +83,042 +16%
KIM
4
Karpus Investment Management
New York
$10.7M -$8.94M -454,794 -46%
GC
5
Guggenheim Capital
Illinois
$9.99M +$1.57M +79,847 +19%
RCM
6
Rivernorth Capital Management
Florida
$6.73M +$703K +35,755 +12%
UBS Group
7
UBS Group
Switzerland
$5.18M -$19.5K -991 -0.4%
Invesco
8
Invesco
Georgia
$4.39M -$120K -6,122 -3%
Royal Bank of Canada
9
Royal Bank of Canada
Ontario, Canada
$3.27M +$175K +8,880 +6%
RJA
10
Raymond James & Associates
Florida
$1.98M +$45.1K +2,292 +2%
Bank of America
11
Bank of America
North Carolina
$1.76M +$256K +13,037 +17%
BC
12
Brinker Capital
Pennsylvania
$1.57M -$502K -25,511 -24%
Cambridge Investment Research Advisors
13
Cambridge Investment Research Advisors
Iowa
$1.4M +$1.4M +70,971 New
SFS
14
Shaker Financial Services
Virginia
$1.38M +$45.5K +2,312 +3%
GEM
15
Global Endowment Management
North Carolina
$1.19M
PPA
16
Parametric Portfolio Associates
Washington
$1.14M +$1.14M +57,874 New
TC
17
Telemus Capital
Michigan
$905K -$8.85K -450 -1%
PNC Financial Services Group
18
PNC Financial Services Group
Pennsylvania
$761K -$103K -5,250 -12%
NPC
19
National Planning Corporation
California
$691K +$447K +22,721 +188%
RIL
20
Rothschild Investment LLC
Illinois
$662K -$23.6K -1,200 -3%
Citigroup
21
Citigroup
New York
$661K +$394K +20,030 +149%
RJFSA
22
Raymond James Financial Services Advisors
Florida
$659K -$6.06K -308 -0.9%
OC
23
Oppenheimer & Co
New York
$539K +$35.7K +1,817 +7%
BTS
24
BB&T Securities
Virginia
$523K +$99.8K +5,074 +24%
CA
25
Cetera Advisors
Colorado
$455K +$43.6K +2,219 +11%