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NIE

Virtus Equity & Convertible Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
AAM
1
Advisors Asset Management
Colorado
$25M +$550K +26,620 +2%
GC
2
Guggenheim Capital
Illinois
$19.3M +$570K +27,583 +3%
Wells Fargo
3
Wells Fargo
California
$18.1M +$824K +39,875 +5%
Morgan Stanley
4
Morgan Stanley
New York
$12.6M -$1.93M -93,297 -14%
KIM
5
Karpus Investment Management
New York
$7.9M -$109K -5,300 -1%
Invesco
6
Invesco
Georgia
$4.84M +$105K +5,071 +2%
Royal Bank of Canada
7
Royal Bank of Canada
Ontario, Canada
$3.92M -$111K -5,352 -3%
SDWIA
8
Schwarz Dygos Wheeler Investment Advisors
Minnesota
$2.75M +$117K +5,660 +5%
UBS Group
9
UBS Group
Switzerland
$2.64M -$436K -21,093 -15%
RJA
10
Raymond James & Associates
Florida
$2.6M +$267K +12,927 +12%
AG
11
Advisor Group
Arizona
$1.6M +$129K +6,257 +9%
PPA
12
Parametric Portfolio Associates
Washington
$1.59M -$462K -22,351 -23%
Stifel Financial
13
Stifel Financial
Missouri
$1.38M -$252K -12,201 -16%
GEM
14
Global Endowment Management
North Carolina
$1.29M
TC
15
Telemus Capital
Michigan
$1.1M
KFGK
16
Keystone Financial Group (Kentucky)
Kentucky
$874K +$82.6K +4,000 +11%
UCFA
17
United Capital Financial Advisors
Texas
$870K +$226K +10,950 +37%
Bank of America
18
Bank of America
North Carolina
$766K -$171K -8,271 -19%
LTFS
19
Ladenburg Thalmann Financial Services
Florida
$766K +$75.5K +3,655 +11%
Cambridge Investment Research Advisors
20
Cambridge Investment Research Advisors
Iowa
$739K -$228K -11,038 -24%
RIL
21
Rothschild Investment LLC
Illinois
$703K -$15.9K -769 -2%
RJFSA
22
Raymond James Financial Services Advisors
Florida
$641K +$40.2K +1,945 +7%
BTS
23
BB&T Securities
Virginia
$579K -$4.75K -230 -0.8%
CWM
24
Cornerstone Wealth Management
Missouri
$530K +$47.2K +2,284 +18%
BKA
25
Brick & Kyle Associates
Pennsylvania
$528K +$22.4K +1,085 +5%