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DIVIDEND & INCOME FUND
DIVIDEND & INCOME FUND. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 23 Institutional holders with a total value of $27,041,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Advisors Asset Management, Inc. 671,783 10,245,000 37.89%
2 SIT INVESTMENT ASSOCIATES INC 428,955 6,559,000 24.26%
3 IFC Holdings Incorporated/FL 209,165 3,174,000 11.74%
4 MORGAN STANLEY 114,375 1,749,000 6.47%
5 WELLS FARGO & COMPANY/MN 73,528 1,124,000 4.16%
6 Yakira Capital Management, Inc. 66,755 1,021,000 3.78%
7 NATIONAL PLANNING CORP 36,420 561,000 2.07%
8 Virtu KCG Holdings LLC 34,620 528,000 1.95%
9 TFS CAPITAL LLC 28,921 442,000 1.63%
10 Gramercy Funds Management LLC 21,080 322,000 1.19%
11 Thomas J. Herzfeld Advisors, Inc. 17,120 262,000 0.97%
12 HIGHLAND CAPITAL MANAGEMENT LP 13,475 205,000 0.76%
13 FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD 11,168 171,000 0.63%
14 Commonwealth Equity Services, Inc 10,481 160,000 0.59%
15 LPL Financial LLC 10,115 155,000 0.57%
16 ROYAL BANK OF CANADA 7,362 113,000 0.42%
17 UBS AG 5,111 78,000 0.29%
18 BANK OF AMERICA CORP /DE/ 4,689 72,000 0.27%
19 MSI Financial Services Inc 2,826 43,000 0.16%
20 NEW ENGLAND SECURITIES CORP /MA/ 2,074 32,000 0.12%
21 WFG Advisors, LP 1,377 21,000 0.08%
22 Creative Planning 150 2,000 0.01%
23 Tower Research Capital LLC (TRC) 133 2,000 0.01%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.