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

Institutional Holders (2015Q2)
Portfolio Summary: 28 Institutional holders with a total value of $14,953,931.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 HIGHLAND CAPITAL MANAGEMENT LP 105 1,000 0.01%
2 Advisory Services Network, LLC 200 3,000 0.02%
3 Sandy Spring Bank 507 7,000 0.05%
4 SEI INVESTMENTS CO 500 7,000 0.05%
5 NEXT Financial Group, Inc 712 10,000 0.07%
6 AMERICAN INTERNATIONAL GROUP, INC. 795 11,241 0.08%
7 LADENBURG THALMANN FINANCIAL SERVICES INC. 834 12,000 0.08%
8 Regal Investment Advisors LLC 1,546 21,000 0.14%
9 HUNTINGTON NATIONAL BANK 3,225 46,000 0.31% PRN
10 BANK OF AMERICA CORP /DE/ 4,725 67,000 0.45%
11 ROYAL BANK OF CANADA 5,849 83,000 0.56%
12 Sunbelt Securities, Inc. 9,738 137,690 0.92%
13 GOLDMAN SACHS GROUP INC 10,355 146,000 0.98%
14 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 11,704 165,000 1.10%
15 Capital Investment Advisors, LLC 11,760 166,000 1.11%
16 CITIGROUP INC 12,769 181,000 1.21%
17 UBS Group AG 17,342 245,000 1.64%
18 DOLIVER ADVISORS, LP 19,808 280,000 1.87%
19 WELLS FARGO & COMPANY/MN 22,343 316,000 2.11%
20 WEDBUSH SECURITIES INC 23,816 337,000 2.25%
21 BENJAMIN F. EDWARDS & COMPANY, INC. 25,110 355,000 2.37%
22 SIT INVESTMENT ASSOCIATES INC 61,218 866,000 5.79%
23 WOLVERINE ASSET MANAGEMENT LLC 76,552 1,082,000 7.24%
24 LPL Financial LLC 79,256 1,115,000 7.46%
25 GUGGENHEIM CAPITAL LLC 94,649 1,339,000 8.95%
26 Advisors Asset Management, Inc. 136,093 1,924,000 12.87%
27 IFC Holdings Incorporated/FL 208,875 2,966,000 19.83%
28 MORGAN STANLEY 216,772 3,065,000 20.50%

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.