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

Institutional Holders (2015Q3)
Portfolio Summary: 33 Institutional holders with a total value of $11,377,904.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 IFC Holdings Incorporated/FL 205,200 2,271,000 19.96%
2 MORGAN STANLEY 190,876 2,071,000 18.20%
3 GEODE CAPITAL MANAGEMENT, LLC 84,484 916,000 8.05% PRN
4 Curi Capital, LLC 81,588 885,000 7.78%
5 GUGGENHEIM CAPITAL LLC 80,697 875,000 7.69%
6 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 65,520 709,000 6.23%
7 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 58,164 631,000 5.55%
8 TFS CAPITAL LLC 37,000 401,000 3.52%
9 Advisors Asset Management, Inc. 29,913 325,000 2.86%
10 DOLIVER ADVISORS, LP 28,461 309,000 2.72%
11 WEDBUSH SECURITIES INC 25,666 278,000 2.44%
12 UBS Group AG 20,568 223,000 1.96%
13 WELLS FARGO & COMPANY/MN 20,312 221,000 1.94%
14 Virtu KCG Holdings LLC 17,991 195,000 1.71%
15 LPL Financial LLC 17,143 191,000 1.68%
16 Weiss Asset Management LP 17,173 186,000 1.63%
17 Capital Investment Advisors, LLC 11,348 123,000 1.08%
18 CSS LLC/IL 10,960 119,000 1.05%
19 CITIGROUP INC 10,054 110,000 0.97%
20 Sunbelt Securities, Inc. 9,761 105,904 0.93%
21 ROYAL BANK OF CANADA 6,360 69,000 0.61%
22 BANK OF AMERICA CORP /DE/ 3,875 42,000 0.37%
23 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,879 31,000 0.27%
24 BENJAMIN F. EDWARDS & COMPANY, INC. 2,610 28,000 0.25%
25 Regal Investment Advisors LLC 1,836 19,000 0.17%
26 AMERICAN INTERNATIONAL GROUP, INC. 795 9,000 0.08%
27 WOLVERINE ASSET MANAGEMENT LLC 913 9,000 0.08%
28 NEXT Financial Group, Inc 712 7,000 0.06%
29 Windsor Capital Management, LLC 600 6,000 0.05%
30 Sandy Spring Bank 507 6,000 0.05%
31 SEI INVESTMENTS CO 500 5,000 0.04%
32 Advisory Services Network, LLC 200 2,000 0.02%
33 BlackRock Investment Management, LLC 7 0 0.00%

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.