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

Institutional Holders (2016Q1)
Portfolio Summary: 32 Institutional holders with a total value of $23,616,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Tower Research Capital LLC (TRC) 51 1,000 0.00%
2 Advisory Services Network, LLC 215 2,000 0.01%
3 SEI INVESTMENTS CO 500 6,000 0.03%
4 NEXT Financial Group, Inc 712 7,000 0.03%
5 AMERICAN INTERNATIONAL GROUP, INC. 795 9,000 0.04%
6 Creative Planning 870 10,000 0.04%
7 BENJAMIN F. EDWARDS & COMPANY, INC. 1,300 15,000 0.06%
8 HUNTINGTON NATIONAL BANK 3,225 49,000 0.21% PRN
9 LADENBURG THALMANN FINANCIAL SERVICES INC. 6,960 78,000 0.33%
10 ROYAL BANK OF CANADA 7,813 87,000 0.37%
11 MSI Financial Services Inc 11,024 123,000 0.52%
12 Raymond James Financial Services Advisors, Inc. 12,395 138,000 0.58%
13 TFS CAPITAL LLC 15,290 171,000 0.72%
14 Round Table Services, LLC 17,200 192,000 0.81%
15 STIFEL FINANCIAL CORP 17,275 193,000 0.82%
16 SHEAFF BROCK INVESTMENT ADVISORS, LLC 19,100 213,000 0.90%
17 Yakira Capital Management, Inc. 31,021 346,000 1.47% SH
18 LPL Financial LLC 32,792 358,000 1.52%
19 BANK OF AMERICA CORP /DE/ 34,156 381,000 1.61%
20 WEDBUSH SECURITIES INC 35,763 399,000 1.69%
21 SG Americas Securities, LLC 39,791 444,000 1.88%
22 UBS Group AG 43,484 485,000 2.05%
23 CSS LLC/IL 63,499 709,000 3.00%
24 CITIGROUP INC 71,081 794,000 3.36%
25 WELLS FARGO & COMPANY/MN 78,754 878,000 3.72%
26 GUGGENHEIM CAPITAL LLC 112,924 1,260,000 5.34%
27 DOLIVER ADVISORS, LP 130,262 1,454,000 6.16%
28 GEODE CAPITAL MANAGEMENT, LLC 206,093 2,299,000 9.73% PRN
29 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 221,204 2,469,000 10.45%
30 DESCHUTES PORTFOLIO STRATEGY, LLC 254,600 2,841,000 12.03%
31 SIT INVESTMENT ASSOCIATES INC 293,651 3,277,000 13.88%
32 MORGAN STANLEY 352,044 3,928,000 16.63%

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.