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ELLSWORTH GROWTH AND INCOME FU COM
ELLSWORTH GROWTH AND INCOME FU COM. Institutional holdings reported to the SEC.

Institutional Holders (2016Q1)
Portfolio Summary: 36 Institutional holders with a total value of $35,418,254.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,118,191 8,499,000 24.00%
2 UBS Group AG 765,380 5,817,000 16.42%
3 Advisors Asset Management, Inc. 349,914 2,659,000 7.51%
4 Raymond James Financial Services Advisors, Inc. 272,977 2,075,000 5.86%
5 SIT INVESTMENT ASSOCIATES INC 256,115 1,946,000 5.49%
6 GUGGENHEIM CAPITAL LLC 249,578 1,897,000 5.36%
7 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 216,088 1,642,000 4.64%
8 1607 Capital Partners, LLC 181,925 1,383,000 3.90%
9 WELLS FARGO & COMPANY/MN 179,688 1,365,000 3.85%
10 MSI Financial Services Inc 141,004 1,072,000 3.03%
11 RELATIVE VALUE PARTNERS GROUP, LLC 112,137 869,000 2.45%
12 Gramercy Funds Management LLC 109,957 836,000 2.36%
13 Saba Capital Management, L.P. 91,857 698,000 1.97%
14 RAYMOND JAMES & ASSOCIATES 85,182 647,000 1.83%
15 Concert Wealth Management Inc. 79,612 608,000 1.72%
16 Aviance Capital Partners, LLC 63,364 482,000 1.36%
17 HighTower Advisors, LLC 56,564 435,000 1.23%
18 SENTINEL TRUST CO LBA 47,100 358,000 1.01%
19 Bulldog Investors, LLP 35,123 267,000 0.75%
20 Coe Capital Management, LLC 32,665 248,254 0.70%
21 Invesco Ltd. 32,445 247,000 0.70%
22 DOLIVER ADVISORS, LP 28,108 214,000 0.60%
23 MERIDIAN INVESTMENT COUNSEL INC. 25,157 191,000 0.54%
24 Investors Capital Advisory Services 19,557 148,000 0.42%
25 GEODE CAPITAL MANAGEMENT, LLC 16,272 123,000 0.35% PRN
26 BANK OF AMERICA CORP /DE/ 14,281 109,000 0.31%
27 ROYAL BANK OF CANADA 13,337 101,000 0.29%
28 Shaker Financial Services, LLC 10,931 83,000 0.23%
29 IFP ADVISORS, INC 10,947 83,000 0.23%
30 Cambridge Investment Research Advisors, Inc. 10,811 82,000 0.23%
31 TFS CAPITAL LLC 10,804 82,000 0.23%
32 SIGNET FINANCIAL MANAGEMENT, LLC 10,133 77,000 0.22%
33 CITIGROUP INC 5,371 41,000 0.12%
34 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,443 19,000 0.05%
35 Creative Planning 1,362 10,000 0.03%
36 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 621 5,000 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.