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

Institutional Holders (2016Q3)
Portfolio Summary: 32 Institutional holders with a total value of $35,799,973.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,135,934 9,303,000 25.99%
2 UBS Group AG 819,854 6,715,000 18.76%
3 Advisors Asset Management, Inc. 332,908 2,727,000 7.62%
4 GUGGENHEIM CAPITAL LLC 268,724 2,200,000 6.15%
5 Raymond James Financial Services Advisors, Inc. 253,238 2,074,000 5.79%
6 WELLS FARGO & COMPANY/MN 220,632 1,807,000 5.05%
7 SIT INVESTMENT ASSOCIATES INC 145,905 1,195,000 3.34%
8 MSI Financial Services Inc 142,749 1,169,000 3.27%
9 RAYMOND JAMES & ASSOCIATES 116,239 952,000 2.66%
10 Shaker Financial Services, LLC 114,092 934,000 2.61%
11 ALTFEST L J & CO INC 93,098 762,000 2.13%
12 AMERIPRISE FINANCIAL INC 89,369 732,000 2.04%
13 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 83,897 687,000 1.92%
14 Concert Wealth Management Inc. 83,699 685,000 1.91%
15 Saba Capital Management, L.P. 81,843 670,000 1.87%
16 HighTower Advisors, LLC 57,322 470,000 1.31%
17 Aviance Capital Partners, LLC 56,555 463,000 1.29%
18 RELATIVE VALUE PARTNERS GROUP, LLC 48,935 401,000 1.12%
19 Bulldog Investors, LLP 34,123 279,000 0.78%
20 Coe Capital Management, LLC 32,665 261,973 0.73%
21 Invesco Ltd. 29,875 245,000 0.68%
22 Curi Capital, LLC 27,819 228,000 0.64%
23 MERIDIAN INVESTMENT COUNSEL INC. 25,157 206,000 0.58%
24 GEODE CAPITAL MANAGEMENT, LLC 22,823 186,000 0.52%
25 CITIGROUP INC 18,151 149,000 0.42%
26 BANK OF AMERICA CORP /DE/ 15,304 126,000 0.35%
27 ROYAL BANK OF CANADA 13,337 109,000 0.30%
28 IFP ADVISORS, INC 5,576 46,000 0.13%
29 SIGNATUREFD, LLC 760 6,000 0.02%
30 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 621 6,000 0.02%
31 JNBA Financial Advisors 760 6,000 0.02%
32 LADENBURG THALMANN FINANCIAL SERVICES INC. 27 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.