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

Institutional Holders (2016Q4)
Portfolio Summary: 33 Institutional holders with a total value of $35,452,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,150,427 9,514,000 26.84%
2 UBS Group AG 810,250 6,701,000 18.90%
3 Advisors Asset Management, Inc. 343,601 2,838,000 8.01%
4 GUGGENHEIM CAPITAL LLC 263,394 2,176,000 6.14%
5 Raymond James Financial Services Advisors, Inc. 238,221 1,970,000 5.56%
6 WELLS FARGO & COMPANY/MN 231,827 1,917,000 5.41%
7 RAYMOND JAMES & ASSOCIATES 165,212 1,366,000 3.85%
8 MSI Financial Services Inc 146,232 1,209,000 3.41%
9 SIT INVESTMENT ASSOCIATES INC 101,452 839,000 2.37%
10 AMERIPRISE FINANCIAL INC 98,555 815,000 2.30%
11 ALTFEST L J & CO INC 93,589 774,000 2.18%
12 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 91,445 756,000 2.13%
13 Concert Wealth Management Inc. 85,753 710,000 2.00%
14 Saba Capital Management, L.P. 81,843 676,000 1.91%
15 Bulldog Investors, LLP 77,045 637,000 1.80%
16 Aviance Capital Partners, LLC 65,973 546,000 1.54%
17 HighTower Advisors, LLC 55,272 459,000 1.29%
18 RELATIVE VALUE PARTNERS GROUP, LLC 48,935 405,000 1.14%
19 Invesco Ltd. 27,564 228,000 0.64%
20 MERIDIAN INVESTMENT COUNSEL INC. 25,157 208,000 0.59%
21 INTRINSIC EDGE CAPITAL MANAGEMENT LLC 21,092 174,000 0.49%
22 GEODE CAPITAL MANAGEMENT, LLC 15,447 127,000 0.36%
23 ROYAL BANK OF CANADA 13,386 111,000 0.31%
24 CORNERSTONE ADVISORS INC 10,842 90,000 0.25%
25 BANK OF AMERICA CORP /DE/ 6,639 55,000 0.16%
26 PNC FINANCIAL SERVICES GROUP, INC. 5,000 42,000 0.12%
27 PARALLEL ADVISORS, LLC 4,489 37,000 0.10%
28 IFP ADVISORS, INC 4,023 33,000 0.09%
29 ROYAL FUND MANAGEMENT, LLC 1,351 11,000 0.03%
30 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 1,221 11,000 0.03%
31 North Star Investment Management Corp. 1,154 10,000 0.03%
32 STEWARD PARTNERS INVESTMENT ADVISORY, LLC 852 7,000 0.02%
33 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.