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

Institutional Holders (2017Q1)
Portfolio Summary: 37 Institutional holders with a total value of $38,061,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,122,331 9,686,000 25.45%
2 UBS Group AG 836,561 7,219,000 18.97%
3 Advisors Asset Management, Inc. 322,005 2,779,000 7.30%
4 GUGGENHEIM CAPITAL LLC 286,307 2,471,000 6.49%
5 WELLS FARGO & COMPANY/MN 279,888 2,415,000 6.35%
6 Raymond James Financial Services Advisors, Inc. 248,775 2,147,000 5.64%
7 RAYMOND JAMES & ASSOCIATES 200,575 1,731,000 4.55%
8 MML INVESTORS SERVICES, INC. 130,969 1,130,000 2.97%
9 ALTFEST L J & CO INC 93,805 810,000 2.13%
10 AMERIPRISE FINANCIAL INC 93,123 804,000 2.11%
11 Concert Wealth Management Inc. 85,753 710,000 1.87%
12 Saba Capital Management, L.P. 81,843 706,000 1.85%
13 Aviance Capital Partners, LLC 77,933 673,000 1.77%
14 Bulldog Investors, LLP 77,045 665,000 1.75%
15 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 57,845 499,000 1.31%
16 HighTower Advisors, LLC 54,656 471,000 1.24%
17 Shaker Financial Services, LLC 50,816 439,000 1.15%
18 RELATIVE VALUE PARTNERS GROUP, LLC 48,935 422,000 1.11%
19 Curi Capital, LLC 47,524 410,000 1.08%
20 WOLVERINE ASSET MANAGEMENT LLC 40,748 351,000 0.92%
21 Laurion Capital Management LP 25,713 222,000 0.58%
22 MERIDIAN INVESTMENT COUNSEL INC. 25,157 217,000 0.57%
23 SIT INVESTMENT ASSOCIATES INC 24,900 215,000 0.56%
24 Invesco Ltd. 23,096 199,000 0.52%
25 ROYAL BANK OF CANADA 17,075 147,000 0.39%
26 GEODE CAPITAL MANAGEMENT, LLC 15,447 133,000 0.35%
27 PARALLEL ADVISORS, LLC 13,419 119,000 0.31%
28 OPPENHEIMER & CO INC 10,104 87,000 0.23%
29 BANK OF AMERICA CORP /DE/ 6,639 58,000 0.15%
30 PNC FINANCIAL SERVICES GROUP, INC. 5,000 44,000 0.12%
31 IFP ADVISORS, INC 3,675 32,000 0.08%
32 ROYAL FUND MANAGEMENT, LLC 1,351 11,000 0.03%
33 ADVISOR GROUP, INC. 1,318 11,000 0.03%
34 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 1,221 11,000 0.03%
35 North Star Investment Management Corp. 1,154 10,000 0.03%
36 STEWARD PARTNERS INVESTMENT ADVISORY, LLC 863 7,000 0.02%
37 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.