Dark
Light
System
Security
ALLIANZGI CONV & INCOME FD COM
ALLIANZGI CONV & INCOME FD COM. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 45 Institutional holders with a total value of $95,177,156.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 LPL Financial LLC 1,604,492 16,462,000 17.30%
2 GUGGENHEIM CAPITAL LLC 1,522,961 15,624,000 16.42%
3 COHEN & STEERS, INC. 1,214,699 12,463,000 13.09%
4 WELLS FARGO & COMPANY/MN 800,349 8,212,000 8.63%
5 BANK OF AMERICA CORP /DE/ 657,103 6,742,000 7.08%
6 UBS AG 626,393 6,427,000 6.75%
7 Oxbow Advisors, LLC 560,758 5,753,000 6.04%
8 Invesco Ltd. 462,164 4,742,000 4.98%
9 MORGAN STANLEY 395,319 4,056,000 4.26%
10 IFC Holdings Incorporated/FL 374,386 3,799,000 3.99%
11 MSI Financial Services Inc 232,128 2,382,000 2.50%
12 Capital Investment Advisors, LLC 174,484 1,790,206 1.88%
13 NATIONAL PLANNING CORP 124,503 1,276,000 1.34%
14 Raymond James Financial Services Advisors, Inc. 90,819 932,000 0.98%
15 Maryland Capital Management 60,600 621,000 0.65%
16 LADENBURG THALMANN FINANCIAL SERVICES INC. 46,830 480,000 0.50%
17 Cambridge Investment Research Advisors, Inc. 41,315 424,000 0.45%
18 ROYAL BANK OF CANADA 38,608 396,000 0.42%
19 Commonwealth Equity Services, Inc 33,357 342,000 0.36%
20 HUNTINGTON NATIONAL BANK 31,600 324,000 0.34% PRN
21 VICUS CAPITAL 25,009 257,000 0.27%
22 HYMAN CHARLES D 23,721 243,000 0.26%
23 Concert Wealth Management Inc. 20,623 208,000 0.22%
24 VSR Financial Services, Inc. 18,175 186,000 0.20%
25 CITIGROUP INC 18,016 185,000 0.19%
26 AMERICAN INTERNATIONAL GROUP, INC. 15,487 158,898 0.17%
27 Creative Planning 13,104 134,000 0.14%
28 Investors Capital Advisory Services 13,100 134,000 0.14%
29 Private Advisor Group, LLC 11,753 121,000 0.13%
30 NEW ENGLAND SECURITIES CORP /MA/ 4,610 47,000 0.05%
31 WFG Advisors, LP 4,011 41,000 0.04%
32 DEUTSCHE BANK AG\ 3,700 37,000 0.04%
33 US BANCORP \DE\ 3,393 35,000 0.04%
34 SYNOVUS FINANCIAL CORP 2,899 30,000 0.03%
35 Financial Management Professionals, Inc. 2,149 22,000 0.02%
36 REILLY FINANCIAL ADVISORS, LLC 2,019 21,000 0.02%
37 Regal Investment Advisors LLC 1,900 19,000 0.02%
38 North Star Investment Management Corp. 1,300 13,000 0.01%
39 MACROVIEW INVESTMENT MANAGEMENT LLC 1,000 10,000 0.01%
40 Lehman Financial Resources, Inc. 950 10,000 0.01%
41 Tradewinds Capital Management, LLC 674 7,000 0.01%
42 1919 Investment Counsel, LLC 300 4,000 0.00%
43 D.A. DAVIDSON & CO. 297 3,000 0.00%
44 Winslow, Evans & Crocker, Inc. 200 2,052 0.00%
45 People's United Financial, Inc. 200 2,000 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.