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ALLIANZGI CONV & INCOME FD COM
ALLIANZGI CONV & INCOME FD COM. Institutional holdings reported to the SEC.

Institutional Holders (2014Q2)
Portfolio Summary: 49 Institutional holders with a total value of $96,905,634.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GUGGENHEIM CAPITAL LLC 1,507,898 15,971,000 16.48%
2 LPL Financial LLC 1,413,174 14,966,000 15.44%
3 COHEN & STEERS, INC. 869,115 9,204,000 9.50%
4 WELLS FARGO & COMPANY/MN 864,508 9,155,000 9.45%
5 UBS AG 833,112 8,823,000 9.10%
6 BANK OF AMERICA CORP /DE/ 752,336 7,967,000 8.22%
7 Oxbow Advisors, LLC 577,691 6,118,000 6.31%
8 MORGAN STANLEY 425,463 4,506,000 4.65%
9 IFC Holdings Incorporated/FL 400,146 4,244,000 4.38%
10 Invesco Ltd. 356,170 3,772,000 3.89%
11 MSI Financial Services Inc 244,993 2,594,000 2.68%
12 Capital Investment Advisors, LLC 168,617 1,786,000 1.84%
13 NATIONAL PLANNING CORP 162,808 1,724,000 1.78%
14 Raymond James Financial Services Advisors, Inc. 87,169 923,000 0.95%
15 Maryland Capital Management 60,600 642,000 0.66%
16 Cambridge Investment Research Advisors, Inc. 53,878 571,000 0.59%
17 LADENBURG THALMANN FINANCIAL SERVICES INC. 50,356 533,000 0.55%
18 ROYAL BANK OF CANADA 43,994 466,000 0.48%
19 Commonwealth Equity Services, Inc 33,985 360,000 0.37%
20 HUNTINGTON NATIONAL BANK 31,600 335,000 0.35% PRN
21 VICUS CAPITAL 28,609 303,000 0.31%
22 HYMAN CHARLES D 23,721 251,000 0.26%
23 Concert Wealth Management Inc. 21,623 222,000 0.23%
24 InterOcean Capital, LLC 18,475 196,000 0.20%
25 VSR Financial Services, Inc. 18,175 192,000 0.20%
26 CITIGROUP INC 15,778 167,000 0.17%
27 Investors Capital Advisory Services 15,430 163,000 0.17%
28 DEUTSCHE BANK AG\ 13,841 146,000 0.15%
29 Private Advisor Group, LLC 11,753 124,000 0.13%
30 Creative Planning 11,051 117,000 0.12%
31 AMERICAN INTERNATIONAL GROUP, INC. 7,009 74,221 0.08%
32 NEW ENGLAND SECURITIES CORP /MA/ 4,610 49,000 0.05%
33 WFG Advisors, LP 3,724 39,000 0.04%
34 US BANCORP \DE\ 3,393 36,000 0.04%
35 SYNOVUS FINANCIAL CORP 2,979 32,000 0.03%
36 Financial Management Professionals, Inc. 2,149 22,000 0.02%
37 Regal Investment Advisors LLC 1,900 20,000 0.02%
38 NEXT Financial Group, Inc 1,955 19,000 0.02%
39 Plante Moran Financial Advisors, LLC 1,735 18,000 0.02%
40 North Star Investment Management Corp. 1,300 14,000 0.01%
41 Lehman Financial Resources, Inc. 950 10,000 0.01%
42 Tradewinds Capital Management, LLC 674 7,000 0.01%
43 MassMutual Private Wealth & Trust, FSB 500 5,295 0.01%
44 TCI Wealth Advisors, Inc. 486 5,000 0.01%
45 1919 Investment Counsel, LLC 300 4,000 0.00%
46 D.A. DAVIDSON & CO. 305 3,000 0.00%
47 Focused Wealth Management, Inc 250 3,000 0.00%
48 Winslow, Evans & Crocker, Inc. 200 2,118 0.00%
49 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.