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

Institutional Holders (2016Q4)
Portfolio Summary: 58 Institutional holders with a total value of $95,667,657.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ROYAL FUND MANAGEMENT, LLC 2 0 0.00%
2 AllSquare Wealth Management LLC 8 0 0.00%
3 D.A. DAVIDSON & CO. 417 2,000 0.00%
4 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 286 2,000 0.00%
5 Carroll Financial Associates, Inc. 986 6,000 0.01%
6 North Star Investment Management Corp. 1,300 8,000 0.01%
7 PENSERRA CAPITAL MANAGEMENT LLC 1,397 8,000 0.01%
8 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,580 10,000 0.01%
9 SYNOVUS FINANCIAL CORP 2,000 13,000 0.01%
10 JPMORGAN CHASE & CO 2,933 19,000 0.02%
11 GENEOS WEALTH MANAGEMENT INC. 4,321 27,000 0.03%
12 CITIGROUP INC 6,811 44,000 0.05%
13 PNC FINANCIAL SERVICES GROUP, INC. 6,886 44,000 0.05%
14 NEXT Financial Group, Inc 9,452 60,000 0.06%
15 Stratford Consulting, LLC 10,105 64,000 0.07%
16 STIFEL FINANCIAL CORP 10,595 69,000 0.07%
17 CETERA INVESTMENT ADVISERS 13,240 85,000 0.09%
18 HYMAN CHARLES D 13,400 85,000 0.09%
19 Private Advisor Group, LLC 14,418 94,000 0.10%
20 SUSQUEHANNA INTERNATIONAL GROUP, LLP 15,655 100,000 0.10%
21 Concert Wealth Management Inc. 16,653 107,000 0.11%
22 IFP ADVISORS, INC 20,601 131,000 0.14%
23 B. Riley Wealth Advisors, Inc. 24,421 156,000 0.16%
24 RAYMOND JAMES & ASSOCIATES 24,976 159,000 0.17%
25 ROBINSON CAPITAL MANAGEMENT, LLC 25,400 162,000 0.17%
26 GOOD LIFE ADVISORS, LLC 25,639 167,000 0.17%
27 MSI Financial Services Inc 27,523 176,000 0.18%
28 NATIONAL PLANNING CORP 26,954 181,000 0.19%
29 IFC Holdings Incorporated/FL 30,700 195,000 0.20%
30 Cetera Advisor Networks LLC 30,404 195,000 0.20%
31 Creative Planning 34,243 218,000 0.23%
32 Prospera Financial Services Inc 36,131 231,000 0.24%
33 INTELLECTUS PARTNERS, LLC 38,493 246,000 0.26%
34 Maryland Capital Management 42,500 271,000 0.28%
35 MILLENNIUM MANAGEMENT LLC 46,202 295,000 0.31%
36 DOLIVER ADVISORS, LP 46,185 295,000 0.31%
37 ROYAL BANK OF CANADA 50,982 325,000 0.34%
38 LADENBURG THALMANN FINANCIAL SERVICES INC. 58,320 372,000 0.39%
39 OTA Financial Group L.P. 59,722 381,000 0.40%
40 NINE MASTS CAPITAL Ltd 84,697 540,000 0.56%
41 SONORA INVESTMENT MANAGEMENT, LLC 92,266 588,657 0.62%
42 Oxbow Advisors, LLC 97,948 625,000 0.65%
43 Laurion Capital Management LP 130,616 833,000 0.87%
44 Invesco Ltd. 157,300 1,004,000 1.05%
45 E&G Advisors, LP 164,560 1,050,000 1.10%
46 Advisors Asset Management, Inc. 227,866 1,454,000 1.52%
47 ADVISOR GROUP, INC. 272,060 1,736,000 1.81%
48 Commonwealth Equity Services, Inc 292,981 1,869,000 1.95%
49 LPL Financial LLC 385,709 2,465,000 2.58%
50 MORGAN STANLEY 502,810 3,208,000 3.35%
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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.