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ALLIANZGI CONV INCOME FD I
ALLIANZGI CONV INCOME FD I. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 40 Institutional holders with a total value of $65,208,074.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 LPL Financial LLC 1,391,019 13,688,000 20.99%
2 MORGAN STANLEY 732,968 7,212,000 11.06%
3 COHEN & STEERS, INC. 727,635 7,160,000 10.98%
4 GUGGENHEIM CAPITAL LLC 512,595 5,044,000 7.74%
5 Investors Capital Advisory Services 471,550 4,640,000 7.12%
6 BANK OF AMERICA CORP /DE/ 452,689 4,454,000 6.83%
7 KMS FINANCIAL SERVICES, INC 443,017 4,359,000 6.68%
8 BB&T SECURITIES, LLC 33,059 3,253,000 4.99%
9 UBS AG 325,505 3,203,000 4.91%
10 MSI Financial Services Inc 243,305 2,394,000 3.67%
11 Invesco Ltd. 197,261 1,941,000 2.98%
12 RAYMOND JAMES & ASSOCIATES 182,839 1,799,000 2.76%
13 JANE STREET GROUP, LLC 134,685 1,325,000 2.03%
14 NATIONAL PLANNING CORP 97,654 962,000 1.48%
15 Cetera Advisors LLC 57,575 567,000 0.87%
16 WELLS FARGO & COMPANY/MN 55,903 550,000 0.84%
17 B. Riley Wealth Advisors, Inc. 51,847 510,000 0.78%
18 First Allied Advisory Services, Inc. 32,386 318,000 0.49%
19 Virtu KCG Holdings LLC 24,311 239,000 0.37%
20 Cetera Advisor Networks LLC 20,422 202,000 0.31%
21 Cambridge Investment Research Advisors, Inc. 19,135 188,000 0.29%
22 Commonwealth Equity Services, Inc 18,469 182,000 0.28%
23 WFG Advisors, LP 17,055 168,000 0.26%
24 WEDBUSH SECURITIES INC 14,377 141,000 0.22%
25 IFC Holdings Incorporated/FL 13,133 129,000 0.20%
26 HighTower Advisors, LLC 12,000 118,000 0.18%
27 LADENBURG THALMANN FINANCIAL SERVICES INC. 11,777 116,000 0.18%
28 AMERICAN INTERNATIONAL GROUP, INC. 8,036 79,074 0.12%
29 ROYAL BANK OF CANADA 7,043 69,000 0.11%
30 Creative Planning 4,696 46,000 0.07%
31 CITIGROUP INC 2,894 28,000 0.04%
32 MYCIO WEALTH PARTNERS, LLC 2,643 26,000 0.04%
33 Crosspoint Capital Strategies, LLC 2,100 21,000 0.03%
34 B. Riley Wealth Management, Inc. 2,000 20,000 0.03%
35 Pinnacle Summer Investments, Inc. 2,051 20,000 0.03%
36 ENVESTNET ASSET MANAGEMENT INC 2,040 20,000 0.03%
37 D.A. DAVIDSON & CO. 989 9,000 0.01%
38 FIFTH THIRD BANCORP 660 6,000 0.01%
39 Focused Wealth Management, Inc 190 2,000 0.00%
40 PNC FINANCIAL SERVICES GROUP, INC. 4 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.