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

Institutional Holders (2015Q2)
Portfolio Summary: 42 Institutional holders with a total value of $48,213,007.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 UBS Group AG 1,446,754 10,836,000 22.48%
2 LPL Financial LLC 1,330,825 10,168,000 21.09%
3 Investors Capital Advisory Services 664,238 4,975,000 10.32%
4 BANK OF AMERICA CORP /DE/ 551,055 4,127,000 8.56%
5 GUGGENHEIM CAPITAL LLC 460,407 3,449,000 7.15%
6 MORGAN STANLEY 451,467 3,381,000 7.01%
7 COHEN & STEERS, INC. 402,658 3,016,000 6.26%
8 MSI Financial Services Inc 292,149 2,188,000 4.54%
9 LADENBURG THALMANN FINANCIAL SERVICES INC. 184,260 1,380,000 2.86%
10 RAYMOND JAMES & ASSOCIATES 180,168 1,349,000 2.80%
11 WELLS FARGO & COMPANY/MN 61,820 463,000 0.96%
12 Cambridge Investment Research Advisors, Inc. 47,507 356,000 0.74%
13 Cetera Advisors LLC 47,296 351,000 0.73%
14 Commonwealth Equity Services, Inc 39,936 299,000 0.62%
15 BB&T SECURITIES, LLC 33,999 254,000 0.53%
16 DOLIVER ADVISORS, LP 33,774 253,000 0.52%
17 B. Riley Wealth Advisors, Inc. 29,866 224,000 0.46%
18 Creative Planning 27,866 209,000 0.43%
19 AMERICAN INTERNATIONAL GROUP, INC. 23,632 177,007 0.37%
20 ROYAL BANK OF CANADA 16,518 124,000 0.26%
21 Sigma Planning Corp 12,305 92,000 0.19%
22 Cetera Advisor Networks LLC 10,519 88,000 0.18%
23 BANK OF MONTREAL /CAN/ 10,000 75,000 0.16%
24 MARINER INVESTMENT GROUP LLC 10,000 75,000 0.16%
25 NEXT Financial Group, Inc 5,807 43,000 0.09%
26 DEUTSCHE BANK AG\ 4,027 30,000 0.06%
27 Brookstone Capital Management 3,158 24,000 0.05%
28 Tower Research Capital LLC (TRC) 3,044 23,000 0.05%
29 MYCIO WEALTH PARTNERS, LLC 3,043 23,000 0.05%
30 Carroll Financial Associates, Inc. 3,000 22,000 0.05%
31 GUPTA WEALTH MANAGEMENT LLC 2,922 22,000 0.05%
32 Regal Investment Advisors LLC 2,362 17,000 0.04%
33 DELTA ASSET MANAGEMENT LLC/TN 2,192 16,000 0.03%
34 Advisory Services Network, LLC 2,000 15,000 0.03%
35 Pinnacle Summer Investments, Inc. 2,051 15,000 0.03%
36 CITIGROUP INC 1,734 13,000 0.03%
37 FIRST MANHATTAN CO. LLC. 1,553 11,000 0.02%
38 Strategic Capital Alternatives LLC 1,440 11,000 0.02%
39 B. Riley Wealth Management, Inc. 1,340 10,000 0.02%
40 Focused Wealth Management, Inc 897 7,000 0.01%
41 Sandy Spring Bank 281 2,000 0.00%
42 PNC FINANCIAL SERVICES GROUP, INC. 1 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.