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

Institutional Holders (2015Q3)
Portfolio Summary: 54 Institutional holders with a total value of $37,343,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 UBS Group AG 1,299,716 6,862,000 18.38%
2 COHEN & STEERS, INC. 669,266 3,534,000 9.46%
3 Investors Capital Advisory Services 662,354 3,497,000 9.36%
4 BANK OF AMERICA CORP /DE/ 641,693 3,388,000 9.07%
5 GUGGENHEIM CAPITAL LLC 481,405 2,541,000 6.80%
6 MORGAN STANLEY 384,951 2,033,000 5.44%
7 STIFEL FINANCIAL CORP 333,442 1,761,000 4.72%
8 MSI Financial Services Inc 296,586 1,566,000 4.19%
9 CORNERSTONE ADVISORS INC 295,600 1,561,000 4.18%
10 LPL Financial LLC 281,218 1,460,000 3.91%
11 PARAMETRIC PORTFOLIO ASSOCIATES LLC 254,629 1,344,000 3.60%
12 LADENBURG THALMANN FINANCIAL SERVICES INC. 194,585 1,028,000 2.75%
13 WOLVERINE ASSET MANAGEMENT LLC 177,864 939,000 2.51%
14 RAYMOND JAMES & ASSOCIATES 176,494 932,000 2.50%
15 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 120,099 634,000 1.70%
16 BlueCrest Capital Management Ltd 80,000 422,000 1.13%
17 CITIGROUP INC 76,697 405,000 1.08%
18 Ionic Capital Management LLC 75,995 401,000 1.07%
19 TFS CAPITAL LLC 75,763 400,000 1.07%
20 B. Riley Wealth Advisors, Inc. 70,162 371,000 0.99%
21 Advisors Asset Management, Inc. 56,814 300,000 0.80%
22 WELLS FARGO & COMPANY/MN 49,301 261,000 0.70%
23 SIT INVESTMENT ASSOCIATES INC 46,455 245,000 0.66%
24 Cetera Advisors LLC 39,746 207,000 0.55%
25 BB&T SECURITIES, LLC 34,836 183,000 0.49%
26 Commonwealth Equity Services, Inc 29,204 154,000 0.41%
27 Creative Planning 20,700 109,000 0.29%
28 Sigma Planning Corp 20,293 107,000 0.29%
29 ROYAL BANK OF CANADA 17,213 91,000 0.24%
30 AMERICAN INTERNATIONAL GROUP, INC. 15,896 84,000 0.22%
31 GEODE CAPITAL MANAGEMENT, LLC 14,710 76,000 0.20% PRN
32 TWO SIGMA SECURITIES, LLC 10,327 55,000 0.15%
33 BANK OF MONTREAL /CAN/ 10,000 53,000 0.14%
34 Cetera Advisor Networks LLC 10,229 53,000 0.14%
35 Brookstone Capital Management 6,820 36,000 0.10%
36 NEXT Financial Group, Inc 6,567 34,000 0.09%
37 MYCIO WEALTH PARTNERS, LLC 6,200 33,000 0.09%
38 ENVESTNET ASSET MANAGEMENT INC 5,594 30,000 0.08%
39 BLACKROCK ADVISORS LLC 5,395 28,000 0.07%
40 Carroll Financial Associates, Inc. 3,000 16,000 0.04%
41 DEUTSCHE BANK AG\ 2,702 14,000 0.04%
42 Financial Management Professionals, Inc. 2,600 14,000 0.04%
43 GUPTA WEALTH MANAGEMENT LLC 2,226 12,000 0.03%
44 Pinnacle Summer Investments, Inc. 2,051 12,000 0.03%
45 DELTA ASSET MANAGEMENT LLC/TN 2,192 12,000 0.03%
46 Advisory Services Network, LLC 2,000 11,000 0.03%
47 JFS WEALTH ADVISORS, LLC 1,500 8,000 0.02%
48 Regal Investment Advisors LLC 1,587 8,000 0.02%
49 FIRST MANHATTAN CO. LLC. 1,553 8,000 0.02%
50 Focused Wealth Management, Inc 897 5,000 0.01%
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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.