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

Institutional Holders (2016Q1)
Portfolio Summary: 60 Institutional holders with a total value of $65,084,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GUGGENHEIM CAPITAL LLC 1,500,337 7,322,000 11.25%
2 RIVERNORTH CAPITAL MANAGEMENT, LLC 1,241,069 6,056,000 9.30%
3 COHEN & STEERS, INC. 1,177,201 5,745,000 8.83%
4 UBS Group AG 713,655 3,483,000 5.35%
5 PARAMETRIC PORTFOLIO ASSOCIATES LLC 681,979 3,328,000 5.11%
6 BANK OF AMERICA CORP /DE/ 667,952 3,260,000 5.01%
7 Advisors Asset Management, Inc. 660,638 3,224,000 4.95%
8 Investors Capital Advisory Services 581,816 2,839,000 4.36%
9 MORGAN STANLEY 575,231 2,807,000 4.31%
10 LPL Financial LLC 547,617 2,672,000 4.11%
11 CORNERSTONE ADVISORS INC 530,926 2,591,000 3.98%
12 SIT INVESTMENT ASSOCIATES INC 508,325 2,481,000 3.81%
13 NINE MASTS CAPITAL Ltd 427,724 2,087,000 3.21%
14 ROBINSON CAPITAL MANAGEMENT, LLC 377,926 1,844,000 2.83%
15 MSI Financial Services Inc 318,577 1,555,000 2.39%
16 DOLIVER ADVISORS, LP 307,759 1,502,000 2.31%
17 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 292,794 1,429,000 2.20%
18 STIFEL FINANCIAL CORP 288,416 1,407,000 2.16%
19 Raymond James Financial Services Advisors, Inc. 274,695 1,341,000 2.06%
20 LADENBURG THALMANN FINANCIAL SERVICES INC. 259,051 1,264,000 1.94%
21 SG Americas Securities, LLC 239,452 1,169,000 1.80%
22 RAYMOND JAMES & ASSOCIATES 159,499 778,000 1.20%
23 Invesco Ltd. 125,987 615,000 0.94%
24 Ionic Capital Management LLC 117,475 573,000 0.88%
25 BAIRD FINANCIAL GROUP, INC. 96,215 470,000 0.72%
26 ROWLAND CARMICHAEL ADVISORS INC /ADV 87,100 425,000 0.65%
27 MARINER INVESTMENT GROUP LLC 74,359 363,000 0.56%
28 CITIGROUP INC 70,801 346,000 0.53%
29 B. Riley Wealth Advisors, Inc. 64,704 316,000 0.49%
30 WOLVERINE ASSET MANAGEMENT LLC 54,385 265,000 0.41%
31 Cambridge Investment Research Advisors, Inc. 42,552 208,000 0.32%
32 Commonwealth Equity Services, Inc 26,635 130,000 0.20%
33 AQR ARBITRAGE LLC 24,938 122,000 0.19%
34 WELLS FARGO & COMPANY/MN 24,770 121,000 0.19%
35 Creative Planning 22,396 109,000 0.17%
36 Cetera Advisors LLC 19,020 93,000 0.14%
37 GENEOS WEALTH MANAGEMENT INC. 18,228 89,000 0.14%
38 AMERICAN INTERNATIONAL GROUP, INC. 17,999 88,000 0.14%
39 Sigma Planning Corp 14,892 73,000 0.11%
40 IFP ADVISORS, INC 10,253 50,000 0.08%
41 Cetera Advisor Networks LLC 10,229 50,000 0.08%
42 BANK OF MONTREAL /CAN/ 10,000 49,000 0.08%
43 Stratford Consulting, LLC 10,000 49,000 0.08%
44 PNC FINANCIAL SERVICES GROUP, INC. 7,976 39,000 0.06%
45 NEXT Financial Group, Inc 7,005 34,000 0.05%
46 ROYAL BANK OF CANADA 6,872 34,000 0.05%
47 Financial Management Professionals, Inc. 6,800 33,000 0.05%
48 BLACKROCK ADVISORS LLC 6,785 33,000 0.05%
49 MYCIO WEALTH PARTNERS, LLC 6,642 32,000 0.05%
50 Carroll Financial Associates, Inc. 3,100 15,000 0.02%
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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.