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

Institutional Holders (2016Q3)
Portfolio Summary: 53 Institutional holders with a total value of $59,506,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 COHEN & STEERS, INC. 2,252,757 13,359,000 22.45%
2 GUGGENHEIM CAPITAL LLC 1,584,989 9,399,000 15.80%
3 SIT INVESTMENT ASSOCIATES INC 906,294 5,374,000 9.03%
4 Advisors Asset Management, Inc. 836,568 4,961,000 8.34%
5 BANK OF AMERICA CORP /DE/ 621,651 3,687,000 6.20%
6 MORGAN STANLEY 598,235 3,548,000 5.96%
7 ROBINSON CAPITAL MANAGEMENT, LLC 464,826 2,756,000 4.63%
8 LADENBURG THALMANN FINANCIAL SERVICES INC. 372,847 2,211,000 3.72%
9 LPL Financial LLC 326,966 1,949,000 3.28%
10 Invesco Ltd. 310,542 1,842,000 3.10%
11 Commonwealth Equity Services, Inc 271,342 1,609,000 2.70%
12 RAYMOND JAMES & ASSOCIATES 239,767 1,422,000 2.39%
13 UBS Group AG 229,590 1,361,000 2.29%
14 BAIRD FINANCIAL GROUP, INC. 148,441 880,000 1.48%
15 ROYAL BANK OF CANADA 100,860 598,000 1.00%
16 ROWLAND CARMICHAEL ADVISORS INC /ADV 82,100 487,000 0.82%
17 Capital Investment Advisors, LLC 79,553 472,000 0.79%
18 NEXT Financial Group, Inc 74,784 443,000 0.74%
19 B. Riley Wealth Advisors, Inc. 65,537 389,000 0.65%
20 MSI Financial Services Inc 60,880 361,000 0.61%
21 Cambridge Investment Research Advisors, Inc. 51,196 304,000 0.51%
22 WELLS FARGO & COMPANY/MN 34,712 206,000 0.35%
23 Raymond James Financial Services Advisors, Inc. 33,525 199,000 0.33%
24 Glovista Investments LLC 29,013 172,000 0.29%
25 Creative Planning 23,288 138,000 0.23%
26 ADVISOR GROUP, INC. 22,736 135,000 0.23%
27 Virtu KCG Holdings LLC 17,977 107,000 0.18%
28 Cetera Advisors LLC 15,440 93,000 0.16%
29 Homrich & Berg 15,232 90,000 0.15%
30 CMT TRADING LLC 15,000 89,000 0.15%
31 CITADEL ADVISORS LLC 14,805 88,000 0.15%
32 Cetera Advisor Networks LLC 12,283 73,000 0.12%
33 Nuveen Asset Management, LLC 12,047 71,000 0.12%
34 FIRST FOUNDATION ADVISORS 11,760 70,000 0.12%
35 Sigma Planning Corp 11,090 66,000 0.11%
36 HOLLENCREST CAPITAL MANAGEMENT 10,580 62,000 0.10%
37 IFP ADVISORS, INC 10,253 61,000 0.10%
38 Stratford Consulting, LLC 10,107 60,000 0.10%
39 BANK OF MONTREAL /CAN/ 10,000 59,000 0.10%
40 GENEOS WEALTH MANAGEMENT INC. 9,544 56,000 0.09%
41 MYCIO WEALTH PARTNERS, LLC 7,080 42,000 0.07%
42 Financial Management Professionals, Inc. 6,800 40,000 0.07%
43 Carroll Financial Associates, Inc. 5,150 30,000 0.05%
44 MANUFACTURERS LIFE INSURANCE COMPANY, THE 2,999 18,000 0.03%
45 INTEGRATED INVESTMENT CONSULTANTS, LLC 2,500 15,000 0.03%
46 DELTA ASSET MANAGEMENT LLC/TN 2,192 13,000 0.02%
47 Advisory Services Network, LLC 2,000 12,000 0.02%
48 FIRST MANHATTAN CO. LLC. 1,553 9,000 0.02%
49 Barnett & Company, Inc. 1,300 8,000 0.01% PRN
50 PENSERRA CAPITAL MANAGEMENT LLC 1,053 6,000 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.