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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 SEI INVESTMENTS CO 64 0 0.00%
2 CITIGROUP INC 245 1,000 0.00%
3 Focused Wealth Management, Inc 897 5,000 0.01%
4 PENSERRA CAPITAL MANAGEMENT LLC 1,053 6,000 0.01%
5 Barnett & Company, Inc. 1,300 8,000 0.01% PRN
6 FIRST MANHATTAN CO. LLC. 1,553 9,000 0.02%
7 Advisory Services Network, LLC 2,000 12,000 0.02%
8 DELTA ASSET MANAGEMENT LLC/TN 2,192 13,000 0.02%
9 INTEGRATED INVESTMENT CONSULTANTS, LLC 2,500 15,000 0.03%
10 MANUFACTURERS LIFE INSURANCE COMPANY, THE 2,999 18,000 0.03%
11 Carroll Financial Associates, Inc. 5,150 30,000 0.05%
12 Financial Management Professionals, Inc. 6,800 40,000 0.07%
13 MYCIO WEALTH PARTNERS, LLC 7,080 42,000 0.07%
14 GENEOS WEALTH MANAGEMENT INC. 9,544 56,000 0.09%
15 BANK OF MONTREAL /CAN/ 10,000 59,000 0.10%
16 Stratford Consulting, LLC 10,107 60,000 0.10%
17 IFP ADVISORS, INC 10,253 61,000 0.10%
18 HOLLENCREST CAPITAL MANAGEMENT 10,580 62,000 0.10%
19 Sigma Planning Corp 11,090 66,000 0.11%
20 FIRST FOUNDATION ADVISORS 11,760 70,000 0.12%
21 Nuveen Asset Management, LLC 12,047 71,000 0.12%
22 Cetera Advisor Networks LLC 12,283 73,000 0.12%
23 CITADEL ADVISORS LLC 14,805 88,000 0.15%
24 CMT TRADING LLC 15,000 89,000 0.15%
25 Homrich & Berg 15,232 90,000 0.15%
26 Cetera Advisors LLC 15,440 93,000 0.16%
27 Virtu KCG Holdings LLC 17,977 107,000 0.18%
28 ADVISOR GROUP, INC. 22,736 135,000 0.23%
29 Creative Planning 23,288 138,000 0.23%
30 Glovista Investments LLC 29,013 172,000 0.29%
31 Raymond James Financial Services Advisors, Inc. 33,525 199,000 0.33%
32 WELLS FARGO & COMPANY/MN 34,712 206,000 0.35%
33 Cambridge Investment Research Advisors, Inc. 51,196 304,000 0.51%
34 MSI Financial Services Inc 60,880 361,000 0.61%
35 B. Riley Wealth Advisors, Inc. 65,537 389,000 0.65%
36 NEXT Financial Group, Inc 74,784 443,000 0.74%
37 Capital Investment Advisors, LLC 79,553 472,000 0.79%
38 ROWLAND CARMICHAEL ADVISORS INC /ADV 82,100 487,000 0.82%
39 ROYAL BANK OF CANADA 100,860 598,000 1.00%
40 BAIRD FINANCIAL GROUP, INC. 148,441 880,000 1.48%
41 UBS Group AG 229,590 1,361,000 2.29%
42 RAYMOND JAMES & ASSOCIATES 239,767 1,422,000 2.39%
43 Commonwealth Equity Services, Inc 271,342 1,609,000 2.70%
44 Invesco Ltd. 310,542 1,842,000 3.10%
45 LPL Financial LLC 326,966 1,949,000 3.28%
46 LADENBURG THALMANN FINANCIAL SERVICES INC. 372,847 2,211,000 3.72%
47 ROBINSON CAPITAL MANAGEMENT, LLC 464,826 2,756,000 4.63%
48 MORGAN STANLEY 598,235 3,548,000 5.96%
49 BANK OF AMERICA CORP /DE/ 621,651 3,687,000 6.20%
50 Advisors Asset Management, Inc. 836,568 4,961,000 8.34%
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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.