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

Institutional Holders (2017Q2)
Portfolio Summary: 53 Institutional holders with a total value of $62,174,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GUGGENHEIM CAPITAL LLC 1,991,076 12,384,000 19.92%
2 COHEN & STEERS, INC. 1,322,852 8,228,000 13.23%
3 Advisors Asset Management, Inc. 1,093,684 6,803,000 10.94%
4 SIT INVESTMENT ASSOCIATES INC 1,018,213 6,333,000 10.19%
5 MORGAN STANLEY 691,168 4,299,000 6.91%
6 BANK OF AMERICA CORP /DE/ 613,421 3,815,000 6.14%
7 BRAMSHILL INVESTMENTS, LLC 464,463 2,889,000 4.65%
8 ROBINSON CAPITAL MANAGEMENT, LLC 451,626 2,809,000 4.52%
9 LADENBURG THALMANN FINANCIAL SERVICES INC. 436,059 2,712,000 4.36%
10 Invesco Ltd. 334,134 2,078,000 3.34%
11 Commonwealth Equity Services, Inc 322,439 2,006,000 3.23%
12 UBS Group AG 228,307 1,420,000 2.28%
13 RAYMOND JAMES & ASSOCIATES 164,201 1,021,000 1.64%
14 BAIRD FINANCIAL GROUP, INC. 155,676 968,000 1.56%
15 AMERIPRISE FINANCIAL INC 141,902 883,000 1.42%
16 NEXT Financial Group, Inc 84,485 525,000 0.84%
17 Capital Investment Advisors, LLC 63,643 396,000 0.64%
18 Cambridge Investment Research Advisors, Inc. 54,297 338,000 0.54%
19 WELLS FARGO & COMPANY/MN 39,644 246,000 0.40%
20 Creative Planning 29,600 184,000 0.30%
21 SHEAFF BROCK INVESTMENT ADVISORS, LLC 25,493 159,000 0.26%
22 ADVISOR GROUP, INC. 22,618 140,000 0.23%
23 LPL Financial LLC 21,643 135,000 0.22%
24 Cetera Advisor Networks LLC 21,108 131,000 0.21%
25 WEDBUSH SECURITIES INC 18,293 114,000 0.18%
26 FIRST FOUNDATION ADVISORS 15,260 95,000 0.15%
27 Homrich & Berg 15,232 95,000 0.15%
28 INVESTMENT CENTERS OF AMERICA INC 13,797 85,000 0.14%
29 Janney Montgomery Scott LLC 11,901 74,000 0.12%
30 ROYAL BANK OF CANADA 11,151 70,000 0.11%
31 STIFEL FINANCIAL CORP 10,747 68,000 0.11%
32 DOLIVER ADVISORS, LP 10,870 68,000 0.11%
33 Sigma Planning Corp 10,690 66,000 0.11%
34 Cetera Advisors LLC 10,477 65,000 0.10%
35 CETERA INVESTMENT ADVISERS 10,477 65,000 0.10%
36 Stratford Consulting, LLC 10,107 63,000 0.10%
37 BANK OF MONTREAL /CAN/ 10,000 62,000 0.10%
38 GENEOS WEALTH MANAGEMENT INC. 9,883 61,000 0.10%
39 IFP ADVISORS, INC 9,603 60,000 0.10%
40 Carroll Financial Associates, Inc. 5,150 32,000 0.05%
41 Advisory Services Network, LLC 3,339 21,000 0.03%
42 MANUFACTURERS LIFE INSURANCE COMPANY, THE 3,239 20,000 0.03%
43 ENVESTNET ASSET MANAGEMENT INC 3,092 19,000 0.03%
44 INTEGRATED INVESTMENT CONSULTANTS, LLC 2,500 16,000 0.03%
45 FIRST MANHATTAN CO. LLC. 1,553 9,000 0.01%
46 Barnett & Company, Inc. 1,300 8,000 0.01% PRN
47 PENSERRA CAPITAL MANAGEMENT LLC 1,146 7,000 0.01%
48 CITIGROUP INC 1,200 7,000 0.01%
49 GLOBAL RETIREMENT PARTNERS, LLC 1,000 6,000 0.01%
50 Focused Wealth Management, Inc 897 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.