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ALLIANZGI EQUITY CONV INCO
ALLIANZGI EQUITY CONV INCO. Institutional holdings reported to the SEC.

Institutional Holders (2016Q2)
Portfolio Summary: 54 Institutional holders with a total value of $107,936,662.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MassMutual Private Wealth & Trust, FSB 36 662 0.00%
2 WEALTHCARE CAPITAL MANAGEMENT LLC 115 2,000 0.00%
3 Creative Planning 117 2,000 0.00%
4 Financial Architects, Inc 200 4,000 0.00%
5 TD Capital Management LLC 291 5,000 0.00%
6 Iowa State Bank 500 9,000 0.01%
7 MOSAIC FAMILY WEALTH, LLC 500 10,000 0.01%
8 MSI Financial Services Inc 591 11,000 0.01%
9 BANK OF MONTREAL /CAN/ 769 14,000 0.01%
10 Edge Wealth Management LLC 1,050 19,000 0.02% SH
11 CENTRAL TRUST Co 1,250 23,000 0.02%
12 IFP ADVISORS, INC 1,339 25,000 0.02%
13 CEDAR WEALTH MANAGEMENT, LLC 1,695 31,000 0.03%
14 SIGNATUREFD, LLC 2,000 37,000 0.03%
15 Thomas J. Herzfeld Advisors, Inc. 2,000 37,000 0.03%
16 D.A. DAVIDSON & CO. 2,500 45,000 0.04%
17 DEUTSCHE BANK AG\ 2,550 46,000 0.04%
18 GENEOS WEALTH MANAGEMENT INC. 2,526 46,000 0.04%
19 ENVESTNET ASSET MANAGEMENT INC 2,614 48,000 0.04%
20 BENJAMIN F. EDWARDS & COMPANY, INC. 7,049 130,000 0.12%
21 ADVISOR GROUP, INC. 7,850 143,000 0.13%
22 LADENBURG THALMANN FINANCIAL SERVICES INC. 10,443 192,000 0.18%
23 NATIONAL PLANNING CORP 11,086 212,000 0.20%
24 CITIGROUP INC 12,231 225,000 0.21%
25 TILLER PRIVATE WEALTH, INC. 12,890 237,000 0.22%
26 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 13,242 244,000 0.23%
27 POINTE CAPITAL MANAGEMENT LLC 16,215 298,000 0.28%
28 UNITED CAPITAL FINANCIAL ADVISORS, LLC 17,173 309,000 0.29%
29 SHEPHERD KAPLAN KROCHUK, LLC 16,960 312,000 0.29%
30 Brick & Kyle, Associates 20,035 368,000 0.34%
31 Cetera Advisors LLC 21,890 402,000 0.37%
32 Concert Wealth Management Inc. 22,275 410,000 0.38%
33 BRINKER CAPITAL INC 22,996 423,000 0.39%
34 BAIRD FINANCIAL GROUP, INC. 24,732 455,000 0.42%
35 OPPENHEIMER & CO INC 27,447 505,000 0.47%
36 TELEMUS CAPITAL, LLC 30,388 559,000 0.52%
37 RELATIVE VALUE PARTNERS GROUP, LLC 31,834 585,000 0.54%
38 ROTHSCHILD INVESTMENT LLC /IL 34,718 638,000 0.59%
39 Raymond James Financial Services Advisors, Inc. 42,415 780,000 0.72%
40 Global Endowment Management, LP 60,000 1,103,000 1.02%
41 PNC FINANCIAL SERVICES GROUP, INC. 61,738 1,136,000 1.05%
42 LPL Financial LLC 82,674 1,524,000 1.41%
43 1607 Capital Partners, LLC 98,015 1,802,000 1.67%
44 BANK OF AMERICA CORP /DE/ 117,335 2,158,000 2.00%
45 RAYMOND JAMES & ASSOCIATES 137,495 2,529,000 2.34%
46 ROYAL BANK OF CANADA 142,609 2,623,000 2.43%
47 Invesco Ltd. 243,129 4,471,000 4.14%
48 UBS Group AG 295,427 5,433,000 5.03%
49 GUGGENHEIM CAPITAL LLC 353,486 6,501,000 6.02%
50 WELLS FARGO & COMPANY/MN 444,593 8,176,000 7.57%
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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.