Stock Transactions — ADVENT CONV & INCOME FD

Total Bought
485,519
47 transactions
Total Sold
1,326,192
30 transactions
Net
-840,673
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
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Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
RAYMOND JAMES FINANCIAL INC1,342,2941,456,665+114,3710.010.01+0.00buy
Steward Partners Investment Advisory, LLC133,661193,034+59,3730.010.01+0.00buy
LPL Financial LLC509,159557,830+48,6710.000.00+0.00buy
Shaker Financial Services, LLC048,110+48,1100.000.21+0.21buy
JANE STREET GROUP, LLC026,825+26,8250.000.00+0.00buy
WELLS FARGO & COMPANY/MN849,796876,037+26,2410.000.00+0.00buy
Cetera Investment Advisers022,931+22,9310.000.00+0.00buy
PRIVATE TRUST CO NA020,000+20,0000.000.02+0.02buy
BENJAMIN EDWARDS INC016,243+16,2430.000.00+0.00buy
Koshinski Asset Management, Inc.432,898445,813+12,9150.400.38-0.01buy
ELEVATION POINT WEALTH PARTNERS, LLC012,181+12,1810.000.01+0.01buy
NewEdge Advisors, LLC59,70870,662+10,9540.000.00+0.00buy
Cyndeo Wealth Partners, LLC108,322117,865+9,5430.080.08+0.01buy
FCA CORP /TX208,677218,186+9,5090.760.77+0.02buy
Concurrent Investment Advisors, LLC29,12438,039+8,9150.010.01+0.00buy
Calamos Advisors LLC28,98235,282+6,3000.000.00+0.00buy
CoreCap Advisors, LLC12,90018,555+5,6550.010.01+0.00buy
Rockefeller Capital Management L.P.05,038+5,0380.000.00+0.00buy
Atlantic Union Bankshares Corp04,700+4,7000.000.00+0.00buy
Penserra Capital Management LLC1,210,9141,214,315+3,4010.200.19-0.02buy
Integrated Wealth Concepts LLC31,02134,337+3,3160.000.00+0.00buy
BANK OF AMERICA CORP /DE/66,70469,815+3,1110.000.00+0.00buy
Beacon Pointe Advisors, LLC22,01423,428+1,4140.000.00-0.00buy
Triumph Capital Management01,026+1,0260.000.00+0.00buy
OSAIC HOLDINGS, INC.127,526128,456+9300.000.00-0.00buy
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC50,04950,620+5710.000.00-0.00buy
HIGHLINE WEALTH PARTNERS LLC0500+5000.000.00+0.00buy
Advisory Services Network, LLC0343+3430.000.00+0.00buy
Ellevest, Inc.10,46510,762+2970.020.02-0.00buy
Trust Investment Advisors12,36112,650+2890.090.09+0.00buy
PFG Investments, LLC51,82552,104+2790.040.03-0.00buy
CALTON & ASSOCIATES, INC.11,47311,749+2760.020.02-0.00buy
Oxbow Advisors, LLC14,03514,302+2670.020.02-0.00buy
Newbridge Financial Services Group, Inc.24,44824,636+1880.050.05-0.00buy
Tactive Advisors, LLC15,16215,331+1690.060.06-0.00buy
Cambridge Investment Research Advisors, Inc.68,34568,475+1300.000.00-0.00buy
COMERICA BANK18,23118,347+1160.000.00+0.00buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO4,0614,167+1060.000.00-0.00buy
CWM, LLC423528+1050.000.00+0.00buy
Stolper Co60,99761,086+890.240.24-0.01buy
Encompass More Asset Management14,27014,322+520.040.04-0.01buy
Vanguard Capital Wealth Advisors20,26120,288+270.240.21-0.04buy
CIBC Private Wealth Group LLC2,0182,038+200.000.00+0.00buy
TRUIST FINANCIAL CORP19,92419,937+130.000.00-0.00buy
OPPENHEIMER & CO INC12,04012,046+60.000.00-0.00buy
LEVEL FOUR ADVISORY SERVICES, LLC13,44113,443+20.010.01-0.00buy
Twelve Points Wealth Management LLC34,78034,781+10.110.11-0.00buy
ZIONS BANCORPORATION, NATIONAL ASSOCIATION /UT/2,0102,01000.000.00-0.00hold
MeadowBrook Investment Advisors LLC4,1554,15500.040.05+0.00hold
North Star Investment Management Corp.42042000.000.00-0.00hold
ASSETMARK, INC26226200.000.00-0.00hold
GHP Investment Advisors, Inc.1,3001,30000.000.00+0.00hold
Allworth Financial LP40040000.000.00-0.00hold
Moors & Cabot, Inc.29,50029,50000.020.02-0.00hold
McIlrath & Eck, LLC80580500.000.00-0.00hold
Sound Income Strategies, LLC1,4001,40000.000.00+0.00hold
Golden State Wealth Management, LLC1,0261,02600.000.00-0.00hold
Fortis Group Advisors, LLC54454400.000.00+0.00hold
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC46,03646,03600.040.05+0.00hold
Heron Bay Capital Management42,82342,82300.100.10+0.00hold
WCG Wealth Advisors LLC36,75236,75200.030.03+0.00hold
Ameritas Advisory Services, LLC38,10938,10900.020.03+0.01hold
Centurion Wealth Management LLC32,27332,27300.110.09-0.02hold
MELFA WEALTH MANAGEMENT, INC.13,80213,80200.110.10-0.00hold
Federation des caisses Desjardins du Quebec1,0001,00000.000.00-0.00hold
Gen-Wealth Partners Inc49549500.000.00-0.00hold
Sage Capital Management, LLC33,20033,20000.190.19-0.00hold
US BANCORP \DE\1,4741,47400.000.00-0.00hold
HARBOUR INVESTMENTS, INC.10,01110,01100.000.00-0.00hold
Baird Financial Group, Inc.303,787303,715-720.010.01-0.00sell
KESTRA PRIVATE WEALTH SERVICES, LLC19,57719,381-1960.000.00-0.00sell
WPG Advisers, LLC2540-2540.000.00-0.00sell
Modern Wealth Management, LLC73,66873,287-3810.020.02-0.00sell
Global Retirement Partners, LLC702314-3880.000.00-0.00sell
Windsor Capital Management, LLC21,32920,882-4470.080.07-0.00sell
ATTICUS WEALTH MANAGEMENT, LLC8370-8370.000.00-0.00sell
NWF Advisory Services Inc.72,89371,993-9000.110.10-0.00sell
Geneos Wealth Management Inc.1,52299-1,4230.000.00-0.00sell
Compound Planning, Inc.22,73121,156-1,5750.010.01-0.00sell
ROYAL BANK OF CANADA45,16043,381-1,7790.000.00-0.00sell
Waverly Advisors, LLC57,18254,151-3,0310.010.01-0.00sell
STIFEL FINANCIAL CORP14,07910,256-3,8230.000.00-0.00sell
Formidable Asset Management, LLC98,83193,331-5,5000.190.18-0.01sell
COMMONWEALTH EQUITY SERVICES, LLC177,953170,508-7,4450.000.00-0.00sell
GUGGENHEIM CAPITAL LLC689,582681,562-8,0200.070.06-0.00sell
UNITED CAPITAL FINANCIAL ADVISORS, LLC10,0000-10,0000.000.00-0.00sell
UBS Group AG120,551109,001-11,5500.000.00-0.00sell
L.M. KOHN & COMPANY13,1650-13,1650.040.00-0.04sell
Mariner, LLC13,2840-13,2840.000.00-0.00sell
Arete Wealth Advisors, LLC310,918296,531-14,3870.270.24-0.03sell
Elequin Capital, LP15,4160-15,4160.030.00-0.03sell
Creative Planning159,249141,599-17,6500.000.00-0.00sell
SUSQUEHANNA INTERNATIONAL GROUP, LLP27,8530-27,8530.000.00-0.00sell
Invesco Ltd.80,39551,282-29,1130.000.00-0.00sell
Advisors Asset Management, Inc.805,578739,152-66,4260.170.16-0.01sell
Quarry LP249,67595,975-153,7000.700.30-0.40sell
MORGAN STANLEY736,993526,279-210,7140.000.00-0.00sell
SIT INVESTMENT ASSOCIATES INC3,678,5913,331,428-347,1630.950.86-0.09sell
ABSOLUTE INVESTMENT ADVISERS, LLC616,686256,986-359,7000.920.41-0.51sell
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