ECF · Ellsworth Growth & Income Fund Ltd · Holdings

$11.47 +0.07 (+0.61%) At close · Oct 26

Market Cap

$156.66M

13.66M

Volume · Oct 26 27.22K Avg daily vol (3M) 32.94K

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP → See every holder of ECF: 13F, 13D and 13G, insiders and funds →

The Sep 30, 2026 filing window is still open — showing the latest known positions. Funds that have not filed yet carry their prior-quarter positions; a fund that filed without this stock counts as sold out. Each fund's Change is measured against its own previous reported quarter, shown in the Reported column. Pick a completed quarter in the Quarter selector below to put every fund on one quarter and see the stock-wide activity breakdown.

Quarter:

Holders: 50

Total Value: $84,814,364

Total Shares: 6,443,458

Institutional Ownership Trend

27 quarters

Holder Concentration

Across 51 13F filers

Top Holder

24.8%

of institutional value

Top 5

63.7%

of institutional value

Top 10

78.7%

of institutional value

HHI

1,155

Broadly held

Who Holds ECF

Last 8 quarters through Sep 30, 2026 (filing window open)

Each kind of 13F filer's share of the common shares 13F filers report. Holder type comes from regulatory records, never the filer's name; style, turnover and horizon are measured from each filer's own 13F book. The quarter selector does not change this card.

Jun 30, 2026, the newest closed quarter: 51 filers, like-for-like change +1.5%; actively managed books +1.6%; index-like books -1.1%.

Holder type	Share	Filers	Change	New	Exited
Registered adviser	63.5%	30	+4.0%	4	2
Adviser	4.6%	2	-11.8%	0	0
Bank	15.6%	3	-0.8%	0	0
Broker-dealer	0.4%	1	+0.5%	0	0
Holding company	2.5%	2	-0.1%	0	0
Unknown	13.5%	13	-1.8%	2	2

Style	Share	Filers	Change	New	Exited
Index-like	2.2%	1	-1.1%	0	0
Concentrated	3.0%	7	+5.1%	3	2
Diversified active	94.8%	43	+1.5%	3	2
Systematic-like	0.0%	0	—	0	0
Not measured	0.0%	0	—	0	0
Unknown	0.0%	0	—	0	0

Turnover	Share	Filers	Change	New	Exited
Low turnover	64.6%	35	-0.8%	3	4
Medium turnover	29.6%	6	+2.3%	1	0
High turnover	3.0%	4	+76.9%	1	0
Unknown	2.8%	6	-0.6%	1	0
Not measured	0.0%	0	—	0	0

Holding horizon	Share	Filers	Change	New	Exited
Short horizon	3.3%	7	+9.6%	2	0
Medium horizon	6.7%	7	-6.8%	1	1
Long horizon	59.7%	32	+0.4%	2	3
Unknown	30.3%	5	+5.3%	1	0
Not measured	0.0%	0	—	0	0

13F book size	Share	Filers	Change	New	Exited
Under $1B	11.6%	15	+11.3%	2	2
$1B to $10B	50.0%	12	+2.8%	2	0
$10B to $100B	13.8%	14	-3.8%	1	1
$100B or more	24.5%	10	-1.6%	1	1
Not measured	0.0%	0	—	0	0

Client base	Share	Filers	Change	New	Exited
Individuals and high net worth	11.5%	22	+11.5%	3	2
Pooled investment vehicles	27.5%	4	+5.0%	1	0
Registered funds and BDCs	24.3%	3	0.0%	0	0
Pension and profit sharing plans	0.3%	1	-17.8%	0	0
Other investment advisers	0.0%	0	—	0	0
Unknown	36.5%	21	-2.7%	2	2

Private funds	Share	Filers	Change	New	Exited
Hedge funds	28.3%	5	+4.8%	1	0
Other private funds	22.1%	5	-0.4%	0	0
No private funds	13.1%	20	+10.8%	3	1
Real estate funds	0.0%	0	-100.0%	0	1
Private equity funds	0.0%	0	—	0	0
Unknown	36.5%	21	-2.7%	2	2

Location	Share	Filers	Change	New	Exited
United States	98.5%	48	+1.4%	6	4
Outside the US	1.5%	3	+8.1%	0	0

The Sep 30, 2026 filing window is still open, so its bar carries the Jun 30, 2026 positions of filers that have not filed yet.

How the mix is measured

Shares are 13F common shares restated to today's split basis; options and principal amounts are left out. The change compares only filers with a 13F in both quarters and keeps each filer in its bucket of the later quarter on both sides; a filer that continues under a new CIK is compared through its successor. Holder type comes from each filer's current regulatory profile; client base and private funds come from the Form ADV roster current at each quarter end (rosters from December 2019, so an earlier quarter reads Unknown). Style, turnover, horizon and book size are measured from each filer's 13F book in the newest measured quarter, and Not measured means none was. Actively managed books are those measured systematic-like, concentrated or diversified active.

Excluded 2 holders with no observed 2026-03-31 13F and 1 holder with no observed 2026-06-30 13F.

Conviction and Crowding

51 13F filers, quarter ended Jun 30, 2026

Measured across every 13F filer's common-share book once the quarter's filing window closed. Crowding counts filers with high turnover or that advise private funds on Form ADV.

Conviction holders

0.000% of filers hold it in their top 10

Mar 31, 2026: 0

Holders above 5%

median weight 0.006%

Mar 31, 2026: 0

Crowding

—

no cover-page share count is dated within about a year of the quarter end

Private-fund advisers

—

of shares outstanding

Institutional ownership

—

no cover-page share count is dated within about a year of the quarter end

Top 10 holders

78.7%

of 13F shares, Herfindahl 0.115

Active holders

+1.6%

like-for-like share change of active filers

5% stakes on record

1 13D, 2 13G (2 institutional, 0 passive, 0 exempt)

How long holders have held it value-weighted 17.0 quarters

Under 1 year 5.19% 1 to 3 years 23.6% 3 years or more 71.2% Since coverage start 0.000%

Managers in the top fifth by current three-year FundScore alpha were net buyers of $0 (0 buying, 0 selling).

Estimated Holder Cost Basis

Quarter ended Jun 30, 2026, on that quarter's share basis

Estimated, never filed: each 13F buy is costed at its quarter's average traded price and each sale keeps the average cost, so this is what holders paid on average if they traded evenly through each quarter.

Estimated avg cost

$9.69

estimated per share

Mar 31, 2026: $9.56

Quarter-end price

$13.21

implied by 13F values

Estimated gain or loss

+36.3%

price against the estimated cost

Estimated at a loss

0.278%

of costed 13F value

Estimated cost covers 61.9% of the 13F shares; positions already held when a filer's 13F history starts, or bought in a quarter without a trusted average price, have no estimate.

Fund Ownership of ECF by Fund Type

Registered funds' Form N-PORT reports for the quarter ended Jun 30, 2026

Index funds and index ETFs hold 0.00% of shares outstanding.

Fund type	Of shares outstanding	Change	Shares	Funds
Index funds	0.00%	0.00 pp	0	0
Index ETFs	0.00%	0.00 pp	0	0
Active ETFs	1.34%	0.00 pp	183,535	1
Active funds	2.17%	-0.02 pp	296,300	6
Unclassified	0.00%	0.00 pp	0	0
All registered funds	3.51%	-0.02 pp	479,835	7

How fund types are measured

Each fund series counts once, with its latest Form N-PORT report dated inside the quarter; only long share positions count, restated to today's split basis. The fund type is the series' latest Form N-CEN answer on or before the quarter end (the index-fund box and the exchange-traded flag), never its name. Unclassified funds have no usable N-CEN; unit investment trusts are among them, so index ownership is a floor. Funds sit inside their advisers' 13F reports, so these shares overlap the 13F figures and are never added to them.

Holder type: Registered adviser 29 Adviser 2 Bank 3 Broker-dealer 1 Holding company 2 Unknown 13

Showing 50 of 50

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

Saba Capital Management, L.P.

$21,192,446

24.99%

1,604,273

SIT INVESTMENT ASSOCIATES INC

$12,373,159

14.59%

936,651

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SIT FIXED INCOME ADVISORS II LLC /ADV	936,651	$12,373,159	100.0%	Sole

WELLS FARGO & COMPANY/MN

$12,309,684

14.51%

931,846

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC	8,756	$115,666	0.9%	Defined
WELLS FARGO CLEARING SERVICES, LLC	923,090	$12,194,018	99.1%	Defined

Advisors Asset Management, Inc.

$5,322,097

6.27%

402,884

BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC

$3,159,092

3.72%

239,144

Bulldog Investors, LLP

$3,013,650

3.55%

228,134

Pathstone Holdings, LLC

$2,766,068

3.26%

209,392

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
ADVISOR PARTNERS II, LLC	209,392	$2,766,068	100.0%	Defined

GUGGENHEIM CAPITAL LLC

$2,559,767

3.02%

193,775

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
GUGGENHEIM FUNDS DISTRIBUTORS, LLC	190,659	$2,518,605	98.4%	Defined
SECURITY INVESTORS LLC	3,116	$41,162	1.6%	Defined

Invesco Ltd.

$2,531,009

2.98%

191,598

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Invesco Investment Advisers LLC	191,598	$2,531,009	100.0%	Defined

MORGAN STANLEY

$1,886,413

2.22%

142,802

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY SMITH BARNEY LLC	142,617	$1,883,970	99.9%	Defined
PARAMETRIC PORTFOLIO ASSOCIATES LLC	185	$2,443	0.1%	Defined

Baird Financial Group, Inc.

$1,762,795

2.08%

133,444

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Robert W. Baird & Co. Inc	133,444	$1,762,795	100.0%	Defined

AMERIPRISE FINANCIAL INC

$1,375,187

1.62%

104,102

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Ameriprise Financial Services, LLC	104,102	$1,375,187	100.0%	Defined

CAPSTONE INVESTMENT ADVISORS, LLC

$1,076,482

1.27%

81,490

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Capstone Investment Advisors (UK), LLP	81,490	$1,076,482	100.0%	Defined

RAYMOND JAMES FINANCIAL INC

$1,074,342

1.27%

81,328

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	17,401	$229,867	21.4%	Defined
Raymond James Financial Services Advisors, Inc.	63,927	$844,475	78.6%	Defined

VIMA LLC

$1,029,473

1.21%

87,839

WOLVERINE ASSET MANAGEMENT LLC

$1,014,224

1.20%

76,777

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Wolverine Holdings, LLC	76,777	$1,014,224	100.0%	Defined

UHLMANN PRICE SECURITIES, LLC

$976,060

1.15%

73,888

EVOLVE PRIVATE WEALTH, LLC

$874,541

1.03%

66,203

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
AQR Flex	66,203	$874,541	100.0%	Defined

ROYAL BANK OF CANADA

$721,992

0.85%

54,655

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RBC Capital Markets, LLC	54,655	$721,992	100.0%	Defined

Institute for Wealth Management, LLC.

$690,737

0.81%

52,289

NewEdge Advisors, LLC

$660,288

0.78%

49,984

Waverly Advisors, LLC

$514,119

0.61%

38,919

Shaker Financial Services, LLC

$486,696

0.57%

41,527

COMMONWEALTH EQUITY SERVICES, LLC

$430,540

0.51%

32,592

ENVESTNET ASSET MANAGEMENT INC

$427,105

0.50%

32,332

Focus Partners Wealth

$422,799

0.50%

32,006

Aviance Capital Partners, LLC

$408,255

0.48%

30,905

Private Advisor Group, LLC

$357,053

0.42%

27,029

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

$326,448

0.38%

27,854

K2 PRINCIPAL FUND, L.P.

$325,216

0.38%

24,619

LPL Financial LLC

$311,042

0.37%

23,546

UBS Group AG

$266,630

0.31%

20,184

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
UBS Financial Services Inc	18,955	$250,395	93.9%	Defined
UBS Securities LLC	1,229	$16,235	6.1%	Defined

OSAIC HOLDINGS, INC.

$261,967

0.31%

19,831

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	19,831	$261,967	100.0%	Defined

Ruggaard & Associates LLC

$247,978

0.29%

18,772

CAPTRUST FINANCIAL ADVISORS

$240,976

0.28%

18,242

Cambridge Investment Research Advisors, Inc.

$230,355

0.27%

17,438

PMG Family Office LLC

$217,769

0.26%

18,581

CEERA INVESTMENTS, LLC

$181,227

0.21%

13,719

Beckerman Institutional, LLC

$169,008

0.20%

12,794

READYSTATE ASSET MANAGEMENT LP

$153,896

0.18%

11,650

Old Port Advisors

$130,689

0.15%

11,151

MERIDIAN INVESTMENT COUNSEL INC.

$130,092

0.15%

11,100

IFG Advisory, LLC

$53,540

0.06%

4,053

GILPIN WEALTH MANAGEMENT, LLC

$46,880

0.06%

4,000

Global Retirement Partners, LLC

$27,952

0.03%

2,116

Clear Street Group Inc.

$24,240

0.03%

1,835

Cape Investment Advisory, Inc.

$20,709

0.02%

1,767

NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO

$17,173

0.02%

1,300

Basepoint Wealth LLC

$14,478

0.02%

1,096

Parallel Advisors, LLC

$26

0.00%

Key facts CIK 793040 CUSIP 289074106 13F (30d) 8 filings 8 filers Visit website