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Guggenheim BRIC Fund
Guggenheim BRIC Fund. Institutional holdings reported to the SEC.

Institutional Holders (2014Q2)
Portfolio Summary: 44 Institutional holders with a total value of $20,030,922.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 SUSQUEHANNA INTERNATIONAL GROUP, LLP 99,585 3,533,000 17.64%
2 MORGAN STANLEY 85,229 3,024,000 15.10%
3 HL FINANCIAL SERVICES LLC 83,793 2,973,000 14.84%
4 ROYAL BANK OF CANADA 69,798 2,478,000 12.37%
5 JANE STREET GROUP, LLC 37,089 1,316,000 6.57%
6 CIBC Private Wealth Group LLC 19,800 702,000 3.50%
7 PINNACLE ASSOCIATES LTD 17,769 630,000 3.15%
8 LPL Financial LLC 16,845 598,000 2.99%
9 AMERICAN INTERNATIONAL GROUP, INC. 16,280 577,620 2.88%
10 Commonwealth Equity Services, Inc 14,370 510,000 2.55%
11 UBS AG 13,651 484,000 2.42%
12 MARCUARD FAMILY OFFICE LTD 11,000 416,000 2.08%
13 Virtu KCG Holdings LLC 8,542 303,000 1.51%
14 WELLS FARGO & COMPANY/MN 8,514 302,000 1.51%
15 BANK OF AMERICA CORP /DE/ 8,219 292,000 1.46%
16 HYMAN CHARLES D 7,875 279,000 1.39%
17 GOLDMAN SACHS GROUP INC 7,681 273,000 1.36%
18 Homrich & Berg 6,299 223,000 1.11%
19 Advisors Preferred, LLC 3,588 127,302 0.64%
20 Parallax Volatility Advisers, L.P. 3,500 124,000 0.62% Call
21 FIFTH THIRD BANCORP 3,155 112,000 0.56%
22 BlackRock Institutional Trust Company, N.A. 2,900 103,000 0.51%
23 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,840 101,000 0.50%
24 Creative Planning 2,829 100,000 0.50%
25 WFG Advisors, LP 2,316 82,000 0.41%
26 LORING WOLCOTT & COOLIDGE FIDUCIARY ADVISORS LLP/MA 1,665 59,000 0.29%
27 NEXT Financial Group, Inc 1,590 57,000 0.28%
28 CITIGROUP INC 1,593 57,000 0.28%
29 ENVESTNET ASSET MANAGEMENT INC 1,464 52,000 0.26%
30 OPTIMUM INVESTMENT ADVISORS 705 25,000 0.12%
31 1919 Investment Counsel, LLC 600 22,000 0.11%
32 BARCLAYS PLC 579 20,000 0.10%
33 AMERIPRISE FINANCIAL INC 425 15,000 0.07%
34 DUNCKER STREETT & CO INC 300 11,000 0.05%
35 SYNOVUS FINANCIAL CORP 300 11,000 0.05%
36 Alexandria Capital, LLC 236 8,000 0.04%
37 Gradient Investments LLC 230 8,000 0.04%
38 Horrell Capital Management, Inc. 145 5,000 0.02%
39 NEW ENGLAND SECURITIES CORP /MA/ 140 5,000 0.02%
40 AlphaMark Advisors, LLC 145 5,000 0.02% SH
41 JNBA Financial Advisors 100 4,000 0.02%
42 MSI Financial Services Inc 65 2,000 0.01%
43 US BANCORP \DE\ 40 1,000 0.00%
44 Ground Swell Capital, LLC 25 1,000 0.00%

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.