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

Institutional Holders (2016Q1)
Portfolio Summary: 25 Institutional holders with a total value of $3,772,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 KWMG, LLC 42,324 1,081,000 28.66%
2 MORGAN STANLEY 18,631 476,000 12.62%
3 CITADEL ADVISORS LLC 18,302 468,000 12.41%
4 LPL Financial LLC 15,803 393,000 10.42%
5 GOLDMAN SACHS GROUP INC 14,024 358,000 9.49%
6 PINNACLE ASSOCIATES LTD 10,425 266,000 7.05%
7 UBS Group AG 7,729 197,000 5.22%
8 BANK OF AMERICA CORP /DE/ 4,839 124,000 3.29%
9 MSI Financial Services Inc 3,723 95,000 2.52%
10 FIFTH THIRD BANCORP 3,030 77,000 2.04%
11 WELLS FARGO & COMPANY/MN 2,415 62,000 1.64%
12 LORING WOLCOTT & COOLIDGE FIDUCIARY ADVISORS LLP/MA 1,485 38,000 1.01%
13 Creative Planning 1,312 34,000 0.90%
14 Tower Research Capital LLC (TRC) 1,279 33,000 0.87%
15 LADENBURG THALMANN FINANCIAL SERVICES INC. 500 13,000 0.34%
16 CITIGROUP INC 516 13,000 0.34%
17 AMERICAN INTERNATIONAL GROUP, INC. 500 12,000 0.32%
18 DUNCKER STREETT & CO INC 300 8,000 0.21%
19 PNC FINANCIAL SERVICES GROUP, INC. 264 7,000 0.19%
20 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 200 5,000 0.13%
21 REILLY FINANCIAL ADVISORS, LLC 150 4,000 0.11%
22 AlphaMark Advisors, LLC 145 4,000 0.11%
23 ROYAL BANK OF CANADA 78 2,000 0.05%
24 BARCLAYS PLC 79 2,000 0.05%
25 Parallax Volatility Advisers, L.P. 1 0 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.