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

Institutional Holders (2016Q3)
Portfolio Summary: 29 Institutional holders with a total value of $6,809,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 73,855 2,186,000 32.10%
2 KWMG, LLC 40,446 1,197,000 17.58%
3 Private Advisor Group, LLC 28,971 857,000 12.59%
4 PRUDENTIAL PLC 23,300 689,000 10.12%
5 GOLDMAN SACHS GROUP INC 14,979 443,000 6.51%
6 JANE STREET GROUP, LLC 13,796 408,000 5.99%
7 PINNACLE ASSOCIATES LTD 10,025 297,000 4.36%
8 UBS Group AG 6,330 187,000 2.75%
9 BANK OF AMERICA CORP /DE/ 4,156 123,000 1.81%
10 WELLS FARGO & COMPANY/MN 3,043 90,000 1.32%
11 FIFTH THIRD BANCORP 2,610 77,000 1.13%
12 MSI Financial Services Inc 2,343 69,000 1.01%
13 Creative Planning 1,633 48,000 0.70%
14 INTERACTIVE FINANCIAL ADVISORS, INC. 1,382 41,000 0.60%
15 NEXT Financial Group, Inc 650 19,000 0.28%
16 DUNCKER STREETT & CO INC 300 9,000 0.13%
17 CITIGROUP INC 316 9,000 0.13%
18 ROYAL BANK OF CANADA 278 8,000 0.12%
19 JNBA Financial Advisors 263 8,000 0.12%
20 SIGNATUREFD, LLC 263 8,000 0.12%
21 LADENBURG THALMANN FINANCIAL SERVICES INC. 225 7,000 0.10%
22 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 200 6,000 0.09%
23 ADVISOR GROUP, INC. 169 5,000 0.07%
24 Concert Wealth Management Inc. 124 4,000 0.06%
25 REILLY FINANCIAL ADVISORS, LLC 150 4,000 0.06%
26 PNC FINANCIAL SERVICES GROUP, INC. 125 4,000 0.06%
27 AlphaMark Advisors, LLC 145 4,000 0.06% SH
28 BARCLAYS PLC 79 2,000 0.03%
29 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.