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Guggenheim Frontier Markets ETF
Guggenheim Frontier Markets ETF. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 37 Institutional holders with a total value of $36,182,220.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 388,313 6,457,000 17.85%
2 BLAIR WILLIAM & CO/IL 281,930 4,688,000 12.96%
3 RAYMOND JAMES & ASSOCIATES 234,023 3,892,000 10.76%
4 BANK OF AMERICA CORP /DE/ 203,768 3,389,000 9.37%
5 WELLS FARGO & COMPANY/MN 203,130 3,378,000 9.34%
6 NEW YORK LIFE INVESTMENT MANAGEMENT LLC 197,233 3,280,000 9.07%
7 FIFTH THIRD BANCORP 143,514 2,387,000 6.60%
8 BB&T SECURITIES, LLC 11,883 1,976,000 5.46%
9 JANE STREET GROUP, LLC 88,076 1,465,000 4.05%
10 ENVESTNET ASSET MANAGEMENT INC 77,417 1,287,000 3.56%
11 UBS AG 48,658 809,000 2.24%
12 UNITED CAPITAL FINANCIAL ADVISORS, LLC 39,858 663,000 1.83%
13 Virtu KCG Holdings LLC 39,808 662,000 1.83%
14 LADENBURG THALMANN FINANCIAL SERVICES INC. 20,232 336,000 0.93%
15 ROYAL BANK OF CANADA 18,782 312,000 0.86%
16 Advisors Preferred, LLC 14,306 237,908 0.66%
17 COLONY GROUP LLC 11,097 185,000 0.51%
18 Verition Fund Management LLC 10,640 177,000 0.49%
19 Regal Investment Advisors LLC 6,441 107,000 0.30%
20 BANK OF MONTREAL /CAN/ 5,365 89,000 0.25%
21 BNP PARIBAS FINANCIAL MARKETS 4,099 68,165 0.19%
22 AMERIPRISE FINANCIAL INC 3,180 53,000 0.15%
23 WFG Advisors, LP 2,450 41,000 0.11%
24 AMERICAN NATIONAL BANK & TRUST 2,023 34,000 0.09%
25 CITIGROUP INC 1,994 33,000 0.09%
26 MSI Financial Services Inc 1,700 28,000 0.08%
27 Apriem Advisors 1,600 27,000 0.07%
28 CENTRAL TRUST Co 1,602 27,000 0.07%
29 NEXT Financial Group, Inc 1,374 23,000 0.06%
30 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 1,170 19,000 0.05%
31 Crosspoint Capital Strategies, LLC 853 14,000 0.04%
32 FineMark National Bank & Trust 740 12,000 0.03%
33 AMERICAN INTERNATIONAL GROUP, INC. 550 9,147 0.03%
34 QS Investors, LLC 412 7,000 0.02%
35 Ground Swell Capital, LLC 381 6,000 0.02%
36 Creative Planning 158 3,000 0.01%
37 ALLIANCEBERNSTEIN L.P. 90 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.