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GUGGENHEIM ENHANCED SHORT DURATION ETF
GUGGENHEIM ENHANCED SHORT DURATION ETF. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 56 Institutional holders with a total value of $387,921,457.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ParenteBeard Wealth Management, LLC 5,417 108,523,000 27.98%
2 Pinnacle Advisory Group, Inc. 1,357,071 67,745,000 17.46%
3 NEW YORK LIFE INVESTMENT MANAGEMENT LLC 659,122 32,903,000 8.48%
4 UBS Group AG 658,353 32,865,000 8.47%
5 TD Capital Management LLC 444,541 22,191,000 5.72%
6 WELLS FARGO & COMPANY/MN 406,327 20,284,000 5.23%
7 Buckingham Capital Management, Inc. 364,314 18,187,000 4.69%
8 MORGAN STANLEY 336,394 16,793,000 4.33%
9 Coyle Financial Counsel LLC 213,058 10,636,000 2.74%
10 New England Private Wealth Advisors LLC 111,643 5,575,000 1.44%
11 GUGGENHEIM CAPITAL LLC 108,400 5,411,000 1.39%
12 MONROE BANK & TRUST/MI 106,768 5,329,000 1.37%
13 BANK OF AMERICA CORP /DE/ 100,296 5,007,000 1.29%
14 ROYAL BANK OF CANADA 91,881 4,587,000 1.18%
15 CABOT WEALTH MANAGEMENT INC 83,750 4,181,000 1.08%
16 JPMORGAN CHASE & CO 62,786 3,134,000 0.81%
17 Main Management LLC 44,820 2,237,000 0.58%
18 Janney Montgomery Scott LLC 34,264 1,710,459 0.44%
19 Advisors Preferred, LLC 33,400 1,667,040 0.43%
20 VSR Financial Services, Inc. 32,544 1,625,000 0.42%
21 LPL Financial LLC 30,070 1,501,000 0.39%
22 D.A. DAVIDSON & CO. 29,391 1,467,000 0.38%
23 FCG ADVISORS, LLC 27,329 1,364,000 0.35%
24 First Allied Advisory Services, Inc. 25,409 1,267,000 0.33%
25 Transamerica Financial Advisors, LLC 21,018 1,050,000 0.27%
26 Capital Advisors, Ltd. LLC 18,617 929,000 0.24%
27 Raymond James Financial Services Advisors, Inc. 17,855 891,000 0.23%
28 OPPENHEIMER & CO INC 17,604 879,000 0.23%
29 Astor Investment Management LLC 17,521 875,000 0.23%
30 FolioMetrix LLC 15,957 802,000 0.21%
31 Freedom Investment Management, Inc. 15,275 763,000 0.20%
32 MSI Financial Services Inc 13,892 693,000 0.18%
33 TELEMUS CAPITAL, LLC 12,664 632,000 0.16%
34 LAFFER TENGLER INVESTMENTS, INC. 11,937 595,895 0.15% PRN
35 RAYMOND JAMES & ASSOCIATES 10,025 500,000 0.13%
36 Cetera Advisor Networks LLC 8,766 438,000 0.11%
37 Partnervest Advisory Services LLC 7,597 379,000 0.10%
38 VICUS CAPITAL 6,575 328,000 0.08%
39 Fusion Investment Group, LLC 6,565 328,000 0.08%
40 Virtu KCG Holdings LLC 5,754 287,000 0.07%
41 PINNACLE ASSOCIATES LTD 5,105 255,000 0.07%
42 BLAIR WILLIAM & CO/IL 4,970 248,000 0.06%
43 Legacy Private Trust Co. 4,723 236,000 0.06%
44 DEUTSCHE BANK AG\ 2,397 119,000 0.03%
45 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,000 100,000 0.03%
46 AMERICAN INTERNATIONAL GROUP, INC. 1,850 92,352 0.02%
47 Simplicity Solutions, LLC 1,382 68,991 0.02%
48 PNC FINANCIAL SERVICES GROUP, INC. 1,354 67,000 0.02%
49 Gary Goldberg Planning Services Inc 1,000 50,000 0.01%
50 Stratos Wealth Partners, LTD. 996 49,720 0.01%
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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.