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

Institutional Holders (2015Q4)
Portfolio Summary: 79 Institutional holders with a total value of $309,320,899.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 1,098,762 54,784,000 17.71%
2 Buckingham Capital Management, Inc. 758,103 37,799,000 12.22%
3 UBS Group AG 603,229 30,077,000 9.72%
4 Astor Investment Management LLC 444,367 22,156,000 7.16%
5 Stratos Wealth Partners, LTD. 362,722 18,085,000 5.85%
6 BANK OF AMERICA CORP /DE/ 338,613 16,883,000 5.46%
7 AVIANCE CAPITAL MANAGEMENT, LLC 303,774 15,146,000 4.90%
8 MORGAN STANLEY 285,534 14,237,000 4.60%
9 Coyle Financial Counsel LLC 212,535 10,597,000 3.43%
10 LADENBURG THALMANN FINANCIAL SERVICES INC. 157,420 7,849,000 2.54%
11 MONROE BANK & TRUST/MI 123,706 6,167,000 1.99%
12 STIFEL FINANCIAL CORP 553 6,054,000 1.96%
13 GUGGENHEIM CAPITAL LLC 108,400 5,406,000 1.75%
14 STEEL GROVE CAPITAL ADVISORS, LLC 92,482 4,620,000 1.49%
15 New England Private Wealth Advisors LLC 92,527 4,613,000 1.49%
16 JANE STREET GROUP, LLC 89,333 4,454,000 1.44%
17 CABOT WEALTH MANAGEMENT INC 66,910 3,336,000 1.08%
18 Capital Analysts, LLC 51,883 2,586,906 0.84%
19 ENVESTNET ASSET MANAGEMENT INC 48,689 2,428,000 0.78%
20 Freedom Investment Management, Inc. 45,841 2,286,000 0.74%
21 First Allied Advisory Services, Inc. 45,207 2,253,000 0.73%
22 LPL Financial LLC 45,173 2,251,000 0.73%
23 TD Capital Management LLC 40,209 2,005,000 0.65%
24 Advisors Preferred, LLC 37,170 1,854,000 0.60%
25 GRIMES & Co WEALTH MANAGEMENT, LLC 36,857 1,838,000 0.59%
26 D.A. DAVIDSON & CO. 36,629 1,826,000 0.59%
27 VSR Financial Services, Inc. 35,967 1,793,000 0.58%
28 SUSQUEHANNA INTERNATIONAL GROUP, LLP 32,916 1,641,000 0.53%
29 Peak Asset Management, LLC 32,287 1,610,000 0.52%
30 VENTURI WEALTH MANAGEMENT, LLC 30,912 1,541,000 0.50%
31 Cambridge Investment Research Advisors, Inc. 25,442 1,269,000 0.41%
32 B. Riley Wealth Management, Inc. 25,003 1,246,000 0.40%
33 FCG ADVISORS, LLC 24,567 1,225,000 0.40%
34 Janney Montgomery Scott LLC 22,416 1,118,000 0.36%
35 Pinnacle Advisory Group, Inc. 22,140 1,103,000 0.36%
36 Capital Advisors, Ltd. LLC 22,112 1,103,000 0.36%
37 Weatherstone Capital Management 20,189 1,007,000 0.33%
38 PARSONS CAPITAL MANAGEMENT INC/RI 18,984 947,000 0.31%
39 PALLADIUM PARTNERS LLC 18,285 912,000 0.29%
40 Cetera Advisor Networks LLC 16,302 814,000 0.26%
41 Commonwealth Equity Services, Inc 16,177 807,000 0.26%
42 MSI Financial Services Inc 13,937 695,000 0.22%
43 Neuberger Berman Group LLC 13,665 681,000 0.22%
44 Yellowstone Partners, LLC 13,020 649,000 0.21%
45 RAYMOND JAMES & ASSOCIATES 12,344 615,000 0.20%
46 Virtu KCG Holdings LLC 10,418 520,000 0.17%
47 IFP ADVISORS, INC 9,476 472,000 0.15%
48 PROFICIO CAPITAL PARTNERS LLC 9,076 453,000 0.15%
49 HighTower Advisors, LLC 8,740 436,000 0.14%
50 LAFFER TENGLER INVESTMENTS, INC. 7,134 355,701 0.11% PRN
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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.