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

Institutional Holders (2016Q1)
Portfolio Summary: 84 Institutional holders with a total value of $346,883,935.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 1,110,703 55,391,000 15.97%
2 Buckingham Capital Management, Inc. 752,732 37,539,000 10.82%
3 Astor Investment Management LLC 614,293 30,635,000 8.83%
4 UBS Group AG 591,910 29,519,000 8.51%
5 BANK OF AMERICA CORP /DE/ 437,605 21,823,000 6.29%
6 Stratos Wealth Partners, LTD. 369,224 18,413,000 5.31%
7 AVIANCE CAPITAL MANAGEMENT, LLC 348,392 17,374,000 5.01%
8 MORGAN STANLEY 341,205 17,016,000 4.91%
9 JANE STREET GROUP, LLC 250,764 12,506,000 3.61%
10 LADENBURG THALMANN FINANCIAL SERVICES INC. 158,383 7,899,000 2.28%
11 MONROE BANK & TRUST/MI 148,580 7,410,000 2.14%
12 ROYAL BANK OF CANADA 114,381 5,704,000 1.64%
13 New England Private Wealth Advisors LLC 112,933 5,631,000 1.62%
14 GUGGENHEIM CAPITAL LLC 108,400 5,406,000 1.56%
15 STEEL GROVE CAPITAL ADVISORS, LLC 92,482 4,612,000 1.33%
16 RAYMOND JAMES & ASSOCIATES 81,499 4,064,000 1.17%
17 CITADEL ADVISORS LLC 72,428 3,612,000 1.04%
18 SUSQUEHANNA INTERNATIONAL GROUP, LLP 70,824 3,532,000 1.02%
19 SCOTIA CAPITAL INC. 69,397 3,461,000 1.00%
20 ENVESTNET ASSET MANAGEMENT INC 67,645 3,373,000 0.97%
21 Virtu KCG Holdings LLC 65,702 3,277,000 0.94%
22 CABOT WEALTH MANAGEMENT INC 63,085 3,146,000 0.91%
23 Capital Analysts, LLC 58,834 2,934,077 0.85%
24 Advisors Preferred, LLC 49,290 2,458,000 0.71%
25 D.A. DAVIDSON & CO. 42,711 2,129,000 0.61%
26 LPL Financial LLC 39,628 1,975,000 0.57%
27 First Allied Advisory Services, Inc. 38,564 1,926,000 0.56%
28 VENTURI WEALTH MANAGEMENT, LLC 37,310 1,861,000 0.54%
29 Commonwealth Equity Services, Inc 36,125 1,802,000 0.52%
30 VSR Financial Services, Inc. 33,409 1,666,000 0.48%
31 Yellowstone Partners, LLC 33,076 1,650,000 0.48%
32 Peak Asset Management, LLC 32,287 1,610,000 0.46%
33 TD Capital Management LLC 31,006 1,546,000 0.45%
34 FCG ADVISORS, LLC 29,328 1,463,000 0.42%
35 Weatherstone Capital Management 26,546 1,324,000 0.38%
36 Cambridge Investment Research Advisors, Inc. 25,263 1,260,000 0.36%
37 GRIMES & Co WEALTH MANAGEMENT, LLC 23,381 1,166,000 0.34%
38 Janney Montgomery Scott LLC 22,616 1,128,000 0.33%
39 Capital Advisors, Ltd. LLC 21,333 1,064,000 0.31%
40 PALLADIUM PARTNERS LLC 20,725 1,034,000 0.30%
41 B. Riley Wealth Management, Inc. 20,320 1,013,000 0.29%
42 GUGGENHEIM CAPITAL LLC 20,000 997,000 0.29% PRN
43 PARSONS CAPITAL MANAGEMENT INC/RI 19,144 955,000 0.28%
44 Pinnacle Advisory Group, Inc. 18,200 907,000 0.26%
45 Arete Wealth Advisors, LLC 16,101 803,000 0.23%
46 Cetera Advisor Networks LLC 15,857 792,000 0.23%
47 VICUS CAPITAL 15,529 774,000 0.22%
48 Neuberger Berman Group LLC 15,400 768,000 0.22%
49 MSI Financial Services Inc 13,109 654,000 0.19%
50 IFP ADVISORS, INC 12,798 638,000 0.18%
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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.