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GUGGENHEIM ENHNCD EQTY INCM
GUGGENHEIM ENHNCD EQTY INCM. Institutional holdings reported to the SEC.

Institutional Holders (2015Q3)
Portfolio Summary: 32 Institutional holders with a total value of $24,898,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Advisors Asset Management, Inc. 1,054,528 7,593,000 30.50%
2 Invesco Ltd. 414,742 2,986,000 11.99%
3 Shaker Financial Services, LLC 339,327 2,443,000 9.81%
4 BANK OF AMERICA CORP /DE/ 325,999 2,347,000 9.43%
5 GUGGENHEIM CAPITAL LLC 296,036 2,132,000 8.56%
6 BB&T SECURITIES, LLC 111,237 800,000 3.21%
7 CLOUGH CAPITAL PARTNERS L P 111,100 800,000 3.21%
8 Commonwealth Equity Services, Inc 95,601 688,000 2.76%
9 DOLIVER ADVISORS, LP 83,693 603,000 2.42%
10 UBS Group AG 83,509 601,000 2.41%
11 Thomas J. Herzfeld Advisors, Inc. 81,412 586,000 2.35%
12 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 62,041 447,000 1.80%
13 RAYMOND JAMES & ASSOCIATES 59,260 427,000 1.71%
14 MORGAN STANLEY 49,045 353,000 1.42%
15 First Allied Advisory Services, Inc. 39,037 279,000 1.12%
16 ROYAL BANK OF CANADA 36,835 265,000 1.06%
17 LPL Financial LLC 34,711 257,000 1.03%
18 InterOcean Capital, LLC 30,660 221,000 0.89%
19 Curi Capital, LLC 26,366 190,000 0.76%
20 CITIGROUP INC 15,810 114,000 0.46%
21 Sigma Planning Corp 15,837 114,000 0.46%
22 WOLVERINE ASSET MANAGEMENT LLC 14,560 104,000 0.42%
23 Virtu KCG Holdings LLC 14,272 103,000 0.41%
24 Capital Investment Advisors, LLC 13,800 99,000 0.40%
25 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 13,478 97,000 0.39%
26 AMERICAN INTERNATIONAL GROUP, INC. 11,978 87,000 0.35%
27 WELLS FARGO & COMPANY/MN 8,065 58,000 0.23%
28 LADENBURG THALMANN FINANCIAL SERVICES INC. 6,292 45,000 0.18%
29 MSI Financial Services Inc 6,209 45,000 0.18%
30 Creative Planning 1,000 7,000 0.03%
31 TCI Wealth Advisors, Inc. 601 4,000 0.02%
32 Windsor Capital Management, LLC 500 3,000 0.01%

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.