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

Institutional Holders (2015Q4)
Portfolio Summary: 40 Institutional holders with a total value of $31,919,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Advisors Asset Management, Inc. 1,538,409 11,815,000 37.02%
2 Invesco Ltd. 496,671 3,814,000 11.95%
3 BANK OF AMERICA CORP /DE/ 320,340 2,460,000 7.71%
4 GUGGENHEIM CAPITAL LLC 296,557 2,278,000 7.14%
5 Shaker Financial Services, LLC 238,992 1,835,000 5.75%
6 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 168,323 1,293,000 4.05%
7 BANK OF NOVA SCOTIA 123,939 952,000 2.98%
8 Thomas J. Herzfeld Advisors, Inc. 93,259 716,000 2.24%
9 BB&T SECURITIES, LLC 92,025 706,000 2.21%
10 UBS Group AG 79,039 607,000 1.90%
11 Commonwealth Equity Services, Inc 74,203 570,000 1.79%
12 NATIONAL PLANNING CORP 82,180 556,000 1.74%
13 MORGAN STANLEY 60,399 464,000 1.45%
14 RAYMOND JAMES & ASSOCIATES 58,809 452,000 1.42%
15 ROBINSON CAPITAL MANAGEMENT, LLC 52,981 407,000 1.28%
16 LPL Financial LLC 50,165 365,000 1.14%
17 First Allied Advisory Services, Inc. 39,412 302,000 0.95%
18 ROYAL BANK OF CANADA 34,956 268,000 0.84%
19 InterOcean Capital, LLC 30,660 235,000 0.74%
20 SG Americas Securities, LLC 29,624 228,000 0.71%
21 Curi Capital, LLC 26,755 205,000 0.64%
22 CLOUGH CAPITAL PARTNERS L P 17,000 131,000 0.41%
23 DOLIVER ADVISORS, LP 16,562 127,000 0.40%
24 Sigma Planning Corp 15,970 123,000 0.39%
25 Virtu KCG Holdings LLC 15,752 121,000 0.38%
26 Regis Management CO LLC 15,180 117,000 0.37%
27 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 14,244 109,000 0.34%
28 Capital Investment Advisors, LLC 13,800 106,000 0.33%
29 AMERICAN INTERNATIONAL GROUP, INC. 11,978 92,000 0.29%
30 Waldron Private Wealth LLC 11,900 91,000 0.29%
31 SHEAFF BROCK INVESTMENT ADVISORS, LLC 11,650 89,000 0.28%
32 Squarepoint Ops LLC 11,600 89,000 0.28%
33 MSI Financial Services Inc 6,209 48,000 0.15%
34 LADENBURG THALMANN FINANCIAL SERVICES INC. 5,192 40,000 0.13%
35 Creative Planning 4,000 31,000 0.10%
36 CITIGROUP INC 3,342 26,000 0.08%
37 WELLS FARGO & COMPANY/MN 3,408 26,000 0.08%
38 Tower Research Capital LLC (TRC) 1,706 13,000 0.04%
39 DEUTSCHE BANK AG\ 1,000 7,000 0.02%
40 TCI Wealth Advisors, Inc. 601 5,000 0.02%

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.