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

Institutional Holders (2016Q1)
Portfolio Summary: 38 Institutional holders with a total value of $34,022,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 IFP ADVISORS, INC 820 6,000 0.02%
2 DEUTSCHE BANK AG\ 1,000 7,000 0.02%
3 WELLS FARGO & COMPANY/MN 3,409 25,000 0.07%
4 Tower Research Capital LLC (TRC) 3,876 28,000 0.08%
5 MSI Financial Services Inc 6,200 45,000 0.13%
6 ENVESTNET ASSET MANAGEMENT INC 7,013 51,000 0.15%
7 AMERICAN INTERNATIONAL GROUP, INC. 11,100 81,000 0.24%
8 SHEAFF BROCK INVESTMENT ADVISORS, LLC 11,650 85,000 0.25%
9 Waldron Private Wealth LLC 11,900 91,000 0.27%
10 Capital Investment Advisors, LLC 13,800 101,000 0.30%
11 Sigma Planning Corp 15,116 110,000 0.32%
12 Regis Management CO LLC 15,180 111,000 0.33%
13 LADENBURG THALMANN FINANCIAL SERVICES INC. 15,296 112,000 0.33%
14 Curi Capital, LLC 18,530 135,000 0.40%
15 Gramercy Funds Management LLC 23,447 171,000 0.50%
16 CLOUGH CAPITAL PARTNERS L P 25,200 184,000 0.54%
17 InterOcean Capital, LLC 30,660 224,000 0.66%
18 First Allied Advisory Services, Inc. 32,302 237,000 0.70%
19 ROYAL BANK OF CANADA 35,365 258,000 0.76%
20 Creative Planning 39,060 285,000 0.84%
21 MORGAN STANLEY 39,374 287,000 0.84%
22 DOLIVER ADVISORS, LP 41,654 304,000 0.89%
23 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 43,906 320,000 0.94%
24 UBS Group AG 45,195 329,000 0.97%
25 LPL Financial LLC 46,799 338,000 0.99%
26 RAYMOND JAMES & ASSOCIATES 60,060 438,000 1.29%
27 CITIGROUP INC 62,297 455,000 1.34%
28 BB&T SECURITIES, LLC 66,181 482,000 1.42%
29 Commonwealth Equity Services, Inc 73,382 535,000 1.57%
30 Thomas J. Herzfeld Advisors, Inc. 93,259 680,000 2.00%
31 ROBINSON CAPITAL MANAGEMENT, LLC 97,381 710,000 2.09%
32 Raymond James Financial Services Advisors, Inc. 107,868 786,000 2.31%
33 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 215,651 1,572,000 4.62%
34 Shaker Financial Services, LLC 253,616 1,849,000 5.43%
35 GUGGENHEIM CAPITAL LLC 296,557 2,162,000 6.35%
36 BANK OF AMERICA CORP /DE/ 311,887 2,273,000 6.68%
37 Invesco Ltd. 555,673 4,051,000 11.91%
38 Advisors Asset Management, Inc. 1,934,689 14,104,000 41.46%

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.