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GUGGENHEIM STRATEGIC OPPORTU
GUGGENHEIM STRATEGIC OPPORTU. Institutional holdings reported to the SEC.

Institutional Holders (2015Q3)
Portfolio Summary: 35 Institutional holders with a total value of $41,883,092.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GUGGENHEIM CAPITAL LLC 481,691 8,613,000 20.56% PRN
2 MORGAN STANLEY 454,811 8,133,000 19.42%
3 BANK OF AMERICA CORP /DE/ 243,539 4,354,000 10.40%
4 BESSEMER GROUP INC 215,000 3,844,000 9.18%
5 UBS Group AG 212,642 3,802,000 9.08%
6 ROYAL BANK OF CANADA 87,133 1,558,000 3.72%
7 WELLS FARGO & COMPANY/MN 68,144 1,218,000 2.91%
8 LPL Financial LLC 65,629 1,192,000 2.85%
9 NATIONAL PLANNING CORP 56,270 1,070,000 2.55%
10 Raymond James Financial Services Advisors, Inc. 58,136 1,039,000 2.48%
11 Cambridge Investment Research Advisors, Inc. 55,394 990,000 2.36%
12 Sigma Planning Corp 49,369 883,000 2.11%
13 USCA RIA LLC 42,955 768,000 1.83%
14 RAYMOND JAMES & ASSOCIATES 42,888 767,000 1.83%
15 Janney Montgomery Scott LLC 42,113 753,000 1.80%
16 Bison Wealth, LLC 34,351 608,000 1.45%
17 BB&T SECURITIES, LLC 23,515 420,000 1.00%
18 Sterneck Capital Management, LLC 18,410 329,000 0.79%
19 Commonwealth Equity Services, Inc 14,919 267,000 0.64%
20 WFG Advisors, LP 14,603 261,000 0.62%
21 MSI Financial Services Inc 14,507 259,000 0.62%
22 DOLIVER ADVISORS, LP 14,482 259,000 0.62%
23 AMERICAN INTERNATIONAL GROUP, INC. 5,347 95,000 0.23%
24 CLOUGH CAPITAL PARTNERS L P 5,222 93,000 0.22%
25 Creative Planning 3,657 65,000 0.16%
26 CITIGROUP INC 3,470 62,000 0.15%
27 Avior Wealth Management, LLC 2,550 46,000 0.11%
28 BRUDERMAN ASSET MANAGEMENT, LLC 2,410 43,000 0.10%
29 PNC FINANCIAL SERVICES GROUP, INC. 1,700 31,000 0.07%
30 DEUTSCHE BANK AG\ 1,501 26,000 0.06%
31 Winslow, Evans & Crocker, Inc. 900 16,092 0.04%
32 Windsor Capital Management, LLC 403 7,000 0.02%
33 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 360 6,000 0.01%
34 THOMPSON DAVIS & CO., INC. 200 4,000 0.01%
35 NEXT Financial Group, Inc 150 2,000 0.00%

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.