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

Institutional Holders (2016Q3)
Portfolio Summary: 44 Institutional holders with a total value of $45,345,590.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GUGGENHEIM CAPITAL LLC 544,542 10,406,000 22.95% PRN
2 MORGAN STANLEY 357,244 6,827,000 15.06%
3 BESSEMER GROUP INC 253,003 4,835,000 10.66%
4 USCA RIA LLC 162,760 3,110,000 6.86%
5 UBS Group AG 108,462 2,073,000 4.57%
6 COHEN & STEERS, INC. 107,134 2,047,000 4.51%
7 ROYAL BANK OF CANADA 94,353 1,803,000 3.98%
8 BANK OF AMERICA CORP /DE/ 81,168 1,551,000 3.42%
9 Invesco Ltd. 79,917 1,527,000 3.37%
10 WELLS FARGO & COMPANY/MN 68,609 1,311,000 2.89%
11 LPL Financial LLC 66,373 1,281,000 2.82%
12 Raymond James Financial Services Advisors, Inc. 55,218 1,055,000 2.33%
13 Sigma Planning Corp 50,176 959,000 2.11%
14 Janney Montgomery Scott LLC 45,015 860,000 1.90%
15 BAIRD FINANCIAL GROUP, INC. 44,536 851,000 1.88%
16 RAYMOND JAMES & ASSOCIATES 41,482 793,000 1.75%
17 Commonwealth Equity Services, Inc 26,272 502,000 1.11%
18 BB&T SECURITIES, LLC 22,471 429,000 0.95%
19 NATIONAL PLANNING CORP 17,125 329,000 0.73%
20 MOSAIC FAMILY WEALTH, LLC 16,948 324,000 0.71%
21 MSI Financial Services Inc 16,842 322,000 0.71%
22 Cambridge Investment Research Advisors, Inc. 16,226 310,000 0.68%
23 GIRARD SECURITIES, INC. 15,028 287,000 0.63%
24 WFG Advisors, LP 13,804 264,000 0.58%
25 GUGGENHEIM CAPITAL LLC 10,851 207,000 0.46%
26 GENEOS WEALTH MANAGEMENT INC. 9,468 180,000 0.40%
27 Glassman Wealth Services 8,600 164,000 0.36%
28 WEALTHPLAN PARTNERS, LLC 7,015 135,390 0.30%
29 ADVISOR GROUP, INC. 6,671 127,000 0.28%
30 GENOVESE BURFORD & BROTHERS WEALTH & RETIREMENT PLAN MANAGEMENT, LLC 4,754 90,000 0.20%
31 IFP ADVISORS, INC 4,007 77,000 0.17%
32 CITIGROUP INC 3,470 66,000 0.15%
33 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,726 52,000 0.11%
34 BRUDERMAN ASSET MANAGEMENT, LLC 2,410 46,000 0.10%
35 Creative Planning 2,371 45,000 0.10%
36 Vantage Investment Advisors, LLC 2,225 43,000 0.09%
37 Winslow, Evans & Crocker, Inc. 900 17,200 0.04%
38 MANUFACTURERS LIFE INSURANCE COMPANY, THE 677 13,000 0.03%
39 SARGENT BICKHAM LAGUDIS LLC 500 10,000 0.02%
40 NEXT Financial Group, Inc 300 6,000 0.01%
41 THOMPSON DAVIS & CO., INC. 200 4,000 0.01%
42 PENSERRA CAPITAL MANAGEMENT LLC 252 4,000 0.01%
43 PNC FINANCIAL SERVICES GROUP, INC. 100 2,000 0.00%
44 Archford Capital Strategies, LLC 100 1,000 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.