Dark
Light
System
Security
GUGGENHEIM STRATEGIC OPPORTU
GUGGENHEIM STRATEGIC OPPORTU. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 43 Institutional holders with a total value of $52,027,676.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GUGGENHEIM CAPITAL LLC 552,192 10,845,000 20.84% PRN
2 MORGAN STANLEY 300,873 5,909,000 11.36%
3 BESSEMER GROUP INC 250,491 4,920,000 9.46%
4 Laurion Capital Management LP 157,768 3,099,000 5.96%
5 USCA RIA LLC 153,160 3,008,000 5.78%
6 UBS Group AG 144,034 2,829,000 5.44%
7 Invesco Ltd. 120,402 2,365,000 4.55%
8 COHEN & STEERS, INC. 107,134 2,104,000 4.04%
9 ROYAL BANK OF CANADA 102,744 2,018,000 3.88%
10 GENOVESE BURFORD & BROTHERS WEALTH & RETIREMENT PLAN MANAGEMENT, LLC 93,369 1,834,000 3.53%
11 WELLS FARGO & COMPANY/MN 70,751 1,389,000 2.67%
12 LPL Financial LLC 67,854 1,336,000 2.57%
13 Sigma Planning Corp 60,865 1,195,000 2.30%
14 Commonwealth Equity Services, Inc 54,417 1,069,000 2.05%
15 BAIRD FINANCIAL GROUP, INC. 44,680 878,000 1.69%
16 Janney Montgomery Scott LLC 42,975 844,000 1.62%
17 Raymond James Financial Services Advisors, Inc. 39,850 783,000 1.50%
18 BANK OF AMERICA CORP /DE/ 38,903 764,000 1.47%
19 MOSAIC FAMILY WEALTH, LLC 31,580 620,000 1.19%
20 Advisors Asset Management, Inc. 25,968 510,000 0.98%
21 RAYMOND JAMES & ASSOCIATES 25,450 500,000 0.96%
22 MSI Financial Services Inc 23,781 467,000 0.90%
23 BB&T SECURITIES, LLC 22,471 429,000 0.82%
24 Cambridge Investment Research Advisors, Inc. 16,385 322,000 0.62%
25 WFG Advisors, LP 13,820 271,000 0.52%
26 NATIONAL PLANNING CORP 13,032 262,000 0.50%
27 GIRARD SECURITIES, INC. 12,638 248,000 0.48%
28 MILLENNIUM MANAGEMENT LLC 10,730 211,000 0.41%
29 ADVISOR GROUP, INC. 9,646 189,000 0.36%
30 GENEOS WEALTH MANAGEMENT INC. 9,308 182,000 0.35%
31 Glassman Wealth Services 8,800 173,000 0.33%
32 IFP ADVISORS, INC 7,170 141,000 0.27%
33 LADENBURG THALMANN FINANCIAL SERVICES INC. 5,586 109,000 0.21%
34 CITIGROUP INC 3,470 68,000 0.13%
35 BRUDERMAN ASSET MANAGEMENT, LLC 2,410 47,000 0.09%
36 Creative Planning 2,071 41,000 0.08%
37 Winslow, Evans & Crocker, Inc. 900 17,676 0.03%
38 MANUFACTURERS LIFE INSURANCE COMPANY, THE 697 14,000 0.03%
39 NEXT Financial Group, Inc 300 6,000 0.01%
40 PENSERRA CAPITAL MANAGEMENT LLC 252 4,000 0.01%
41 THOMPSON DAVIS & CO., INC. 200 4,000 0.01%
42 STEWARD PARTNERS INVESTMENT ADVISORY, LLC 152 2,000 0.00%
43 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.