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RYDEX GUGGENHEIM
RYDEX GUGGENHEIM. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 27 Institutional holders with a total value of $41,761,799.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 265,625 20,934,000 50.13%
2 UBS AG 47,588 3,750,000 8.98%
3 LPL Financial LLC 43,962 3,465,000 8.30%
4 MORGAN STANLEY 37,139 2,927,000 7.01%
5 RAYMOND JAMES & ASSOCIATES 22,737 1,792,000 4.29%
6 SG Americas Securities, LLC 22,541 1,776,000 4.25%
7 SUSQUEHANNA INTERNATIONAL GROUP, LLP 18,527 1,460,000 3.50%
8 B. Riley Wealth Advisors, Inc. 10,375 818,000 1.96%
9 BANK OF AMERICA CORP /DE/ 10,139 799,000 1.91%
10 JPMORGAN CHASE & CO 10,053 792,000 1.90%
11 AMERICAN INTERNATIONAL GROUP, INC. 8,169 643,799 1.54%
12 BANK OF STOCKTON 6,680 526,000 1.26%
13 ROYAL BANK OF CANADA 6,271 494,000 1.18%
14 GREENLEAF TRUST 5,050 398,000 0.95%
15 Freedom Investment Management, Inc. 4,691 370,000 0.89%
16 Creative Planning 3,036 239,000 0.57%
17 Kovack Advisors, Inc. 2,658 201,000 0.48%
18 OPTIMUM INVESTMENT ADVISORS 1,420 112,000 0.27%
19 CITIGROUP INC 1,000 79,000 0.19%
20 LADENBURG THALMANN FINANCIAL SERVICES INC. 998 79,000 0.19%
21 WFG Advisors, LP 365 29,000 0.07%
22 MSI Financial Services Inc 309 24,000 0.06%
23 BANK OF MONTREAL /CAN/ 290 23,000 0.06%
24 Vantage Investment Advisors, LLC 155 12,000 0.03%
25 Tower Research Capital LLC (TRC) 96 8,000 0.02%
26 AMERIPRISE FINANCIAL INC 84 7,000 0.02%
27 B. Riley Wealth Management, Inc. 57 4,000 0.01%

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.