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

Institutional Holders (2014Q4)
Portfolio Summary: 36 Institutional holders with a total value of $34,244,931.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 SUSQUEHANNA INTERNATIONAL GROUP, LLP 52,601 4,243,000 12.39%
2 MORGAN STANLEY 50,584 4,083,000 11.92%
3 WELLS FARGO & COMPANY/MN 48,641 3,927,000 11.47%
4 LPL Financial LLC 45,480 3,671,000 10.72%
5 UBS Group AG 42,427 3,425,000 10.00%
6 SG Americas Securities, LLC 33,185 2,679,000 7.82%
7 ROYAL BANK OF CANADA 32,509 2,624,000 7.66%
8 BANK OF AMERICA CORP /DE/ 25,136 2,029,000 5.92%
9 GOLDMAN SACHS GROUP INC 20,552 1,659,000 4.84%
10 RAYMOND JAMES & ASSOCIATES 20,272 1,636,000 4.78%
11 B. Riley Wealth Advisors, Inc. 11,900 961,000 2.81%
12 BANK OF STOCKTON 6,045 488,000 1.43%
13 GREENLEAF TRUST 5,050 408,000 1.19%
14 AMERICAN INTERNATIONAL GROUP, INC. 4,369 352,666 1.03%
15 AMERIPRISE FINANCIAL INC 4,301 347,000 1.01%
16 Freedom Investment Management, Inc. 3,943 318,000 0.93%
17 BALASA DINVERNO & FOLTZ LLC 3,584 289,000 0.84%
18 Creative Planning 3,390 274,000 0.80%
19 Commonwealth Equity Services, Inc 2,636 213,000 0.62%
20 Karp Capital Management Corp 1,600 129,000 0.38%
21 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,561 126,000 0.37%
22 MSI Financial Services Inc 1,088 88,000 0.26%
23 OPTIMUM INVESTMENT ADVISORS 683 55,000 0.16%
24 REGENTATLANTIC CAPITAL LLC 580 46,847 0.14%
25 WFG Advisors, LP 365 29,000 0.08%
26 Simplicity Solutions, LLC 340 27,445 0.08%
27 BANK OF MONTREAL /CAN/ 290 23,000 0.07%
28 CITIGROUP INC 264 21,000 0.06%
29 Cordasco Financial Network 250 20,000 0.06%
30 Tower Research Capital LLC (TRC) 172 14,000 0.04%
31 Vantage Investment Advisors, LLC 155 13,000 0.04%
32 ENVESTNET ASSET MANAGEMENT INC 95 8,000 0.02%
33 NEXT Financial Group, Inc 100 8,000 0.02%
34 Stratos Wealth Partners, LTD. 74 5,973 0.02%
35 B. Riley Wealth Management, Inc. 57 4,000 0.01%
36 Parallax Volatility Advisers, L.P. 1 0 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.