Dark
Light
System
Security
Guggenheim S&P Smallcap 600 Equal Weight ETF
Guggenheim S&P Smallcap 600 Equal Weight ETF. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 21 Institutional holders with a total value of $18,237,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 VICUS CAPITAL 105,566 4,705,000 25.80%
2 HighTower Advisors, LLC 99,668 4,442,000 24.36%
3 CITADEL ADVISORS LLC 44,349 1,977,000 10.84%
4 SUSQUEHANNA INTERNATIONAL GROUP, LLP 43,845 1,954,000 10.71%
5 UBS Group AG 29,163 1,300,000 7.13%
6 MORGAN STANLEY 22,735 1,013,000 5.55%
7 LPL Financial LLC 13,536 597,000 3.27%
8 ASSET DEDICATION, LLC 12,505 555,000 3.04%
9 Commonwealth Equity Services, Inc 11,121 496,000 2.72%
10 ROYAL BANK OF CANADA 9,480 423,000 2.32%
11 BANK OF AMERICA CORP /DE/ 8,452 377,000 2.07%
12 Private Advisor Group, LLC 6,147 271,000 1.49%
13 Mariner, LLC 1,590 71,000 0.39%
14 MSI Financial Services Inc 715 32,000 0.18%
15 ADVISOR GROUP, INC. 250 11,000 0.06%
16 INTEGRATED WEALTH MANAGEMENT 200 9,000 0.05%
17 NEXT Financial Group, Inc 100 4,000 0.02%
18 Tower Research Capital LLC (TRC) 9 0 0.00%
19 WELLS FARGO & COMPANY/MN 1 0 0.00%
20 ADVISORY RESEARCH INC 8 0 0.00%
21 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.