Dark
Light
System
Security
GUGGENHEIM 1:1 EXC 4/9/18 739371839
GUGGENHEIM 1:1 EXC 4/9/18 739371839. Institutional holdings reported to the SEC.

Institutional Holders (2015Q1)
Portfolio Summary: 39 Institutional holders with a total value of $99,437,675.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 205,255 22,155,000 22.28%
2 WELLS FARGO & COMPANY/MN 118,997 12,844,000 12.92%
3 AMERICAN INTERNATIONAL GROUP, INC. 84,752 9,148,131 9.20%
4 ADVANTAGE INVESTMENT MANAGEMENT, LLC 55,376 5,977,000 6.01%
5 LPL Financial LLC 54,073 5,830,000 5.86%
6 GOLDMAN SACHS GROUP INC 50,599 5,462,000 5.49%
7 Financial Architects, Inc 50,260 5,425,000 5.46%
8 RAYMOND JAMES & ASSOCIATES 44,488 4,802,000 4.83%
9 JANE STREET GROUP, LLC 42,026 4,536,000 4.56%
10 PRING TURNER CAPITAL GROUP INC 33,725 3,640,000 3.66%
11 Cambridge Investment Research Advisors, Inc. 29,252 3,157,000 3.17%
12 CAHILL FINANCIAL ADVISORS INC 24,252 2,618,000 2.63%
13 SII INVESTMENTS INC/WI 16,469 1,779,000 1.79%
14 MORGAN STANLEY 16,179 1,746,000 1.76%
15 COMERICA SECURITIES INC 11,759 1,269,000 1.28%
16 ROYAL BANK OF CANADA 10,446 1,128,000 1.13%
17 UBS Group AG 10,086 1,089,000 1.10%
18 SUSQUEHANNA INTERNATIONAL GROUP, LLP 9,908 1,070,000 1.08%
19 BANK OF AMERICA CORP /DE/ 9,734 1,051,000 1.06%
20 Friedenthal Financial 8,018 865,000 0.87%
21 B. Riley Wealth Advisors, Inc. 7,200 777,000 0.78%
22 HOWE & RUSLING INC 6,248 674,000 0.68%
23 Commonwealth Equity Services, Inc 3,985 430,000 0.43%
24 Cetera Advisors LLC 3,441 372,000 0.37%
25 Virtu KCG Holdings LLC 3,271 353,000 0.35%
26 BANK OF MONTREAL /CAN/ 1,928 208,000 0.21%
27 Advisors Preferred, LLC 1,616 174,544 0.18%
28 MSI Financial Services Inc 1,612 174,000 0.17%
29 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,566 169,000 0.17%
30 WESTPORT RESOURCES MANAGEMENT INC 1,310 141,000 0.14%
31 FIFTH THIRD BANCORP 1,072 116,000 0.12%
32 CITIGROUP INC 800 86,000 0.09%
33 INTEGRATED WEALTH MANAGEMENT 540 58,000 0.06%
34 PNC FINANCIAL SERVICES GROUP, INC. 360 39,000 0.04%
35 FARMERS & MERCHANTS INVESTMENTS INC 240 26,000 0.03%
36 SYNOVUS FINANCIAL CORP 202 22,000 0.02%
37 Tower Research Capital LLC (TRC) 179 19,000 0.02%
38 Creative Planning 71 8,000 0.01%
39 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.