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

Institutional Holders (2016Q1)
Portfolio Summary: 74 Institutional holders with a total value of $246,792,575.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ENVESTNET ASSET MANAGEMENT INC 232,925 28,359,000 11.49%
2 UNITED CAPITAL FINANCIAL ADVISORS, LLC 218,271 26,574,000 10.77%
3 BANK OF AMERICA CORP /DE/ 197,762 24,077,000 9.76%
4 MORGAN STANLEY 142,599 17,361,000 7.03%
5 LPL Financial LLC 132,951 16,208,000 6.57%
6 NIEMANN CAPITAL MANAGEMENT INC 110,898 13,502,000 5.47%
7 AMERICAN INTERNATIONAL GROUP, INC. 89,165 10,856,000 4.40%
8 WELLS FARGO & COMPANY/MN 72,508 8,828,000 3.58%
9 WealthTrust Fairport, LLC 57,989 7,060,000 2.86%
10 Financial Architects, Inc 57,151 6,958,000 2.82%
11 GOLDMAN SACHS GROUP INC 50,426 6,139,000 2.49%
12 MIGDAL INSURANCE & FINANCIAL HOLDINGS LTD. 50,000 6,088,000 2.47%
13 JANE STREET GROUP, LLC 49,127 5,981,000 2.42%
14 LADENBURG THALMANN FINANCIAL SERVICES INC. 40,106 4,883,000 1.98%
15 ADVANTAGE INVESTMENT MANAGEMENT, LLC 38,267 4,659,000 1.89%
16 LINCOLN NATIONAL CORP 29,686 3,614,000 1.46%
17 Cambridge Investment Research Advisors, Inc. 28,099 3,421,000 1.39%
18 UBS Group AG 27,168 3,308,000 1.34%
19 TRUE PRIVATE WEALTH ADVISORS 26,177 3,187,000 1.29%
20 CAHILL FINANCIAL ADVISORS INC 23,710 2,887,000 1.17%
21 SG Americas Securities, LLC 21,684 2,640,000 1.07%
22 RAYMOND JAMES & ASSOCIATES 21,201 2,581,000 1.05%
23 SUSQUEHANNA INTERNATIONAL GROUP, LLP 21,062 2,564,000 1.04%
24 Janney Capital Management LLC 20,496 2,495,000 1.01%
25 ROYAL BANK OF CANADA 19,421 2,364,000 0.96%
26 Commonwealth Equity Services, Inc 17,881 2,177,000 0.88%
27 AMERIPRISE FINANCIAL INC 17,655 2,149,000 0.87%
28 MSI Financial Services Inc 17,238 2,099,000 0.85%
29 SII INVESTMENTS INC/WI 16,411 1,992,000 0.81%
30 Concert Wealth Management Inc. 15,447 1,880,000 0.76%
31 Raymond James Financial Services Advisors, Inc. 14,231 1,733,000 0.70%
32 CAVALIER INVESTMENTS, LLC 12,054 1,467,575 0.59%
33 Somerset Group LLC 11,965 1,457,000 0.59%
34 Bison Wealth, LLC 11,641 1,417,000 0.57%
35 CITADEL ADVISORS LLC 9,529 1,160,000 0.47%
36 VOYA FINANCIAL ADVISORS, INC. 9,173 1,122,000 0.45%
37 Friedenthal Financial 9,476 1,099,000 0.45%
38 WESPAC Advisors, LLC 7,451 907,000 0.37%
39 HOWE & RUSLING INC 6,402 779,000 0.32%
40 VSR Financial Services, Inc. 5,715 696,000 0.28%
41 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 5,440 662,000 0.27%
42 Cetera Advisors LLC 4,896 596,000 0.24%
43 Advisory Services Network, LLC 4,503 548,000 0.22%
44 Eagle Capital Management, LLC 3,960 482,000 0.20%
45 Affiance Financial, LLC 3,702 451,000 0.18%
46 BANK OF MONTREAL /CAN/ 3,588 437,000 0.18%
47 STIFEL FINANCIAL CORP 3,449 420,000 0.17%
48 BAIRD FINANCIAL GROUP, INC. 3,394 413,000 0.17%
49 Private Advisor Group, LLC 3,319 394,000 0.16%
50 WELL DONE, LLC 3,020 368,000 0.15%
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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.