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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 (2016Q3)
Portfolio Summary: 72 Institutional holders with a total value of $202,832,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 114,529 14,017,000 6.91%
2 ADVISOR GROUP, INC. 97,016 11,873,000 5.85%
3 SUSQUEHANNA INTERNATIONAL GROUP, LLP 86,215 10,551,000 5.20%
4 CITADEL ADVISORS LLC 85,430 10,455,000 5.15%
5 LPL Financial LLC 71,374 8,611,000 4.25%
6 WELLS FARGO & COMPANY/MN 69,050 8,450,000 4.17%
7 Tower Research Capital LLC (TRC) 67,396 8,248,000 4.07%
8 Kovack Advisors, Inc. 63,456 7,766,000 3.83%
9 WealthTrust Fairport, LLC 62,260 7,619,000 3.76%
10 Financial Architects, Inc 57,894 7,085,000 3.49%
11 ADVANTAGE INVESTMENT MANAGEMENT, LLC 52,376 6,410,000 3.16%
12 GOLDMAN SACHS GROUP INC 50,746 6,210,000 3.06%
13 BANK OF AMERICA CORP /DE/ 50,463 6,176,000 3.04%
14 UBS Group AG 50,351 6,162,000 3.04%
15 AMERIPRISE FINANCIAL INC 45,323 5,547,000 2.73%
16 LINCOLN NATIONAL CORP 40,235 4,924,000 2.43%
17 SG Americas Securities, LLC 40,062 4,903,000 2.42%
18 WEALTHSOURCE PARTNERS, LLC 37,487 4,588,000 2.26%
19 Janney Capital Management LLC 36,488 4,465,000 2.20%
20 ROYAL BANK OF CANADA 32,800 4,014,000 1.98%
21 WELL DONE, LLC 3,020 3,669,000 1.81%
22 Cambridge Investment Research Advisors, Inc. 29,160 3,569,000 1.76%
23 LADENBURG THALMANN FINANCIAL SERVICES INC. 26,447 3,238,000 1.60%
24 Commonwealth Equity Services, Inc 25,270 3,092,000 1.52%
25 CAHILL FINANCIAL ADVISORS INC 24,148 2,956,000 1.46%
26 TRUE PRIVATE WEALTH ADVISORS 24,144 2,920,000 1.44%
27 RAYMOND JAMES & ASSOCIATES 20,514 2,511,000 1.24%
28 EDMOND DE ROTHSCHILD HOLDING S.A. 20,275 2,481,000 1.22%
29 EDMOND DE ROTHSCHILD (SUISSE) S.A. 20,275 2,481,000 1.22%
30 VOYA FINANCIAL ADVISORS, INC. 17,958 2,179,000 1.07%
31 HOWE & RUSLING INC 17,765 2,174,000 1.07%
32 NATIONAL PLANNING CORP 17,140 2,065,000 1.02%
33 SII INVESTMENTS INC/WI 16,628 2,029,000 1.00%
34 Concert Wealth Management Inc. 16,307 1,997,000 0.98%
35 MSI Financial Services Inc 15,973 1,955,000 0.96%
36 JANE STREET GROUP, LLC 13,024 1,594,000 0.79%
37 Somerset Group LLC 12,125 1,484,000 0.73%
38 B. Riley Wealth Advisors, Inc. 11,870 1,453,000 0.72%
39 Friedenthal Financial 11,663 1,427,000 0.70%
40 Virtu KCG Holdings LLC 7,755 949,000 0.47%
41 Advisory Services Network, LLC 7,456 912,000 0.45%
42 Raymond James Financial Services Advisors, Inc. 6,103 747,000 0.37%
43 STIFEL FINANCIAL CORP 4,911 602,000 0.30%
44 Eagle Capital Management, LLC 4,292 525,000 0.26%
45 CITIGROUP INC 4,181 512,000 0.25%
46 Cetera Advisors LLC 3,968 487,000 0.24%
47 Cetera Advisor Networks LLC 3,907 478,000 0.24%
48 Private Advisor Group, LLC 3,849 465,000 0.23%
49 Affiance Financial, LLC 3,702 453,000 0.22%
50 Partnervest Advisory Services LLC 3,585 439,000 0.22%
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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.