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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 (2016Q4)
Portfolio Summary: 62 Institutional holders with a total value of $128,422,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ADVISOR GROUP, INC. 85,856 10,254,000 7.98%
2 MORGAN STANLEY 72,207 8,623,000 6.71%
3 Financial Architects, Inc 65,720 7,848,000 6.11%
4 WealthTrust Fairport, LLC 64,096 7,654,000 5.96%
5 WELLS FARGO & COMPANY/MN 62,441 7,457,000 5.81%
6 Tower Research Capital LLC (TRC) 60,590 7,236,000 5.63%
7 BANK OF AMERICA CORP /DE/ 57,565 6,874,000 5.35%
8 LPL Financial LLC 50,207 6,024,000 4.69%
9 ROYAL BANK OF CANADA 49,808 5,948,000 4.63%
10 AMERIPRISE FINANCIAL INC 34,782 4,155,000 3.24%
11 UBS Group AG 31,252 3,732,000 2.91%
12 CITADEL ADVISORS LLC 29,480 3,521,000 2.74%
13 ADVANTAGE INVESTMENT MANAGEMENT, LLC 29,073 3,472,000 2.70%
14 SUSQUEHANNA INTERNATIONAL GROUP, LLP 26,636 3,181,000 2.48%
15 CAHILL FINANCIAL ADVISORS INC 23,560 2,814,000 2.19%
16 EDMOND DE ROTHSCHILD HOLDING S.A. 23,530 2,810,000 2.19%
17 Commonwealth Equity Services, Inc 23,206 2,771,000 2.16%
18 Cambridge Investment Research Advisors, Inc. 22,796 2,722,000 2.12%
19 LINCOLN NATIONAL CORP 20,905 2,496,000 1.94%
20 VOYA FINANCIAL ADVISORS, INC. 18,010 2,164,000 1.69%
21 NATIONAL PLANNING CORP 17,701 2,152,000 1.68%
22 LADENBURG THALMANN FINANCIAL SERVICES INC. 16,541 1,976,000 1.54%
23 Virtu KCG Holdings LLC 16,396 1,958,000 1.52%
24 SII INVESTMENTS INC/WI 15,578 1,869,000 1.46%
25 RAYMOND JAMES & ASSOCIATES 13,595 1,624,000 1.26%
26 HOWE & RUSLING INC 12,730 1,520,000 1.18%
27 Raymond James Financial Services Advisors, Inc. 12,647 1,510,000 1.18%
28 Somerset Group LLC 11,900 1,421,000 1.11%
29 JANE STREET GROUP, LLC 11,845 1,415,000 1.10%
30 SG Americas Securities, LLC 11,807 1,410,000 1.10%
31 MSI Financial Services Inc 10,181 1,216,000 0.95%
32 SignalPoint Asset Management, LLC 8,076 964,000 0.75%
33 Friedenthal Financial 7,250 866,000 0.67%
34 CITIGROUP INC 6,766 808,000 0.63%
35 FDx Advisors, Inc. 5,625 672,000 0.52%
36 Freedom Investment Management, Inc. 4,985 595,000 0.46%
37 Cetera Advisor Networks LLC 4,550 545,000 0.42%
38 Partnervest Advisory Services LLC 3,815 456,000 0.36%
39 ENVESTNET ASSET MANAGEMENT INC 3,384 405,000 0.32%
40 Private Advisor Group, LLC 3,368 400,000 0.31%
41 STIFEL FINANCIAL CORP 3,230 386,000 0.30%
42 WELL DONE, LLC 3,020 361,000 0.28%
43 IFP ADVISORS, INC 2,407 287,000 0.22%
44 Affiance Financial, LLC 2,376 284,000 0.22%
45 LifePlan Financial Group, Inc 2,144 256,000 0.20%
46 First Heartland Consultants, Inc. 1,934 231,000 0.18%
47 D'Orazio & Associates, Inc. 1,734 207,000 0.16%
48 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,532 183,000 0.14%
49 Liberty Capital Management, Inc. 1,290 156,000 0.12%
50 MIGDAL INSURANCE & FINANCIAL HOLDINGS LTD. 1,000 119,000 0.09%
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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.