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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 (2017Q2)
Portfolio Summary: 74 Institutional holders with a total value of $138,014,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ADVISOR GROUP, INC. 111,444 13,901,000 10.07%
2 MORGAN STANLEY 75,273 9,390,000 6.80%
3 AMERIPRISE FINANCIAL INC 73,082 9,101,000 6.59%
4 JANE STREET GROUP, LLC 72,054 8,988,000 6.51%
5 WealthTrust Fairport, LLC 63,372 7,905,000 5.73%
6 ADVANTAGE INVESTMENT MANAGEMENT, LLC 56,700 7,073,000 5.12%
7 Financial Architects, Inc 52,908 6,600,000 4.78%
8 WELLS FARGO & COMPANY/MN 50,950 6,355,000 4.60%
9 LPL Financial LLC 50,041 6,242,000 4.52%
10 BANK OF AMERICA CORP /DE/ 48,946 6,106,000 4.42%
11 SignalPoint Asset Management, LLC 28,851 3,599,000 2.61%
12 EDMOND DE ROTHSCHILD HOLDING S.A. 24,535 3,060,000 2.22%
13 Cambridge Investment Research Advisors, Inc. 23,811 2,970,000 2.15%
14 Commonwealth Equity Services, Inc 23,765 2,964,000 2.15%
15 VOYA FINANCIAL ADVISORS, INC. 22,660 2,820,000 2.04%
16 Tower Research Capital LLC (TRC) 22,532 2,811,000 2.04%
17 GOLDMAN SACHS GROUP INC 22,221 2,772,000 2.01%
18 RAYMOND JAMES & ASSOCIATES 22,043 2,750,000 1.99%
19 LADENBURG THALMANN FINANCIAL SERVICES INC. 19,477 2,429,000 1.76%
20 UBS Group AG 18,521 2,310,000 1.67%
21 CAHILL FINANCIAL ADVISORS INC 17,284 2,157,000 1.56%
22 SUSQUEHANNA INTERNATIONAL GROUP, LLP 16,151 2,014,000 1.46%
23 SII INVESTMENTS INC/WI 13,762 1,716,000 1.24%
24 HOWE & RUSLING INC 13,467 1,680,000 1.22%
25 COMERICA SECURITIES INC 13,058 1,629,000 1.18%
26 Raymond James Financial Services Advisors, Inc. 12,469 1,555,000 1.13%
27 Somerset Group LLC 11,840 1,477,000 1.07%
28 SG Americas Securities, LLC 9,914 1,237,000 0.90%
29 Friedenthal Financial 8,494 1,060,000 0.77%
30 Advisory Services Network, LLC 7,763 968,000 0.70%
31 CITIGROUP INC 6,794 847,000 0.61%
32 Freedom Investment Management, Inc. 6,649 829,000 0.60%
33 ProVise Management Group, LLC 6,602 824,000 0.60%
34 HighTower Advisors, LLC 6,407 792,000 0.57%
35 ROYAL BANK OF CANADA 6,285 784,000 0.57%
36 Virtu KCG Holdings LLC 5,883 734,000 0.53%
37 FDx Advisors, Inc. 5,543 691,000 0.50%
38 Advisory Alpha, LLC 5,074 636,000 0.46%
39 MML INVESTORS SERVICES, INC. 3,852 481,000 0.35%
40 Cetera Advisor Networks LLC 3,485 436,000 0.32%
41 STIFEL FINANCIAL CORP 3,430 428,000 0.31%
42 ENVESTNET ASSET MANAGEMENT INC 3,404 425,000 0.31%
43 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 3,353 418,000 0.30%
44 Private Advisor Group, LLC 3,221 394,000 0.29%
45 Partnervest Advisory Services LLC 3,146 392,000 0.28%
46 NATIONAL PLANNING CORP 2,521 314,000 0.23%
47 Janney Montgomery Scott LLC 2,420 302,000 0.22%
48 CITADEL ADVISORS LLC 2,245 280,000 0.20%
49 IFP ADVISORS, INC 2,110 263,000 0.19%
50 Cetera Advisors LLC 1,922 239,000 0.17%
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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.