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GUGGENHEIM S&P MIDCAP 400 PURE VALUE ETF
GUGGENHEIM S&P MIDCAP 400 PURE VALUE ETF. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 34 Institutional holders with a total value of $45,729,447.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MARINER INDEPENDENT ADVISOR NETWORK, LLC 232,078 12,750,164 27.88%
2 BANK OF STOCKTON 179,697 9,768,000 21.36%
3 MORGAN STANLEY 104,102 5,659,000 12.37%
4 Legacy Private Trust Co. 54,709 2,974,000 6.50%
5 SUSQUEHANNA INTERNATIONAL GROUP, LLP 47,737 2,595,000 5.67%
6 WELLS FARGO & COMPANY/MN 47,558 2,585,000 5.65%
7 BANK OF AMERICA CORP /DE/ 27,425 1,491,000 3.26%
8 LPL Financial LLC 26,584 1,445,000 3.16%
9 JANE STREET GROUP, LLC 25,795 1,402,000 3.07%
10 UBS Group AG 15,611 849,000 1.86%
11 Commonwealth Equity Services, Inc 11,471 624,000 1.36%
12 ROYAL BANK OF CANADA 7,870 428,000 0.94%
13 First Allied Advisory Services, Inc. 6,944 378,000 0.83%
14 Sigma Planning Corp 6,417 349,000 0.76%
15 GOLDMAN SACHS GROUP INC 6,242 339,000 0.74%
16 CREDIT SUISSE AG/ 6,109 332,000 0.73%
17 Cetera Advisors LLC 4,760 259,000 0.57%
18 Karp Capital Management Corp 4,680 254,000 0.56%
19 Cambridge Investment Research Advisors, Inc. 4,336 236,000 0.52%
20 IMS Capital Management 4,319 235,000 0.51%
21 COURIER CAPITAL LLC 3,700 201,000 0.44%
22 Acropolis Investment Management, LLC 3,430 186,455 0.41%
23 MSI Financial Services Inc 2,115 115,000 0.25%
24 Genesis Wealth Advisors, LLC 1,731 95,914 0.21%
25 JNBA Financial Advisors 700 38,000 0.08%
26 LADENBURG THALMANN FINANCIAL SERVICES INC. 611 33,000 0.07%
27 Avior Wealth Management, LLC 552 30,000 0.07%
28 WFG Advisors, LP 550 30,000 0.07%
29 Creative Planning 450 24,000 0.05%
30 AllSquare Wealth Management LLC 350 19,000 0.04%
31 AMERICAN INTERNATIONAL GROUP, INC. 52 2,827 0.01%
32 Stratos Wealth Partners, LTD. 20 1,087 0.00%
33 BANK OF MONTREAL /CAN/ 23 1,000 0.00%
34 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.