Dark
Light
System
Security
GUGGENHEIM S&P MID CAP 400 EQUAL WEIGHT ETF
GUGGENHEIM S&P MID CAP 400 EQUAL WEIGHT ETF. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 26 Institutional holders with a total value of $54,637,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 HARVEST CAPITAL MANAGEMENT INC 366,980 21,130,000 38.67%
2 BANK OF AMERICA CORP /DE/ 111,715 6,433,000 11.77%
3 MORGAN STANLEY 96,503 5,557,000 10.17%
4 LPL Financial LLC 82,139 4,758,000 8.71%
5 Cerity Partners OCIO LLC 56,432 3,249,000 5.95%
6 UBS Group AG 48,937 2,818,000 5.16%
7 WELLS FARGO & COMPANY/MN 35,807 2,061,000 3.77%
8 RAYMOND JAMES & ASSOCIATES 26,115 1,504,000 2.75%
9 SUSQUEHANNA INTERNATIONAL GROUP, LLP 24,480 1,410,000 2.58%
10 HighTower Advisors, LLC 18,858 1,089,000 1.99%
11 Ironsides Asset Advisors, LLC 14,866 856,000 1.57%
12 STIFEL FINANCIAL CORP 13,316 766,000 1.40%
13 Virtu KCG Holdings LLC 9,795 564,000 1.03%
14 Cetera Advisors LLC 8,442 489,000 0.89%
15 JPMORGAN CHASE & CO 7,495 432,000 0.79%
16 Cambridge Investment Research Advisors, Inc. 6,682 385,000 0.70%
17 Private Advisor Group, LLC 5,498 321,000 0.59%
18 VICUS CAPITAL 3,678 212,000 0.39%
19 MSI Financial Services Inc 3,600 208,000 0.38%
20 ADVISOR GROUP, INC. 3,589 207,000 0.38%
21 ROYAL BANK OF CANADA 1,348 78,000 0.14%
22 STEWARD PARTNERS INVESTMENT ADVISORY, LLC 1,110 63,000 0.12%
23 LADENBURG THALMANN FINANCIAL SERVICES INC. 467 27,000 0.05%
24 FIFTH THIRD BANCORP 288 17,000 0.03%
25 BENJAMIN F. EDWARDS & COMPANY, INC. 55 3,000 0.01%
26 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.