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GUGGENHEIM EQ WEIGHT ENHANC
GUGGENHEIM EQ WEIGHT ENHANC. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 23 Institutional holders with a total value of $22,541,469.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 D'Orazio & Associates, Inc. 109,309 7,864,000 34.89%
2 Shaker Financial Services, LLC 171,436 3,226,000 14.31%
3 ROYAL BANK OF CANADA 119,326 2,246,000 9.96%
4 CORNERSTONE ADVISORS INC 115,624 2,176,000 9.65%
5 MORGAN STANLEY 81,825 1,540,000 6.83%
6 WOLVERINE ASSET MANAGEMENT LLC 71,211 1,340,000 5.94%
7 DOLIVER ADVISORS, LP 36,343 684,000 3.03%
8 1607 Capital Partners, LLC 36,115 680,000 3.02%
9 WELLS FARGO & COMPANY/MN 20,332 383,000 1.70%
10 GUGGENHEIM CAPITAL LLC 20,033 377,000 1.67%
11 Janney Montgomery Scott LLC 19,419 365,469 1.62%
12 UBS AG 18,602 350,000 1.55%
13 ALLIANCEBERNSTEIN L.P. 11,155 210,000 0.93%
14 Thomas J. Herzfeld Advisors, Inc. 10,752 202,000 0.90%
15 PARAMETRIC PORTFOLIO ASSOCIATES LLC 10,400 196,000 0.87%
16 LPL Financial LLC 10,235 193,000 0.86%
17 OPPENHEIMER & CO INC 10,000 188,000 0.83%
18 CITIGROUP INC 5,989 113,000 0.50%
19 BANK OF AMERICA CORP /DE/ 5,625 106,000 0.47%
20 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,210 79,000 0.35%
21 Hanson & Doremus Investment Management 142 12,000 0.05%
22 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 500 9,000 0.04%
23 Tower Research Capital LLC (TRC) 120 2,000 0.01%

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.