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

Institutional Holders (2016Q4)
Portfolio Summary: 28 Institutional holders with a total value of $26,499,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 NEXT Financial Group, Inc 0 0 0.00%
2 JPMORGAN CHASE & CO 123 2,000 0.01%
3 IFP ADVISORS, INC 1,074 18,000 0.07%
4 MORGAN STANLEY 1,442 24,000 0.09%
5 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,054 34,000 0.13%
6 ADVISOR GROUP, INC. 2,600 43,000 0.16%
7 GLOBAL RETIREMENT PARTNERS, LLC 3,000 49,000 0.18%
8 Thomas J. Herzfeld Advisors, Inc. 4,571 75,000 0.28%
9 CITIGROUP INC 5,886 96,000 0.36%
10 Janney Montgomery Scott LLC 11,380 186,000 0.70%
11 BENJAMIN F. EDWARDS & COMPANY, INC. 11,750 192,000 0.72%
12 LPL Financial LLC 13,262 218,000 0.82%
13 Invesco Ltd. 14,676 240,000 0.91%
14 AMERIPRISE FINANCIAL INC 14,864 243,000 0.92%
15 BB&T SECURITIES, LLC 17,937 301,000 1.14%
16 Raymond James Financial Services Advisors, Inc. 20,693 339,000 1.28%
17 SIT INVESTMENT ASSOCIATES INC 27,084 443,000 1.67%
18 BANK OF AMERICA CORP /DE/ 36,121 591,000 2.23%
19 WEDBUSH SECURITIES INC 49,664 813,000 3.07%
20 RAYMOND JAMES & ASSOCIATES 55,383 907,000 3.42%
21 UBS Group AG 90,324 1,479,000 5.58%
22 GUGGENHEIM CAPITAL LLC 112,374 1,840,000 6.94%
23 WELLS FARGO & COMPANY/MN 124,686 2,041,000 7.70%
24 Advisors Asset Management, Inc. 139,414 2,282,000 8.61%
25 RELATIVE VALUE PARTNERS GROUP, LLC 140,757 2,304,000 8.69%
26 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 145,488 2,382,000 8.99%
27 ROYAL BANK OF CANADA 250,164 4,095,000 15.45%
28 Shaker Financial Services, LLC 321,450 5,262,000 19.86%

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.