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GUGGENHEIM CR ALLOCATION FD
GUGGENHEIM CR ALLOCATION FD. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 11 Institutional holders with a total value of $16,038,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 39,084 9,333,000 58.19%
2 UBS AG 138,288 3,302,000 20.59%
3 Invesco Ltd. 54,287 1,296,000 8.08%
4 ROYAL BANK OF CANADA 22,965 548,000 3.42%
5 WELLS FARGO & COMPANY/MN 17,514 418,000 2.61%
6 HighTower Advisors, LLC 14,150 338,000 2.11%
7 STIFEL FINANCIAL CORP 11,538 276,000 1.72%
8 WEDBUSH SECURITIES INC 9,000 215,000 1.34%
9 GUGGENHEIM CAPITAL LLC 9,000 215,000 1.34%
10 MORGAN STANLEY 3,235 77,000 0.48%
11 B. Riley Wealth Management, Inc. 845 20,000 0.12%

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.