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

Institutional Holders (2014Q2)
Portfolio Summary: 12 Institutional holders with a total value of $14,488,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 31,032 7,699,000 53.14%
2 UBS AG 123,711 3,069,000 21.18%
3 Invesco Ltd. 69,701 1,729,000 11.93%
4 ROYAL BANK OF CANADA 23,060 573,000 3.95%
5 WELLS FARGO & COMPANY/MN 16,017 397,000 2.74%
6 HighTower Advisors, LLC 14,150 351,000 2.42%
7 STIFEL FINANCIAL CORP 12,765 317,000 2.19%
8 WEDBUSH SECURITIES INC 9,000 223,000 1.54%
9 MORGAN STANLEY 2,625 65,000 0.45%
10 Tower Research Capital LLC (TRC) 1,600 40,000 0.28%
11 B. Riley Wealth Management, Inc. 845 20,000 0.14%
12 Ground Swell Capital, LLC 200 5,000 0.03%

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.