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

Institutional Holders (2014Q4)
Portfolio Summary: 15 Institutional holders with a total value of $24,120,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 53,366 11,494,000 47.65%
2 UBS Group AG 189,699 4,087,000 16.94%
3 BESSEMER GROUP INC 112,909 2,432,000 10.08%
4 MORGAN STANLEY 107,134 2,308,000 9.57%
5 Invesco Ltd. 67,811 1,461,000 6.06%
6 HighTower Advisors, LLC 22,125 477,000 1.98%
7 ROYAL BANK OF CANADA 18,909 407,000 1.69%
8 MARINER INVESTMENT GROUP LLC 17,719 382,000 1.58%
9 STIFEL FINANCIAL CORP 11,838 255,000 1.06%
10 Sigma Planning Corp 11,862 255,000 1.06%
11 WELLS FARGO & COMPANY/MN 11,674 251,000 1.04%
12 Virtu KCG Holdings LLC 9,872 213,000 0.88%
13 WOLVERINE ASSET MANAGEMENT LLC 3,000 64,000 0.27%
14 B. Riley Wealth Management, Inc. 845 18,000 0.07%
15 MSI Financial Services Inc 750 16,000 0.07%

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.