B. Riley Wealth Management’s Guggenheim Enhncd Eqty Strtgy Fd GGE Stock Holding History

B. Riley Wealth Management’s Portfolio GGE Stock Details GGE Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q3	–	Sell	-1,000	Closed	-$16K	–	955
2015 Q2	$16K	Hold	1,000	–	–	0.01%	661
2015 Q1	$17K	Hold	1,000	–	–	0.01%	654
2014 Q4	$17K	Hold	1,000	–	–	0.01%	635
2014 Q3	$19K	Hold	1,000	–	–	0.01%	623
2014 Q2	$19K	Hold	1,000	–	–	0.01%	678
2014 Q1	$19K	Buy	+1,000	New	+$18.6K	0.01%	647

Other funds holding GGE

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

Guggenheim Capital Chicago, Illinois $12.9B AUM 27.3% 1-Year Est. Return

TJHA

Thomas J. Herzfeld Advisors Miami Beach, Florida $294M AUM 2.62% 1-Year Est. Return

Baird Financial Group Milwaukee, Wisconsin $64B AUM 22.64% 1-Year Est. Return

CSS LLC Chicago, Illinois $2.09B AUM 59.56% 1-Year Est. Return

CRC

Curi RMB Capital Chicago, Illinois $5.62B AUM 18.93% 1-Year Est. Return

Cornerstone Advisors Asheville, North Carolina $2.72B AUM 22.17% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

B. Riley Wealth Management's GGE Position: Q3 2015 in Review

B. Riley Wealth Management sold out of Guggenheim Enhncd Eqty Strtgy Fd (GGE) in Q3 2015, closing a stake of 1,000 shares — an estimated $16K sold.

B. Riley Wealth Management first reported a position in GGE in Q1 2014 and held it in 6 quarters. The position peaked at $19K in Q3 2014. 24 funds tracked by Wall St. Rank hold GGE as of Q3 2015.

B. Riley Wealth Management reported no remaining Guggenheim Enhncd Eqty Strtgy Fd position as of Q3 2015 after selling out during the quarter.
B. Riley Wealth Management sold 1,000 Guggenheim Enhncd Eqty Strtgy Fd shares in Q3 2015, an estimated $16K.
B. Riley Wealth Management first reported a position in Guggenheim Enhncd Eqty Strtgy Fd in Q1 2014 and held it in 6 quarters.
B. Riley Wealth Management's Guggenheim Enhncd Eqty Strtgy Fd position peaked at $19K in Q3 2014.
24 funds tracked by Wall St. Rank held Guggenheim Enhncd Eqty Strtgy Fd as of Q3 2015.

Based on B. Riley Wealth Management's 13F filing for Q3 2015, filed 13 Oct 2015.