Guggenheim Capital’s First Trust Specialty Finance and Financial Opportunities Fund FGB Stock Holding History

Guggenheim Capital’s Portfolio FGB Stock Details FGB Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q3	–	Sell	-64,805	Closed	-$389K	–	2396
2018 Q2	$389K	Sell	64,805 -3,320	-5%	-$20.2K	﹤0.01%	2079
2018 Q1	$410K	Sell	68,125 -758	-1%	-$4.66K	﹤0.01%	2439
2017 Q4	$423K	Sell	68,883 -3,668	-5%	-$24K	﹤0.01%	2410
2017 Q3	$498K	Buy	72,551 +37,383	+106%	+$263K	﹤0.01%	2388
2017 Q2	$254K	Buy	+35,168	New	+$260K	﹤0.01%	2594

Other funds holding FGB

RJFSA

Raymond James Financial Services Advisors St. Petersburg, Florida $75.1B AUM 31.89% 1-Year Est. Return

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

FHA

Flagship Harbor Advisors Boston, Massachusetts $2.61B AUM 23.21% 1-Year Est. Return

QCIG

Quad-Cities Investment Group Davenport, Iowa $278M AUM 22.38% 1-Year Est. Return

Cetera Advisors Denver, Colorado $12.7B AUM 22.7% 1-Year Est. Return

Advisor Group Phoenix, Arizona $14.5B AUM 24.86% 1-Year Est. Return

Commonwealth Equity Services Waltham, Massachusetts $71.6B AUM 21.08% 1-Year Est. Return

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

LPL Financial San Diego, California $377B AUM 19.32% 1-Year Est. Return

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

Guggenheim Capital's FGB Position: Q3 2018 in Review

Guggenheim Capital sold out of First Trust Specialty Finance and Financial Opportunities Fund (FGB) in Q3 2018, closing a stake of 64,805 shares — an estimated $389K sold.

Guggenheim Capital first reported a position in FGB in Q2 2017 and held it in 5 quarters. The position peaked at $498K in Q3 2017. 22 funds tracked by Wall St. Rank hold FGB as of Q3 2018.

Guggenheim Capital reported no remaining First Trust Specialty Finance and Financial Opportunities Fund position as of Q3 2018 after selling out during the quarter.
Guggenheim Capital sold 64,805 First Trust Specialty Finance and Financial Opportunities Fund shares in Q3 2018, an estimated $389K.
Guggenheim Capital first reported a position in First Trust Specialty Finance and Financial Opportunities Fund in Q2 2017 and held it in 5 quarters.
Guggenheim Capital's First Trust Specialty Finance and Financial Opportunities Fund position peaked at $498K in Q3 2017.
22 funds tracked by Wall St. Rank held First Trust Specialty Finance and Financial Opportunities Fund as of Q3 2018.

Based on Guggenheim Capital's 13F filing for Q3 2018, filed 14 Nov 2018.