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Guggenheim Strategic Opportunities Fund
GOF

Overview Fund Activity

30 hedge funds and large institutions have $39.6M invested in Guggenheim Strategic Opportunities Fund in 2014 Q4 according to their latest regulatory filings, with 6 funds opening new positions, 9 increasing their positions, 9 reducing their positions, and 1 closing their positions.

Holders
30
Holders Change
+3
Holders Change %
+11.11%
% of All Funds
0.8%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
6
Increased
9
Reduced
9
Closed
1
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Bank of America
1
Bank of America
North Carolina
$5.32M
2
UR
2
USCA RIA
Texas
$475K
3
OFG
3
OTA Financial Group
New York
$328K
4
Royal Bank of Canada
4
Royal Bank of Canada
Ontario, Canada
$1.46M
5
Cambridge Investment Research Advisors
5
Cambridge Investment Research Advisors
Iowa
$2.78M

Top Sellers

1
Invesco
1
Invesco
Georgia
$0
2
BTS
2
BB&T Securities
Virginia
$5.94M
3
LPL Financial
3
LPL Financial
California
$1.47M
4
Morgan Stanley
4
Morgan Stanley
New York
$5.56M
5
WA
5
WFG Advisors
Texas
$218K
Name Market Value Shares Shares
Change 		Shares
Change %
BTS
1
BB&T Securities
Virginia
$5.94M 28,407 -2,723 -9%
Morgan Stanley
2
Morgan Stanley
New York
$5.56M 266,176 -10,890 -4%
Bank of America
3
Bank of America
North Carolina
$5.32M 254,701 +24,332 +11%
GC
4
Guggenheim Capital
Illinois
– – – –
UBS Group
5
UBS Group
Switzerland
$3.84M 183,921 +183,921 New
Cambridge Investment Research Advisors
6
Cambridge Investment Research Advisors
Iowa
$2.78M 133,099 +6,067 +5%
NPC
7
National Planning Corporation
California
$2.23M 104,688 -3,259 -3%
Wells Fargo
8
Wells Fargo
California
$1.55M 73,991 +2,090 +3%
LPL Financial
9
LPL Financial
California
$1.47M 70,135 -10,966 -14%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$1.46M 69,975 +6,400 +10%
FAAS
11
First Allied Advisory Services
California
$1.32M 63,484 +91 +0.1%
SPC
12
Sigma Planning Corp
Michigan
$1.07M 51,025 +51,025 New
RJA
13
Raymond James & Associates
Florida
$553K 26,481 -7,924 -23%
UR
14
USCA RIA
Texas
$475K 22,750 +22,750 New
Janney Montgomery Scott
15
Janney Montgomery Scott
Pennsylvania
$452K 21,607 -496 -2%
OFG
16
OTA Financial Group
New York
$328K 15,717 +15,717 New
WA
17
WFG Advisors
Texas
$218K 10,451 -9,932 -49%
MFS
18
MSI Financial Services
Massachusetts
$144K 6,870 +135 +2%
AIG
19
American International Group
New York
$109K 5,212 -2,466 -32%
Citigroup
20
Citigroup
New York
$92K 4,366 +3,831 +716%
Creative Planning
21
Creative Planning
Kansas
$76K 3,657 -100 -3%
NES
22
New England Securities
New York
$68K 3,274 +2,172 +197%
AWM
23
Avior Wealth Management
Nebraska
$53K 2,550 – –
GGPS
24
Gary Goldberg Planning Services
New York
$50K 2,410 – –
PNC Financial Services Group
25
PNC Financial Services Group
Pennsylvania
$38K 1,830 – –
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