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Guggenheim Strategic Opportunities Fund
GOF

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$28M +$5.68M +324,178 +21%
GC
2
Guggenheim Capital
Illinois
$7.48M +$8.59M +490,219 New
UBS Group
3
UBS Group
Switzerland
$6.34M +$935K +53,381 +15%
Osaic Holdings
4
Osaic Holdings
Arizona
$5.63M +$6.47M +369,470 New
Invesco
5
Invesco
Georgia
$4.31M +$353K +20,139 +8%
LCM
6
Landscape Capital Management
New Jersey
$3.76M +$3.4M +193,819 +368%
Bank of America
7
Bank of America
North Carolina
$3.24M +$1.05M +60,212 +39%
PPA
8
Parametric Portfolio Associates
Washington
$3.21M +$3.69M +210,505 New
RJA
9
Raymond James & Associates
Florida
$2.94M +$711K +40,554 +27%
RJFSA
10
Raymond James Financial Services Advisors
Florida
$2.81M +$145K +8,258 +5%
Commonwealth Equity Services
11
Commonwealth Equity Services
Massachusetts
$2.27M -$30.6K -1,745 -1%
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$2.12M +$504K +28,771 +26%
Janney Montgomery Scott
13
Janney Montgomery Scott
Pennsylvania
$1.99M +$237K +13,541 +12%
Northwestern Mutual Wealth Management
14
Northwestern Mutual Wealth Management
Wisconsin
$1.95M +$85K +4,852 +4%
PCIA
15
Prime Capital Investment Advisors
Kansas
$1.9M +$346K +19,735 +19%
Ameriprise
16
Ameriprise
Minnesota
$1.75M -$405K -23,144 -17%
SPC
17
Sigma Planning Corp
Michigan
$1.62M -$72.8K -4,156 -4%
MFW
18
Mosaic Family Wealth
Missouri
$1.36M +$55.1K +3,143 +4%
SFS
19
Sowell Financial Services
Arkansas
$1.15M +$471K +26,906 +56%
LPL Financial
20
LPL Financial
California
$1.09M +$773K +44,142 +160%
MAFM
21
Mid Atlantic Financial Management
Pennsylvania
$1.02M +$366K +20,900 +45%
IWM
22
IHT Wealth Management
Illinois
$962K +$894K +51,033 +424%
CAN
23
Cetera Advisor Networks
California
$876K +$301K +17,204 +43%
Cambridge Investment Research Advisors
24
Cambridge Investment Research Advisors
Iowa
$851K +$19.8K +1,132 +2%
WAP
25
Wealthcare Advisory Partners
Pennsylvania
$837K +$962K +54,889 New
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