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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
$34M -$760K -41,227 -2%
GC
2
Guggenheim Capital
Illinois
$11M -$62.1K -3,370 -0.6%
UBS Group
3
UBS Group
Switzerland
$10M +$946K +51,331 +11%
Osaic Holdings
4
Osaic Holdings
Arizona
$9.18M +$1.59M +86,310 +22%
RJFSA
5
Raymond James Financial Services Advisors
Florida
$5.98M +$756K +41,004 +15%
Bank of America
6
Bank of America
North Carolina
$5.6M +$829K +44,972 +18%
Invesco
7
Invesco
Georgia
$5.5M +$213K +11,558 +4%
Ameriprise
8
Ameriprise
Minnesota
$5.27M +$140K +7,591 +3%
MGWM
9
Marks Group Wealth Management
Minnesota
$3.46M – – –
Janney Montgomery Scott
10
Janney Montgomery Scott
Pennsylvania
$3.29M +$165K +8,959 +6%
RJA
11
Raymond James & Associates
Florida
$3.21M +$703K +38,159 +30%
Commonwealth Equity Services
12
Commonwealth Equity Services
Massachusetts
$3.13M +$177K +9,592 +6%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$2.51M +$105K +5,687 +5%
MFW
14
Mosaic Family Wealth
Missouri
$2.26M +$339K +18,402 +19%
LPL Financial
15
LPL Financial
California
$2.07M -$28.6K -1,553 -1%
Cambridge Investment Research Advisors
16
Cambridge Investment Research Advisors
Iowa
$2.07M +$816K +44,295 +71%
PCIA
17
Prime Capital Investment Advisors
Kansas
$2.02M -$165K -8,977 -8%
Truist Financial
18
Truist Financial
North Carolina
$1.87M +$10.9K +594 +0.6%
SPC
19
Sigma Planning Corp
Michigan
$1.55M -$151K -8,186 -9%
CAN
20
Cetera Advisor Networks
California
$1.48M +$421K +22,822 +43%
SFS
21
Sowell Financial Services
Arkansas
$1.35M -$247K -13,404 -16%
WAP
22
Wealthcare Advisory Partners
Pennsylvania
$1.08M -$54.9K -2,977 -5%
Baird Financial Group
23
Baird Financial Group
Wisconsin
$1.01M +$108K +5,834 +13%
MAFM
24
Mid Atlantic Financial Management
Pennsylvania
$949K -$310K -16,800 -26%
Cetera Investment Advisers
25
Cetera Investment Advisers
Illinois
$570K -$6.99K -379 -1%
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