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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
$45.3M +$5.13M +244,177 +13%
UBS Group
2
UBS Group
Switzerland
$12.7M +$1.31M +62,212 +12%
Osaic Holdings
3
Osaic Holdings
Arizona
$12.4M +$242K +11,547 +2%
Ameriprise
4
Ameriprise
Minnesota
$9.34M +$2.52M +119,865 +38%
RJFSA
5
Raymond James Financial Services Advisors
Florida
$8.95M +$2.36M +112,260 +37%
Bank of America
6
Bank of America
North Carolina
$6.37M +$175K +8,342 +3%
Commonwealth Equity Services
7
Commonwealth Equity Services
Massachusetts
$4.92M +$493K +23,507 +12%
Janney Montgomery Scott
8
Janney Montgomery Scott
Pennsylvania
$4.18M +$525K +25,019 +15%
MGWM
9
Marks Group Wealth Management
Minnesota
$3.86M – – –
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$2.93M +$36.3K +1,727 +1%
MFW
11
Mosaic Family Wealth
Missouri
$2.89M +$193K +9,201 +7%
LPL Financial
12
LPL Financial
California
$2.72M +$175K +8,339 +7%
RJA
13
Raymond James & Associates
Florida
$2.69M -$105K -5,024 -4%
Cambridge Investment Research Advisors
14
Cambridge Investment Research Advisors
Iowa
$2.4M +$67.8K +3,229 +3%
PCIA
15
Prime Capital Investment Advisors
Kansas
$2.35M +$43.6K +2,076 +2%
SPC
16
Sigma Planning Corp
Michigan
$2.19M +$240K +11,448 +13%
Truist Financial
17
Truist Financial
North Carolina
$2.03M -$35.8K -1,704 -2%
WAP
18
Wealthcare Advisory Partners
Pennsylvania
$1.67M +$146K +6,973 +10%
Baird Financial Group
19
Baird Financial Group
Wisconsin
$1.67M -$116K -5,510 -7%
HI
20
Harbour Investments
Wisconsin
$1.4M -$20.3K -965 -1%
CAN
21
Cetera Advisor Networks
California
$1.11M +$519K +24,701 +94%
Cetera Investment Advisers
22
Cetera Investment Advisers
Illinois
$833K +$179K +8,526 +29%
DAS
23
Dynamic Advisor Solutions
Arizona
$703K +$45.2K +2,153 +7%
FFA
24
Founders Financial Alliance
North Carolina
$646K +$103K +4,904 +20%
KA
25
Kovack Advisors
Florida
$587K -$55.8K -2,658 -9%
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