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Guggenheim Strategic Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$63.5M +$13.8M +736,756 +28%
UBS Group
2
UBS Group
Switzerland
$27.3M +$3.52M +187,527 +15%
Osaic Holdings
3
Osaic Holdings
Arizona
$17.2M +$872K +46,496 +5%
Cohen & Steers
4
Cohen & Steers
New York
$16.2M -$1.78M -94,804 -10%
Ameriprise
5
Ameriprise
Minnesota
$12.4M +$1.44M +76,750 +13%
RJFSA
6
Raymond James Financial Services Advisors
Florida
$9.16M -$309K -16,503 -3%
Royal Bank of Canada
7
Royal Bank of Canada
Ontario, Canada
$8.79M -$164K -8,758 -2%
LPL Financial
8
LPL Financial
California
$6.59M +$666K +35,536 +11%
AAM
9
Advisors Asset Management
Colorado
$6.42M -$541K -28,861 -8%
Commonwealth Equity Services
10
Commonwealth Equity Services
Massachusetts
$6.31M +$258K +13,760 +4%
VCP
11
Verus Capital Partners
Arizona
$6.04M +$6.11M +325,650 New
PCIA
12
Prime Capital Investment Advisors
Kansas
$5.61M -$36.8K -1,960 -0.6%
Janney Montgomery Scott
13
Janney Montgomery Scott
Pennsylvania
$5.54M +$560K +29,878 +11%
Rockefeller Capital Management
14
Rockefeller Capital Management
New York
$4.14M +$3.79M +202,177 +1,294%
Bank of America
15
Bank of America
North Carolina
$4.06M -$4.23M -225,465 -51%
Baird Financial Group
16
Baird Financial Group
Wisconsin
$3.95M -$167K -8,917 -4%
MGWM
17
Marks Group Wealth Management
Minnesota
$3.62M
RJA
18
Raymond James & Associates
Florida
$3.49M +$103K +5,491 +3%
RB
19
Richmond Brothers
Michigan
$3.45M -$97.5K -5,197 -3%
Envestnet Asset Management
20
Envestnet Asset Management
Illinois
$3.09M +$979K +52,196 +47%
Cambridge Investment Research Advisors
21
Cambridge Investment Research Advisors
Iowa
$2.84M +$334K +17,789 +14%
BCA
22
Bay Colony Advisors
Massachusetts
$2.72M +$122K +6,522 +5%
SPC
23
Sigma Planning Corp
Michigan
$2.44M -$460K -24,548 -16%
Truist Financial
24
Truist Financial
North Carolina
$2.37M -$119K -6,333 -5%
FFA
25
Founders Financial Alliance
North Carolina
$2.18M +$1.14M +60,731 +113%