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Guggenheim Strategic Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$57.5M +$3.2M +192,412 +5%
UBS Group
2
UBS Group
Switzerland
$22.5M +$7.61M +457,168 +45%
Ameriprise
3
Ameriprise
Minnesota
$10.7M +$288K +17,289 +3%
Osaic Holdings
4
Osaic Holdings
Arizona
$10.5M -$562K -33,787 -5%
Cohen & Steers
5
Cohen & Steers
New York
$8.39M -$1.19M -71,719 -12%
RJFSA
6
Raymond James Financial Services Advisors
Florida
$7.66M +$326K +19,591 +4%
PCIA
7
Prime Capital Investment Advisors
Kansas
$7.5M +$1.63M +97,671 +25%
LPL Financial
8
LPL Financial
California
$7.44M +$1.81M +108,836 +29%
Royal Bank of Canada
9
Royal Bank of Canada
Ontario, Canada
$7.24M +$146K +8,771 +2%
Commonwealth Equity Services
10
Commonwealth Equity Services
Massachusetts
$5.4M +$185K +11,106 +3%
Janney Montgomery Scott
11
Janney Montgomery Scott
Pennsylvania
$5.26M +$687K +41,301 +14%
AAM
12
Advisors Asset Management
Colorado
$4.96M -$79.7K -4,790 -1%
Baird Financial Group
13
Baird Financial Group
Wisconsin
$3.83M +$730K +43,831 +21%
Bank of America
14
Bank of America
North Carolina
$3.69M +$805K +48,391 +25%
VCP
15
Verus Capital Partners
Arizona
$3.36M +$3.31M +198,576 +996%
MGWM
16
Marks Group Wealth Management
Minnesota
$2.94M
Envestnet Asset Management
17
Envestnet Asset Management
Illinois
$2.81M +$263K +15,789 +9%
RB
18
Richmond Brothers
Michigan
$2.7M -$90.4K -5,432 -3%
BCA
19
Bay Colony Advisors
Massachusetts
$2.68M +$120K +7,187 +4%
Cambridge Investment Research Advisors
20
Cambridge Investment Research Advisors
Iowa
$2.56M +$178K +10,717 +7%
SPC
21
Sigma Planning Corp
Michigan
$2.3M +$219K +13,132 +10%
Rockefeller Capital Management
22
Rockefeller Capital Management
New York
$2.11M -$2.08M -125,104 -48%
FFA
23
Founders Financial Alliance
North Carolina
$2.03M +$709K +42,573 +47%
RJA
24
Raymond James & Associates
Florida
$1.99M -$68.8K -4,135 -3%
Truist Financial
25
Truist Financial
North Carolina
$1.97M +$29.2K +1,757 +1%