GUGGENHEIM EQ WEIGHT ENHANC - 40167M106
Detailed investor-level table based on 13F positions.
Early Q2 2014 data: only 7 institutional holders reported so far. The full shareholder list will grow as more funds file with the SEC.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Shaker Financial Services, LLC | History | Added to | 171,436 | 3,226 | 2.12% | 2.1% | 1 | +11,511 | 7.2% | Q1 2014 | May 07, 2014 |
| ROYAL BANK OF CANADA | History | Added to | 119,326 | 2,246 | 0.0% | 0.0% | 2 | +13,760 | 13.03% | Q1 2014 | May 15, 2014 |
| CORNERSTONE ADVISORS INC | History | Reduced | 115,624 | 2,176 | 0.51% | 0.55% | 3 | -3,700 | -3.1% | Q1 2014 | May 07, 2014 |
| Detwiler Fenton Investment Management LLC | History | Reduced | 93,160 | 1,753 | 1.51% | 1.59% | 4 | -959 | -1.02% | Q1 2014 | May 01, 2014 |
| MORGAN STANLEY | History | Added to | 81,825 | 1,540 | 0.0% | 0.0% | 5 | +3,826 | 4.91% | Q1 2014 | May 13, 2014 |
| WOLVERINE ASSET MANAGEMENT LLC | History | Reduced | 71,211 | 1,340 | 0.03% | 0.04% | 6 | -43,300 | -37.81% | Q1 2014 | May 14, 2014 |
| DOLIVER CAPITAL ADVISORS, INC. | History | Reduced | 36,343 | 684 | 0.45% | 0.47% | 7 | -2,887 | -7.36% | Q1 2014 | May 16, 2014 |
| 1607 Capital Partners, LLC | History | No change | 36,115 | 680 | 0.05% | 0.06% | 8 | 0 | 0.0% | Q1 2014 | May 12, 2014 |
| WELLS FARGO & COMPANY/MN | History | Added to | 20,332 | 383 | 0.0% | 0.0% | 9 | +177 | 0.88% | Q1 2014 | May 15, 2014 |
| GUGGENHEIM CAPITAL LLC | History | Added to | 20,033 | 377 | 0.0% | 0.0% | 10 | +3,233 | 19.24% | Q1 2014 | May 16, 2014 |
| Janney Montgomery Scott LLC | History | Added to | 19,419 | 365 | 0.01% | 0.01% | 11 | +2,053 | 11.82% | Q1 2014 | May 14, 2014 |
| UBS AG | History | Added to | 18,602 | 350 | 0.0% | 0.0% | 12 | +6,490 | 53.58% | Q1 2014 | May 16, 2014 |
| ALLIANCEBERNSTEIN L.P. | History | New | 11,155 | 210 | 0.0% | — | 13 | +11,155 | New | Q1 2014 | May 13, 2014 |
| Thomas J. Herzfeld Advisors, Inc. | History | Reduced | 10,752 | 202 | 0.12% | 0.12% | 14 | -775 | -6.72% | Q1 2014 | May 14, 2014 |
| PARAMETRIC PORTFOLIO ASSOCIATES LLC | History | New | 10,400 | 196 | 0.0% | — | 15 | +10,400 | New | Q1 2014 | May 13, 2014 |
| LPL Financial LLC | History | Reduced | 10,235 | 193 | 0.0% | 0.0% | 16 | -1,700 | -14.24% | Q1 2014 | May 12, 2014 |
| OPPENHEIMER & CO INC | History | No change | 10,000 | 188 | 0.01% | 0.01% | 17 | 0 | 0.0% | Q1 2014 | May 09, 2014 |
| CITIGROUP INC | History | Added to | 5,989 | 113 | 0.0% | 0.0% | 18 | +348 | 6.17% | Q1 2014 | May 15, 2014 |
| BANK OF AMERICA CORP /DE/ | History | Reduced | 5,625 | 106 | 0.0% | 2.31% | 19 | -2,500 | -30.77% | Q1 2014 | May 15, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | Added to | 4,210 | 79 | 0.0% | 0.0% | 20 | +210 | 5.25% | Q1 2014 | May 15, 2014 |
| Hanson & Doremus Investment Management | History | No change | 142 | 12 | 0.01% | 0.01% | 21 | 0 | 0.0% | Q1 2014 | Apr 30, 2014 |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC | History | Reduced | 500 | 9 | 0.01% | 0.03% | 22 | -1,500 | -75.0% | Q1 2014 | Apr 29, 2014 |
| Tower Research Capital LLC | History | Reduced | 120 | 2 | 0.0% | 0.0% | 23 | -922 | -88.48% | Q1 2014 | May 02, 2014 |
| Advisors Asset Management, Inc. | History | Closed out | 0 | 0 | — | 0.01% | — | -24,324 | -100.0% | Q4 2013 | Feb 03, 2014 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -1,000 | -100.0% | Q4 2013 | Feb 07, 2014 |