Vault-13

GUGGENHEIM STRATEGIC OPPORTU GOF

COM SBI · Closed-End Fund · CUSIP 40167F101

131 institutional holders +6 vs Q3 2022
16,804,59216.8m shares reported held*
$255.7mreported value*
10 new 57 added 40 reduced 5 sold out net bought ≈ $19.5m (+1.3m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $15.22.

Trends to Q4 2022

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 125Q4 22: 131131Q3 22Q4 22
Numbers
QuarterHolders
Q3 2022125
Q4 2022131

Biggest buyers

Richmond Brothers, Inc. Added +267,953+268.0k
Atria Wealth Solutions, Inc. Added +248,916+248.9k
Cetera Advisor Networks LLC Added +206,490+206.5k
Prime Capital Investment Advisors, LLC Added +203,937+203.9k
OSAIC HOLDINGS, INC. Added +151,776+151.8k
MORGAN STANLEY Added +118,811+118.8k
CAPTRUST FINANCIAL ADVISORS Added +116,432+116.4k
Sowell Financial Services LLC New +100,533+100.5k
FIRST FOUNDATION ADVISORS Added +68,161+68.2k
Brookstone Capital Management Added +63,411+63.4k

Biggest sellers

ROYAL BANK OF CANADA Reduced -142,145-142.1k
AMERIPRISE FINANCIAL INC Reduced -139,970-140.0k
Janney Montgomery Scott LLC Reduced -96,454-96.5k
COHEN & STEERS, INC. Reduced -78,087-78.1k
VERUS CAPITAL PARTNERS, LLC Reduced -47,284-47.3k
UBS Group AG Reduced -40,526-40.5k
Baird Financial Group, Inc. Reduced -28,021-28.0k
Castleview Partners, LLC Sold out -18,647-18.6k
OneAscent Financial Services LLC Reduced -14,782-14.8k
Advisors Asset Management, Inc. Reduced -13,172-13.2k

Insider purchases and sales in Q4 2022

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
101Q1 21: 0 buyingQ1 21: 0 sellingQ2 21: 0 buyingQ2 21: 0 sellingQ2 21Q3 21: 0 buyingQ3 21: 0 sellingQ4 21: 0 buyingQ4 21: 1 sellingQ4 21Q1 22: 0 buyingQ1 22: 0 sellingQ2 22: 0 buyingQ2 22: 1 sellingQ2 22Q3 22: 0 buyingQ3 22: 1 sellingQ4 22: 0 buyingQ4 22: 1 sellingQ4 22
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q1 20210—0——
Q2 20210—0——
Q3 20210—0——
Q4 20210—1$629.6k—
Q1 20220—0——
Q2 20220—1$228.9k—
Q3 20220—1$62.4k—
Q4 20220—1$31.0k—
DateInsiderTradeSharesPrice ValueTheir holding
2022-10-12 TOUPIN RONALD E JR Director Sold 2,000 $15.50 $31.0k2.0k shares -12%

Their holding: how much the trade added to or took from the insider's holding (direct, or the trust or fund named). The same trade is sometimes reported by more than one insider, such as a fund and the director who represents it; totals count it once. A value is left blank where the reported price is far from the market price (usually a typo).

Holders, Q4 2022

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 3,859,6833.9m $58.7m $58.7m 0.01% Added +118.8k +118,811
2 UBS Group AG 0.01% of their portfolio ZURICH, V8 1,421,7481.4m $21.6m $21.6m 0.01% Reduced -40.5k -40,526
3 OSAIC HOLDINGS, INC. 0.03% of their portfolio SCOTTSDALE, AZ 836,133836.1k $12.7m $12.7m 0.03% Added +151.8k +151,776
4 Prime Capital Investment Advisors, LLC 0.40% of their portfolio OVERLAND PARK, KS 692,046692.0k $10.5m $10.5m 0.40% Added +203.9k +203,937
5 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 557,453557.5k $8.5m $8.5m 0.00% Reduced -140.0k -139,970
6 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 500,973501.0k $7.6m $7.6m 0.01% Added +16.3k +16,320
7 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 496,986497.0k $7.6m $7.6m 0.02% Reduced -1.9k -1,901
8 COHEN & STEERS, INC. 0.02% of their portfolio NEW YORK, NY 467,867467.9k $7.1m $7.1m 0.02% Reduced -78.1k -78,087
9 Richmond Brothers, Inc. 9.47% of their portfolio JACKSON, MI 443,582443.6k $6.8m $6.8m 9.47% Added +268.0k +267,953
10 Atria Wealth Solutions, Inc. 0.09% of their portfolio NEW YORK, NY 363,124363.1k $5.5m $5.5m 0.09% Added +248.9k +248,916
11 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 339,707339.7k $5.2m $5.2m 0.01% Reduced -11.8k -11,758
12 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 329,425329.4k $5.0m $5.0m 0.00% Reduced -142.1k -142,145
13 Advisors Asset Management, Inc. 0.10% of their portfolio Monument, CO 309,436309.4k $4.7m $4.7m 0.10% Reduced -13.2k -13,172
14 Cetera Advisor Networks LLC 0.03% of their portfolio EL SEGUNDO, CA 258,012258.0k $3.9m $3.9m 0.03% Added +206.5k +206,490
15 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 246,073246.1k $3.7m $3.7m 0.01% Reduced -96.5k -96,454
16 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 228,558228.6k $3.5m $3.5m 0.00% Reduced -12.0k -11,975
17 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 221,543221.5k $3.4m $3.4m 0.01% Reduced -28.0k -28,021
18 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 209,997210.0k $3.2m $3.2m 0.02% Added +43.0k +43,022
19 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 201,975202.0k $3.1m $3.1m 0.00% Added +19.1k +19,131
20 CAPTRUST FINANCIAL ADVISORS 0.02% of their portfolio RALEIGH, NC 201,525201.5k $3.1m $3.1m 0.02% Added +116.4k +116,432
21 Marks Group Wealth Management, Inc 0.40% of their portfolio MINNETONKA, MN 194,747194.7k $3.0m $3.0m 0.40% Added +3.7k +3,660
22 Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors 0.70% of their portfolio CONCORD, MA 173,153173.2k $2.6m $2.6m 0.70% Reduced -1.3k -1,343
23 VERUS CAPITAL PARTNERS, LLC 0.49% of their portfolio SCOTTSDALE, AZ 171,231171.2k $2.6m $2.6m 0.49% Reduced -47.3k -47,284
24 MOSAIC FAMILY WEALTH PARTNERS, LLC 0.71% of their portfolio ST. LOUIS, MO 165,082165.1k $2.5m $2.5m 0.71% First filing
25 Sigma Planning Corp 0.09% of their portfolio ANN ARBOR, MI 158,462158.5k $2.4m $2.4m 0.09% Added +8.8k +8,821
26 Founders Financial Alliance, LLC 0.95% of their portfolio RALEIGH, NC 136,073136.1k $2.1m $2.1m 0.95% Added +3.7k +3,749
27 Brookstone Capital Management 0.04% of their portfolio WHEATON, IL 131,289131.3k $2.1m $2.1m 0.04% Added +63.4k +63,411
28 CreativeOne Wealth, LLC 0.11% of their portfolio OVERLAND PARK, KS 129,586129.6k $2.0m $2.0m 0.11% Added +43.0k +43,036
29 Private Advisor Group, LLC 0.05% of their portfolio MORRISTOWN, NJ 119,811119.8k $1.8m $1.8m 0.05% Added +3.2k +3,224
30 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 117,532117.5k $1.8m $1.8m 0.00% Reduced -10.7k -10,706
31 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 116,564116.6k $1.8m $1.8m 0.00% Reduced -12.9k -12,931
32 FIRST FOUNDATION ADVISORS 0.08% of their portfolio Irvine, CA 108,367108.4k $1.6m $1.6m 0.08% Added +68.2k +68,161
33 Wealthcare Advisory Partners LLC 0.08% of their portfolio WEST CHESTER, PA 106,385106.4k $1.6m $1.6m 0.08% Added +6.2k +6,171
34 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 102,038102.0k $1.6m $1.6m 0.01% Added +21.3k +21,252
35 Mutual Advisors, LLC 0.07% of their portfolio OMAHA, NE 100,543100.5k $1.5m $1.5m 0.07% Added +5.9k +5,858
36 Sowell Financial Services LLC 0.10% of their portfolio NORTH LITTLE ROCK, AR 100,533100.5k $1.5m $1.5m 0.10% New
37 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 92,51292.5k $1.4m $1.4m 0.01% Reduced -1.4k -1,439
38 Western Wealth Management, LLC 0.13% of their portfolio GOLDEN, CO 86,73286.7k $1.3m $1.3m 0.13% Reduced -8.6k -8,629
39 AVANTAX ADVISORY SERVICES, INC. 0.02% of their portfolio DALLAS, TX 81,46681.5k $1.2m $1.2m 0.02% Added +8.5k +8,458
40 NewEdge Advisors, LLC 0.02% of their portfolio NEW ORLEANS, LA 70,78270.8k $871.4k $871.4k 0.02% Added +14.1k +14,065
41 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 68,59668.6k $1.0m $1.0m 0.00% Reduced -5.1k -5,096
42 Integrated Wealth Concepts LLC 0.03% of their portfolio WALTHAM, MA 67,02867.0k $1.0m $1.0m 0.03% Added +14.2k +14,196
43 B. Riley Wealth Advisors, Inc. 0.03% of their portfolio MEMPHIS, TN 64,56164.6k $983.5k $983.5k 0.03% Added +18.1k +18,060
44 OneAscent Financial Services LLC 0.41% of their portfolio BIRMINGHAM, AL 63,58663.6k $968.0k $968.0k 0.41% Reduced -14.8k -14,782
45 Semus Wealth Partners LLC 1.16% of their portfolio Boca Raton, FL 62,86162.9k $956.7k $956.7k 1.16% First filing
46 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 60,02160.0k $914.0k $914.0k 0.01% Added +1.4k +1,404
47 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 59,46159.5k $905.0k $905.0k 0.00% Reduced -8.7k -8,747
48 WEDBUSH SECURITIES INC 0.05% of their portfolio PASADENA, CA 59,20659.2k $901.0k $901.0k 0.05% Added +17.0k +16,985
49 Cetera Advisors LLC 0.02% of their portfolio DENVER, CO 58,90958.9k $896.6k $896.6k 0.02% Added +2.9k +2,851
50 David J Yvars Group 1.10% of their portfolio UNIVERSITY PARK, FL 57,80757.8k $879.4k $879.4k 1.10% Added +131 +131
51 Garden State Investment Advisory Services LLC 0.52% of their portfolio Red Bank, NJ 57,64357.6k $877.3k $877.3k 0.52% First filing
52 Parisi Gray Wealth Management 0.43% of their portfolio MENDHAM, NJ 57,46257.5k $874.6k $874.6k 0.43% Added +40.0k +40,035
53 HARBOUR INVESTMENTS, INC. 0.05% of their portfolio MADISON, WI 53,78953.8k $818.7k $818.7k 0.05% Reduced -2.9k -2,947
54 BDO Wealth Advisors, LLC 0.09% of their portfolio JACKSONVILLE, FL 50,00050.0k $761.0k $761.0k 0.09% Unchanged
55 D.A. DAVIDSON & CO. 0.01% of their portfolio GREAT FALLS, MT 49,60949.6k $755.0k $755.0k 0.01% Added +17.3k +17,252
56 MONEY CONCEPTS CAPITAL CORP 0.03% of their portfolio PALM BEACH GARDENS, FL 48,99649.0k $745.7k $745.7k 0.03% New
57 RAYMOND JAMES TRUST N.A. 0.02% of their portfolio ST. PETERSBURG, FL 48,69448.7k $741.0k $741.0k 0.02% Added +4.9k +4,895
58 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 45,32845.3k $689.9k $689.9k 0.01% Reduced -2.3k -2,282
59 Dynamic Advisor Solutions LLC 0.05% of their portfolio PHOENIX, AZ 43,71643.7k $665.4k $665.4k 0.05% Added +1.1k +1,099
60 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 43,16243.2k $657.0k $657.0k 0.00% Added +3.2k +3,182
61 GPS Wealth Strategies Group, LLC 0.17% of their portfolio CENTENNIAL, CO 36,12936.1k $549.9k $549.9k 0.17% Unchanged
62 DAVENPORT & Co LLC 0.00% of their portfolio RICHMOND, VA 35,98436.0k $548.0k $548.0k 0.00% Added +3.0k +3,003
63 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 35,47835.5k $540.0k $540.0k 0.00% Added +3.1k +3,125
64 CoreCap Advisors, LLC 0.04% of their portfolio SOUTHFIELD, MI 34,52734.5k $525.5k $525.5k 0.04% Added +7.9k +7,919
65 CENTAURUS FINANCIAL, INC. 0.05% of their portfolio ANAHEIM, CA 34,03434.0k $518.0k $518.0k 0.05% Reduced -350 -350
66 Tennessee Valley Asset Management Partners 0.18% of their portfolio KNOXVILLE, TN 33,31033.3k $507.0k $507.0k 0.18% Added +7.3k +7,322
67 Valeo Financial Advisors, LLC 0.03% of their portfolio CARMEL, IN 31,23931.2k $475.5k $475.5k 0.03% Unchanged
68 Capital Market Strategies LLC 0.49% of their portfolio PALM BEACH GARDENS, FL 30,20030.2k $459.6k $459.6k 0.49% Reduced -1.9k -1,858
69 Destination Wealth Management 0.02% of their portfolio Walnut Creek, CA 28,71428.7k $437.0k $437.0k 0.02% New
70 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.04% of their portfolio ORLANDO, FL 27,75927.8k $422.5k $422.5k 0.04% Added +15.0k +15,009
71 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 25,11525.1k $382.2k $382.2k 0.01% Added +2.7k +2,730
72 Ameritas Advisory Services, LLC 0.02% of their portfolio Lincoln, NE 24,76724.8k $376.9k $376.9k 0.02% Added +6.4k +6,424
73 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 24,52524.5k $373.3k $373.3k 0.01% Added +5.6k +5,600
74 LVZ, Inc. 0.06% of their portfolio Holland, MI 23,76223.8k $361.7k $361.7k 0.06% Added +10.1k +10,055
75 Merit Financial Group, LLC 0.01% of their portfolio ALPHARETTA, GA 23,34823.3k $355.4k $355.4k 0.01% Reduced -4.1k -4,058
76 9258 Wealth Management, LLC 0.08% of their portfolio BLUE ASH, OH 23,18023.2k $352.8k $352.8k 0.08% Reduced -141 -141
77 Kovack Advisors, Inc. 0.05% of their portfolio FT. LAUDERDALE, FL 23,13223.1k $352.1k $352.1k 0.05% Reduced -11.7k -11,736
78 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 22,95022.9k $349.3k $349.3k 0.00% Reduced -2.1k -2,097
79 Quad-Cities Investment Group, LLC 0.25% of their portfolio DAVENPORT, IA 22,35622.4k $340.3k $340.3k 0.25% Reduced -38 -38
80 LEVEL FOUR ADVISORY SERVICES, LLC 0.02% of their portfolio DALLAS, TX 21,78421.8k $331.5k $331.5k 0.02% Added +5.2k +5,242
81 Measured Wealth Private Client Group, LLC 0.13% of their portfolio PORTSMOUTH, NH 21,43321.4k $326.2k $326.2k 0.13% Unchanged
82 Aviance Capital Partners, LLC 0.07% of their portfolio NAPLES, FL 21,11921.1k $321.4k $321.4k 0.07% Unchanged
83 JB Capital LLC 0.03% of their portfolio WETHERSFIELD, CT 21,07021.1k $320.7k $320.7k 0.03% Added +474 +474
84 Wagner Wealth Management, LLC 0.20% of their portfolio GREENVILLE, SC 20,73120.7k $315.5k $315.5k 0.20% Reduced -1.6k -1,572
85 Collaborative Wealth Managment Inc. 0.21% of their portfolio LAKE MARY, FL 20,53220.5k $312.5k $312.5k 0.21% Unchanged
86 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 19,18919.2k $292.1k $292.1k 0.00% Reduced -3.3k -3,302
87 Retirement Planning Group, LLC 0.03% of their portfolio LEAWOOD, KS 17,09117.1k $260.1k $260.1k 0.03% Added +5.8k +5,752
88 Bard Financial Services, Inc. 0.02% of their portfolio BRANFORD, CT 16,89516.9k $257.0k $257.0k 0.02% Unchanged
89 Corient Private Wealth LP 0.00% of their portfolio MIAMI, FL 16,84916.8k $256.4k $256.4k 0.00% First filing
90 Elequin Capital, LP 0.07% of their portfolio NEW YORK, NY 15,56415.6k $236.9k $236.9k 0.07% New
91 IHT Wealth Management, LLC 0.01% of their portfolio Chicago, IL 15,51215.5k $236.1k $236.1k 0.01% Added +48 +48
92 Capital Wealth Alliance, LLC 0.20% of their portfolio Scottsdale, AZ 15,51015.5k $236.1k $236.1k 0.20% Added +151 +151
93 Bison Wealth, LLC 0.08% of their portfolio Atlanta, GA 15,37415.4k $255.7k $255.7k 0.08% Added +1.1k +1,088
94 Clear Creek Financial Management, LLC 0.05% of their portfolio SILVERDALE, WA 15,35215.4k $233.7k $233.7k 0.05% Reduced -883 -883
95 Arete Wealth Advisors, LLC 0.02% of their portfolio CHICAGO, IL 14,89414.9k $226.7k $226.7k 0.02% Added +102 +102
96 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 14,64314.6k $222.0k $222.0k 0.00% Reduced -682 -682
97 Patriot Financial Group Insurance Agency, LLC 0.05% of their portfolio Westborough, MA 14,56814.6k $221.7k $221.7k 0.05% New
98 Main Street Financial Solutions, LLC 0.03% of their portfolio NEWTOWN, PA 14,54814.5k $221.0k $221.0k 0.03% Added +164 +164
99 Safeguard Financial, LLC 0.15% of their portfolio MINOCQUA, WI 14,08814.1k $214.0k $214.0k 0.15% Unchanged
100 GILL CAPITAL PARTNERS, LLC 0.10% of their portfolio DENVER, CO 13,76113.8k $209.4k $209.4k 0.10% Unchanged