Vault-13

GUGGENHEIM STRATEGIC OPPORTU GOF

COM SBI · Closed-End Fund · CUSIP 40167F101

128 institutional holders -3 vs Q4 2022
16,660,87716.7m shares reported held*
$269.3mreported value*
11 new 54 added 42 reduced 17 sold out net sold ≈ $2.5m (-161.9k 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 ≈ $16.17.

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 125Q4 22: 131Q1 23: 128128Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 2022125
Q4 2022131
Q1 2023128

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
1000100Q4 22: 67 bought or addedQ4 22: 45 cut or sold outQ4 22Q1 23: 65 bought or addedQ1 23: 59 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 20226745
Q1 20236559

Biggest buyers

ENVESTNET ASSET MANAGEMENT INC Added +112,311+112.3k
TRUIST FINANCIAL CORP Added +105,537+105.5k
OneAscent Financial Services LLC Added +87,378+87.4k
UBS Group AG Added +85,164+85.2k
VERUS CAPITAL PARTNERS, LLC Added +74,640+74.6k
CreativeOne Wealth, LLC Added +64,052+64.1k
Brookstone Capital Management Added +56,828+56.8k
Atria Wealth Solutions, Inc. Added +53,598+53.6k
NORTHERN TRUST CORP Added +44,014+44.0k
BANK OF AMERICA CORP /DE/ Added +32,712+32.7k

Biggest sellers

OSAIC HOLDINGS, INC. Reduced -148,719-148.7k
Prime Capital Investment Advisors, LLC Reduced -147,811-147.8k
Richmond Brothers, Inc. Reduced -124,886-124.9k
Sowell Financial Services LLC Sold out -100,533-100.5k
Advisors Asset Management, Inc. Reduced -91,825-91.8k
Founders Financial Alliance, LLC Reduced -72,931-72.9k
AMERIPRISE FINANCIAL INC Reduced -72,559-72.6k
MORGAN STANLEY Reduced -63,664-63.7k
Parisi Gray Wealth Management Sold out -57,462-57.5k
MONEY CONCEPTS CAPITAL CORP Sold out -48,996-49.0k

Insider purchases and sales in Q1 2023

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
101Q2 21: 0 buyingQ2 21: 0 sellingQ3 21: 0 buyingQ3 21: 0 sellingQ3 21Q4 21: 0 buyingQ4 21: 1 sellingQ1 22: 0 buyingQ1 22: 0 sellingQ1 22Q2 22: 0 buyingQ2 22: 1 sellingQ3 22: 0 buyingQ3 22: 1 sellingQ3 22Q4 22: 0 buyingQ4 22: 1 sellingQ1 23: 0 buyingQ1 23: 0 sellingQ1 23
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
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—
Q1 20230—0——

None reported in Q1 2023.

Holders, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 3,796,0193.8m $61.4m $61.4m 0.01% Reduced -63.7k -63,664
2 UBS Group AG 0.01% of their portfolio ZURICH, V8 1,506,9121.5m $24.4m $24.4m 0.01% Added +85.2k +85,164
3 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 687,414687.4k $11.1m $11.1m 0.02% Reduced -148.7k -148,719
4 Prime Capital Investment Advisors, LLC 0.36% of their portfolio OVERLAND PARK, KS 544,235544.2k $8.8m $8.8m 0.36% Reduced -147.8k -147,811
5 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 503,604503.6k $8.1m $8.1m 0.01% Added +2.6k +2,631
6 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 484,894484.9k $7.9m $7.9m 0.00% Reduced -72.6k -72,559
7 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 457,468457.5k $7.4m $7.4m 0.01% Reduced -39.5k -39,518
8 COHEN & STEERS, INC. 0.02% of their portfolio NEW YORK, NY 433,208433.2k $7.0m $7.0m 0.02% Reduced -34.7k -34,659
9 Atria Wealth Solutions, Inc. 0.10% of their portfolio NEW YORK, NY 416,722416.7k $6.7m $6.7m 0.10% Added +53.6k +53,598
10 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 361,076361.1k $5.8m $5.8m 0.01% Added +21.4k +21,369
11 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 348,614348.6k $5.6m $5.6m 0.00% Added +19.2k +19,189
12 Richmond Brothers, Inc. 8.70% of their portfolio JACKSON, MI 318,696318.7k $5.2m $5.2m 8.70% Reduced -124.9k -124,886
13 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 314,286314.3k $5.1m $5.1m 0.00% Added +112.3k +112,311
14 Cetera Advisor Networks LLC 0.03% of their portfolio EL SEGUNDO, CA 277,795277.8k $4.5m $4.5m 0.03% Added +19.8k +19,783
15 Janney Montgomery Scott LLC 0.02% of their portfolio PHILADELPHIA, PA 262,756262.8k $4.2m $4.2m 0.02% Added +16.7k +16,683
16 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 261,270261.3k $4.2m $4.2m 0.00% Added +32.7k +32,712
17 VERUS CAPITAL PARTNERS, LLC 0.62% of their portfolio SCOTTSDALE, AZ 245,871245.9k $4.0m $4.0m 0.62% Added +74.6k +74,640
18 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 223,069223.1k $3.6m $3.6m 0.01% Added +105.5k +105,537
19 Advisors Asset Management, Inc. 0.07% of their portfolio Monument, CO 217,611217.6k $3.5m $3.5m 0.07% Reduced -91.8k -91,825
20 CAPTRUST FINANCIAL ADVISORS 0.02% of their portfolio RALEIGH, NC 212,364212.4k $3.4m $3.4m 0.02% Added +10.8k +10,839
21 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 209,738209.7k $3.4m $3.4m 0.02% Reduced -259 -259
22 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 206,248206.2k $3.3m $3.3m 0.01% Reduced -15.3k -15,295
23 CreativeOne Wealth, LLC 0.15% of their portfolio OVERLAND PARK, KS 193,638193.6k $3.1m $3.1m 0.15% Added +64.1k +64,052
24 Marks Group Wealth Management, Inc 0.40% of their portfolio MINNETONKA, MN 192,193192.2k $3.1m $3.1m 0.40% Reduced -2.6k -2,554
25 Brookstone Capital Management 0.06% of their portfolio WHEATON, IL 188,117188.1k $3.0m $3.0m 0.06% Added +56.8k +56,828
26 Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors 0.75% of their portfolio CONCORD, MA 175,740175.7k $2.8m $2.8m 0.75% Added +2.6k +2,587
27 MOSAIC FAMILY WEALTH PARTNERS, LLC 0.59% of their portfolio ST. LOUIS, MO 175,517175.5k $2.8m $2.8m 0.59% Added +10.4k +10,435
28 Sigma Planning Corp 0.09% of their portfolio ANN ARBOR, MI 170,963171.0k $2.8m $2.8m 0.09% Added +12.5k +12,501
29 OneAscent Financial Services LLC 0.99% of their portfolio BIRMINGHAM, AL 150,964151.0k $2.4m $2.4m 0.99% Added +87.4k +87,378
30 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 125,995126.0k $2.0m $2.0m 0.02% Added +6.2k +6,184
31 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 118,893118.9k $1.9m $1.9m 0.00% Added +2.3k +2,329
32 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 116,660116.7k $1.9m $1.9m 0.01% Added +14.6k +14,622
33 Wealthcare Advisory Partners LLC 0.07% of their portfolio WEST CHESTER, PA 106,385106.4k $1.7m $1.7m 0.07% Unchanged
34 Mutual Advisors, LLC 0.07% of their portfolio OMAHA, NE 103,783103.8k $1.7m $1.7m 0.07% Added +3.2k +3,240
35 AVANTAX ADVISORY SERVICES, INC. 0.02% of their portfolio DALLAS, TX 97,03297.0k $1.6m $1.6m 0.02% Added +15.6k +15,566
36 FIRST FOUNDATION ADVISORS 0.07% of their portfolio Irvine, CA 88,75088.8k $1.4m $1.4m 0.07% Reduced -19.6k -19,617
37 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 87,40687.4k $1.4m $1.4m 0.01% Reduced -5.1k -5,106
38 Integrated Wealth Concepts LLC 0.03% of their portfolio WALTHAM, MA 85,82385.8k $1.4m $1.4m 0.03% Added +18.8k +18,795
39 WEDBUSH SECURITIES INC 0.07% of their portfolio PASADENA, CA 84,59584.6k $1.4m $1.4m 0.07% Added +25.4k +25,389
40 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 79,49279.5k $1.3m $1.3m 0.00% Added +44.0k +44,014
41 Cetera Advisors LLC 0.02% of their portfolio DENVER, CO 75,30575.3k $1.2m $1.2m 0.02% Added +16.4k +16,396
42 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 73,57073.6k $1.2m $1.2m 0.00% Added +5.0k +4,974
43 Western Wealth Management, LLC 0.11% of their portfolio GOLDEN, CO 71,59171.6k $1.2m $1.2m 0.11% Reduced -15.1k -15,141
44 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 66,56566.6k $1.1m $1.1m 0.01% Reduced -4.2k -4,217
45 D.A. DAVIDSON & CO. 0.01% of their portfolio GREAT FALLS, MT 65,00365.0k $1.1m $1.1m 0.01% Added +15.4k +15,394
46 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 63,32063.3k $1.0m $1.0m 0.00% Added +3.9k +3,859
47 Founders Financial Alliance, LLC 0.51% of their portfolio RALEIGH, NC 63,14263.1k $1.0m $1.0m 0.51% Reduced -72.9k -72,931
48 Semus Wealth Partners LLC 1.06% of their portfolio Boca Raton, FL 60,91860.9k $985.0k $985.0k 1.06% Reduced -1.9k -1,943
49 B. Riley Wealth Advisors, Inc. 0.03% of their portfolio MEMPHIS, TN 60,18860.2k $973.2k $973.2k 0.03% Reduced -4.4k -4,373
50 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 58,47558.5k $946.0k $946.0k 0.01% Reduced -1.5k -1,546
51 David J Yvars Group 0.84% of their portfolio UNIVERSITY PARK, FL 57,81557.8k $931.8k $931.8k 0.84% Added +8 +8
52 Garden State Investment Advisory Services LLC 0.47% of their portfolio Red Bank, NJ 56,82856.8k $918.9k $918.9k 0.47% Reduced -815 -815
53 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 52,34052.3k $846.0k $846.0k 0.00% Added +9.2k +9,178
54 BDO Wealth Advisors, LLC 0.10% of their portfolio JACKSONVILLE, FL 50,00050.0k $808.5k $808.5k 0.10% Unchanged
55 Dynamic Advisor Solutions LLC 0.04% of their portfolio PHOENIX, AZ 46,01746.0k $744.1k $744.1k 0.04% Added +2.3k +2,301
56 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 43,70343.7k $706.7k $706.7k 0.01% Reduced -1.6k -1,625
57 RAYMOND JAMES TRUST N.A. 0.02% of their portfolio ST. PETERSBURG, FL 43,48643.5k $703.0k $703.0k 0.02% Reduced -5.2k -5,208
58 GPS Wealth Strategies Group, LLC 0.14% of their portfolio CENTENNIAL, CO 43,00043.0k $695.3k $695.3k 0.14% Added +6.9k +6,871
59 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 41,40141.4k $669.5k $669.5k 0.01% Added +16.9k +16,876
60 HARBOUR INVESTMENTS, INC. 0.04% of their portfolio MADISON, WI 41,16341.2k $665.6k $665.6k 0.04% Reduced -12.6k -12,626
61 DAVENPORT & Co LLC 0.01% of their portfolio RICHMOND, VA 40,11740.1k $648.7k $648.7k 0.01% Added +4.1k +4,133
62 Tennessee Valley Asset Management Partners 0.18% of their portfolio KNOXVILLE, TN 34,88234.9k $564.0k $564.0k 0.18% Added +1.6k +1,572
63 CENTAURUS FINANCIAL, INC. 0.04% of their portfolio ANAHEIM, CA 34,03434.0k $550.0k $550.0k 0.04% Unchanged
64 Valeo Financial Advisors, LLC 0.02% of their portfolio CARMEL, IN 31,23931.2k $505.1k $505.1k 0.02% Unchanged
65 Capital Market Strategies LLC 0.86% of their portfolio PALM BEACH GARDENS, FL 30,09830.1k $486.7k $486.7k 0.86% Reduced -102 -102
66 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.07% of their portfolio ORLANDO, FL 29,93329.9k $484.0k $484.0k 0.07% Added +2.2k +2,174
67 Strategic Financial Concepts, LLC 0.18% of their portfolio SAN ANTONIO, TX 27,06727.1k $437.7k $437.7k 0.18% First filing
68 Merit Financial Group, LLC 0.01% of their portfolio ALPHARETTA, GA 23,50323.5k $380.0k $380.0k 0.01% Added +155 +155
69 9258 Wealth Management, LLC 0.08% of their portfolio BLUE ASH, OH 23,18023.2k $374.8k $374.8k 0.08% Unchanged
70 Quad-Cities Investment Group, LLC 0.26% of their portfolio DAVENPORT, IA 23,05723.1k $372.8k $372.8k 0.26% Added +701 +701
71 LVZ, Inc. 0.05% of their portfolio Holland, MI 22,81222.8k $368.9k $368.9k 0.05% Reduced -950 -950
72 JB Capital LLC 0.03% of their portfolio WETHERSFIELD, CT 22,49022.5k $363.7k $363.7k 0.03% Added +1.4k +1,420
73 LEVEL FOUR ADVISORY SERVICES, LLC 0.02% of their portfolio DALLAS, TX 22,36722.4k $361.7k $361.7k 0.02% Added +583 +583
74 Compound Planning, Inc. 0.20% of their portfolio NEW YORK, NY 22,27322.3k $360.1k $360.1k 0.20% First filing
75 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 21,91721.9k $354.4k $354.4k 0.00% Reduced -1.0k -1,033
76 Measured Wealth Private Client Group, LLC 0.13% of their portfolio PORTSMOUTH, NH 21,43321.4k $346.6k $346.6k 0.13% Unchanged
77 Aviance Capital Partners, LLC 0.08% of their portfolio NAPLES, FL 21,11921.1k $341.5k $341.5k 0.08% Unchanged
78 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 21,10821.1k $341.3k $341.3k 0.01% Reduced -4.0k -4,007
79 Bison Wealth, LLC 0.11% of their portfolio Atlanta, GA 21,06921.1k $340.7k $340.7k 0.11% Added +5.7k +5,695
80 Destination Wealth Management 0.01% of their portfolio Walnut Creek, CA 20,11720.1k $325.3k $325.3k 0.01% Reduced -8.6k -8,597
81 Patriot Financial Group Insurance Agency, LLC 0.07% of their portfolio Westborough, MA 20,04020.0k $324.0k $324.0k 0.07% Added +5.5k +5,472
82 Corient Private Wealth LP 0.00% of their portfolio MIAMI, FL 17,24717.2k $278.9k $278.9k 0.00% Added +398 +398
83 Retirement Planning Group, LLC 0.03% of their portfolio LEAWOOD, KS 17,07717.1k $276.1k $276.1k 0.03% Reduced -14 -14
84 Bard Financial Services, Inc. 0.02% of their portfolio BRANFORD, CT 16,89516.9k $273.2k $273.2k 0.02% Unchanged
85 KEYBANK NATIONAL ASSOCIATION/OH 0.00% of their portfolio BROOKLYN, OH 15,92015.9k $257.4k $257.4k 0.00% New
86 Capital Wealth Alliance, LLC 0.21% of their portfolio Scottsdale, AZ 15,79215.8k $255.4k $255.4k 0.21% Added +282 +282
87 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 15,64315.6k $251.0k $251.0k 0.00% Added +1.0k +1,000
88 IHT Wealth Management, LLC 0.01% of their portfolio Chicago, IL 15,35415.4k $248.3k $248.3k 0.01% Reduced -158 -158
89 Main Street Financial Solutions, LLC 0.03% of their portfolio NEWTOWN, PA 14,38114.4k $232.5k $232.5k 0.03% Reduced -167 -167
90 STABLEFORD CAPITAL II LLC 0.15% of their portfolio SCOTTSDALE, AZ 14,08814.1k $214.0k $214.0k 0.15% New
91 Safeguard Financial, LLC 0.14% of their portfolio MINOCQUA, WI 14,08814.1k $228.0k $228.0k 0.14% Unchanged
92 Kovack Advisors, Inc. 0.03% of their portfolio FT. LAUDERDALE, FL 13,90313.9k $224.8k $224.8k 0.03% Reduced -9.2k -9,229
93 Sunbelt Securities, Inc. 0.04% of their portfolio HOUSTON, TX 13,85013.8k $222.8k $222.8k 0.04% New
94 GILL CAPITAL PARTNERS, LLC 0.10% of their portfolio DENVER, CO 13,76113.8k $222.5k $222.5k 0.10% Unchanged
95 INDEPENDENT FINANCIAL GROUP, LLC 0.02% of their portfolio SAN DIEGO, CA 13,66813.7k $221.0k $221.0k 0.02% Added +810 +810
96 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 13,64813.6k $220.7k $220.7k 0.00% Reduced -5.5k -5,541
97 PENSION & WEALTH MANAGEMENT ADVISORS, INC. 0.16% of their portfolio WALTHAM, MA 12,70012.7k $205.4k $205.4k 0.16% Added +2.8k +2,770
98 Koshinski Asset Management, Inc. 0.02% of their portfolio DECATUR, IL 12,56612.6k $203.2k $203.2k 0.02% Added +368 +368
99 Clear Creek Financial Management, LLC 0.04% of their portfolio SILVERDALE, WA 11,78911.8k $190.6k $190.6k 0.04% Reduced -3.6k -3,563
100 Spire Wealth Management 0.01% of their portfolio MCLEAN, VA 11,76611.8k $190.3k $190.3k 0.01% Added +9.0k +8,986