Vault-13

GUGGENHEIM STRATEGIC OPPORTU GOF

COM SBI · Closed-End Fund · CUSIP 40167F101

126 institutional holders -2 vs Q1 2023
17,950,15118.0m shares reported held*
$285.4mreported value*
11 new 58 added 34 reduced 15 sold out net bought ≈ $19.2m (+1.2m 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 ≈ $15.90.

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 125Q4 22: 131Q1 23: 128Q2 23: 126126Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022125
Q4 2022131
Q1 2023128
Q2 2023126

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 23Q2 23: 69 bought or addedQ2 23: 49 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20226745
Q1 20236559
Q2 20236949

Biggest buyers

MORGAN STANLEY Added +383,136+383.1k
LPL Financial LLC Added +286,952+287.0k
Prime Capital Investment Advisors, LLC Added +257,585+257.6k
PETRA FINANCIAL ADVISORS INC New +202,350+202.3k
CreativeOne Wealth, LLC Added +136,858+136.9k
WELLS FARGO & COMPANY/MN Added +130,528+130.5k
UBS Group AG Added +109,435+109.4k
Sowell Financial Services LLC New +98,055+98.1k
Atria Wealth Solutions, Inc. Added +57,933+57.9k
Parisi Gray Wealth Management New +57,527+57.5k

Biggest sellers

AMERIPRISE FINANCIAL INC Reduced -331,823-331.8k
Cetera Advisor Networks LLC Reduced -164,034-164.0k
OneAscent Financial Services LLC Sold out -150,964-151.0k
Advisors Asset Management, Inc. Reduced -105,408-105.4k
Raymond James Financial Services Advisors, Inc. Reduced -79,858-79.9k
Richmond Brothers, Inc. Reduced -60,036-60.0k
AVANTAX ADVISORY SERVICES, INC. Reduced -24,183-24.2k
Measured Wealth Private Client Group, LLC Sold out -21,433-21.4k
Destination Wealth Management Sold out -20,117-20.1k
Baird Financial Group, Inc. Reduced -18,338-18.3k

Insider purchases and sales in Q2 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
101Q3 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 22Q1 23: 0 buyingQ1 23: 0 sellingQ2 23: 0 buyingQ2 23: 0 sellingQ2 23
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
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——
Q2 20230—0——

None reported in Q2 2023.

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 4,179,1554.2m $66.4m $66.4m 0.01% Added +383.1k +383,136
2 UBS Group AG 0.01% of their portfolio ZURICH, V8 1,616,3471.6m $25.7m $25.7m 0.01% Added +109.4k +109,435
3 Prime Capital Investment Advisors, LLC 0.25% of their portfolio OVERLAND PARK, KS 801,820801.8k $12.7m $12.7m 0.25% Added +257.6k +257,585
4 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 790,556790.6k $12.6m $12.6m 0.01% Added +287.0k +286,952
5 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 719,233719.2k $11.4m $11.4m 0.02% Added +31.8k +31,819
6 Atria Wealth Solutions, Inc. 0.10% of their portfolio NEW YORK, NY 474,655474.7k $7.5m $7.5m 0.10% Added +57.9k +57,933
7 COHEN & STEERS, INC. 0.01% of their portfolio NEW YORK, NY 424,940424.9k $6.8m $6.8m 0.01% Reduced -8.3k -8,268
8 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 392,636392.6k $6.2m $6.2m 0.01% Added +31.6k +31,560
9 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 377,610377.6k $6.0m $6.0m 0.01% Reduced -79.9k -79,858
10 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 366,351366.4k $5.8m $5.8m 0.00% Added +17.7k +17,737
11 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 330,916330.9k $5.3m $5.3m 0.00% Added +16.6k +16,630
12 CreativeOne Wealth, LLC 0.13% of their portfolio OVERLAND PARK, KS 330,496330.5k $5.3m $5.3m 0.13% Added +136.9k +136,858
13 VERUS CAPITAL PARTNERS, LLC 0.63% of their portfolio SCOTTSDALE, AZ 281,713281.7k $4.5m $4.5m 0.63% Added +35.8k +35,842
14 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 281,348281.3k $4.5m $4.5m 0.00% Added +20.1k +20,078
15 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 264,776264.8k $4.2m $4.2m 0.01% Added +2.0k +2,020
16 Richmond Brothers, Inc. 6.66% of their portfolio JACKSON, MI 258,660258.7k $4.1m $4.1m 6.66% Reduced -60.0k -60,036
17 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 244,876244.9k $3.9m $3.9m 0.01% Added +21.8k +21,807
18 Brookstone Capital Management 0.08% of their portfolio WHEATON, IL 239,055239.1k $3.8m $3.8m 0.08% Added +50.9k +50,938
19 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 235,504235.5k $3.7m $3.7m 0.02% Added +25.8k +25,766
20 Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors 0.87% of their portfolio CONCORD, MA 227,739227.7k $3.6m $3.6m 0.87% Added +52.0k +51,999
21 CAPTRUST FINANCIAL ADVISORS 0.01% of their portfolio RALEIGH, NC 210,760210.8k $3.4m $3.4m 0.01% Reduced -1.6k -1,604
22 PETRA FINANCIAL ADVISORS INC 2.87% of their portfolio COLORADO SRPINGS, CO 202,350202.3k $3.2m $3.2m 2.87% New
23 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 193,848193.8k $3.1m $3.1m 0.00% Added +130.5k +130,528
24 Marks Group Wealth Management, Inc 0.36% of their portfolio MINNETONKA, MN 192,193192.2k $3.1m $3.1m 0.36% Unchanged
25 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 187,910187.9k $3.0m $3.0m 0.01% Reduced -18.3k -18,338
26 Sigma Planning Corp 0.10% of their portfolio ANN ARBOR, MI 179,448179.4k $2.9m $2.9m 0.10% Added +8.5k +8,485
27 MOSAIC FAMILY WEALTH PARTNERS, LLC 0.55% of their portfolio ST. LOUIS, MO 175,716175.7k $2.8m $2.8m 0.55% Added +199 +199
28 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 153,071153.1k $2.4m $2.4m 0.00% Reduced -331.8k -331,823
29 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 136,346136.3k $2.2m $2.2m 0.01% Added +19.7k +19,686
30 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 127,104127.1k $2.0m $2.0m 0.02% Added +1.1k +1,109
31 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 113,761113.8k $1.8m $1.8m 0.01% Reduced -164.0k -164,034
32 Integrated Wealth Concepts LLC 0.03% of their portfolio WALTHAM, MA 113,625113.6k $1.8m $1.8m 0.03% Added +27.8k +27,802
33 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 113,383113.4k $1.8m $1.8m 0.00% Reduced -5.5k -5,510
34 Wealthcare Advisory Partners LLC 0.08% of their portfolio WEST CHESTER, PA 112,865112.9k $1.8m $1.8m 0.08% Added +6.5k +6,480
35 Advisors Asset Management, Inc. 0.04% of their portfolio Monument, CO 112,203112.2k $1.8m $1.8m 0.04% Reduced -105.4k -105,408
36 Mutual Advisors, LLC 0.06% of their portfolio OMAHA, NE 99,77799.8k $1.6m $1.6m 0.06% Reduced -4.0k -4,006
37 D.A. DAVIDSON & CO. 0.02% of their portfolio GREAT FALLS, MT 99,38499.4k $1.6m $1.6m 0.02% Added +34.4k +34,381
38 Sowell Financial Services LLC 0.09% of their portfolio NORTH LITTLE ROCK, AR 98,05598.1k $1.6m $1.6m 0.09% New
39 WEDBUSH SECURITIES INC 0.07% of their portfolio PASADENA, CA 96,55596.6k $1.5m $1.5m 0.07% Added +12.0k +11,960
40 FIRST FOUNDATION ADVISORS 0.06% of their portfolio Irvine, CA 88,75088.8k $1.4m $1.4m 0.06% Unchanged
41 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 84,64784.6k $1.3m $1.3m 0.01% Reduced -2.8k -2,759
42 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 80,90280.9k $1.3m $1.3m 0.00% Added +1.4k +1,410
43 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 77,77077.8k $1.2m $1.2m 0.00% Added +4.2k +4,200
44 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 75,22975.2k $1.2m $1.2m 0.01% Added +16.8k +16,754
45 Western Wealth Management, LLC 0.10% of their portfolio GOLDEN, CO 74,90874.9k $1.2m $1.2m 0.10% Added +3.3k +3,317
46 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 72,84972.8k $1.2m $1.2m 0.01% Reduced -24.2k -24,183
47 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 70,16770.2k $1.1m $1.1m 0.01% Added +3.6k +3,602
48 Cetera Advisors LLC 0.02% of their portfolio DENVER, CO 69,53469.5k $1.1m $1.1m 0.02% Reduced -5.8k -5,771
49 Founders Financial Alliance, LLC 0.43% of their portfolio RALEIGH, NC 68,22868.2k $1.1m $1.1m 0.43% Added +5.1k +5,086
50 Semus Wealth Partners LLC 0.89% of their portfolio Boca Raton, FL 61,26061.3k $974.0k $974.0k 0.89% Added +342 +342
51 Garden State Investment Advisory Services LLC 0.42% of their portfolio Red Bank, NJ 59,10359.1k $939.7k $939.7k 0.42% Added +2.3k +2,275
52 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 58,21358.2k $925.6k $925.6k 0.01% Added +14.5k +14,510
53 Parisi Gray Wealth Management 0.43% of their portfolio MENDHAM, NJ 57,52757.5k $930.2k $930.2k 0.43% New
54 David J Yvars Group 0.75% of their portfolio UNIVERSITY PARK, FL 57,04157.0k $905.4k $905.4k 0.75% Reduced -774 -774
55 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 54,25254.3k $862.6k $862.6k 0.02% Reduced -5.9k -5,936
56 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 50,72950.7k $807.0k $807.0k 0.00% Reduced -1.6k -1,611
57 Dynamic Advisor Solutions LLC 0.04% of their portfolio PHOENIX, AZ 50,66650.7k $805.6k $805.6k 0.04% Added +4.6k +4,649
58 BDO Wealth Advisors, LLC 0.09% of their portfolio JACKSONVILLE, FL 50,00050.0k $795.0k $795.0k 0.09% Unchanged
59 RAYMOND JAMES TRUST N.A. 0.02% of their portfolio ST. PETERSBURG, FL 43,48643.5k $691.0k $691.0k 0.02% Unchanged
60 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 42,65942.7k $678.3k $678.3k 0.01% Added +1.3k +1,258
61 HARBOUR INVESTMENTS, INC. 0.03% of their portfolio MADISON, WI 41,44741.4k $659.0k $659.0k 0.03% Added +284 +284
62 Tennessee Valley Asset Management Partners 0.21% of their portfolio KNOXVILLE, TN 40,78840.8k $648.5k $648.5k 0.21% Added +5.9k +5,906
63 GPS Wealth Strategies Group, LLC 0.12% of their portfolio CENTENNIAL, CO 40,61340.6k $645.7k $645.7k 0.12% Reduced -2.4k -2,387
64 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 35,84835.8k $570.0k $570.0k 0.00% First filing
65 DAVENPORT & Co LLC 0.00% of their portfolio RICHMOND, VA 34,20034.2k $543.8k $543.8k 0.00% Reduced -5.9k -5,917
66 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.07% of their portfolio ORLANDO, FL 33,94533.9k $539.7k $539.7k 0.07% Added +4.0k +4,012
67 LEVEL FOUR ADVISORY SERVICES, LLC 0.03% of their portfolio DALLAS, TX 32,61732.6k $518.6k $518.6k 0.03% Added +10.2k +10,250
68 Valeo Financial Advisors, LLC 0.02% of their portfolio CARMEL, IN 31,23931.2k $496.7k $496.7k 0.02% Unchanged
69 CoreCap Advisors, LLC 0.03% of their portfolio SOUTHFIELD, MI 30,54430.5k $485.7k $485.7k 0.03% First filing
70 Capital Market Strategies LLC 0.42% of their portfolio PALM BEACH GARDENS, FL 28,81328.8k $458.1k $458.1k 0.42% Reduced -1.3k -1,285
71 Strategic Financial Concepts, LLC 0.16% of their portfolio SAN ANTONIO, TX 26,60826.6k $423.1k $423.1k 0.16% Reduced -459 -459
72 Quad-Cities Investment Group, LLC 0.25% of their portfolio DAVENPORT, IA 23,81023.8k $378.6k $378.6k 0.25% Added +753 +753
73 Merit Financial Group, LLC 0.01% of their portfolio ALPHARETTA, GA 23,66623.7k $376.3k $376.3k 0.01% Added +163 +163
74 JB Capital LLC 0.03% of their portfolio WETHERSFIELD, CT 23,31323.3k $370.7k $370.7k 0.03% Added +823 +823
75 CENTAURUS FINANCIAL, INC. 0.03% of their portfolio ANAHEIM, CA 23,27823.3k $370.0k $370.0k 0.03% Reduced -10.8k -10,756
76 9258 Wealth Management, LLC 0.07% of their portfolio BLUE ASH, OH 23,17923.2k $368.5k $368.5k 0.07% Reduced -1 -1
77 Bison Wealth, LLC 0.07% of their portfolio Atlanta, GA 23,06823.1k $366.8k $366.8k 0.07% Added +2.0k +1,999
78 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 22,71322.7k $361.1k $361.1k 0.00% New
79 Compound Planning, Inc. 0.16% of their portfolio NEW YORK, NY 22,15022.1k $352.2k $352.2k 0.16% Reduced -123 -123
80 Aviance Capital Partners, LLC 0.07% of their portfolio NAPLES, FL 21,11921.1k $335.8k $335.8k 0.07% Unchanged
81 Patriot Financial Group Insurance Agency, LLC 0.06% of their portfolio Westborough, MA 21,09721.1k $335.4k $335.4k 0.06% Added +1.1k +1,057
82 LVZ, Inc. 0.05% of their portfolio Holland, MI 21,09021.1k $335.3k $335.3k 0.05% Reduced -1.7k -1,722
83 Arete Wealth Advisors, LLC 0.03% of their portfolio CHICAGO, IL 21,06221.1k $335.0k $335.0k 0.03% New
84 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 20,67020.7k $328.7k $328.7k 0.01% Reduced -438 -438
85 Retirement Planning Group, LLC 0.03% of their portfolio LEAWOOD, KS 20,25720.3k $322.1k $322.1k 0.03% Added +3.2k +3,180
86 Walleye Capital LLC 0.01% of their portfolio NEW YORK, NY 20,07320.1k $319.2k $319.2k 0.01% New
87 Vantage Financial Partners, LLC 0.12% of their portfolio ELM GROVE, WI 19,95320.0k $317.2k $317.2k 0.12% Added +9.1k +9,063
88 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 17,17417.2k $271.0k $271.0k 0.00% Added +1.5k +1,531
89 SYKON CAPITAL LLC 0.19% of their portfolio HARRISON, NY 16,88816.9k $268.5k $268.5k 0.19% First filing
90 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 16,76116.8k $266.5k $266.5k 0.00% Reduced -5.2k -5,156
91 KEYBANK NATIONAL ASSOCIATION/OH 0.00% of their portfolio BROOKLYN, OH 15,92015.9k $253.1k $253.1k 0.00% Unchanged
92 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 15,67915.7k $249.3k $249.3k 0.00% Added +2.0k +2,031
93 IHT Wealth Management, LLC 0.01% of their portfolio Chicago, IL 15,64515.6k $248.8k $248.8k 0.01% Added +291 +291
94 Capital Wealth Alliance, LLC 0.19% of their portfolio Scottsdale, AZ 15,62215.6k $248.4k $248.4k 0.19% Reduced -170 -170
95 Sunbelt Securities, Inc. 0.03% of their portfolio HOUSTON, TX 15,28015.3k $242.9k $242.9k 0.03% Added +1.4k +1,430
96 Main Street Financial Solutions, LLC 0.03% of their portfolio NEWTOWN, PA 14,68814.7k $233.5k $233.5k 0.03% Added +307 +307
97 Safeguard Financial, LLC 0.11% of their portfolio MINOCQUA, WI 14,08814.1k $223.0k $223.0k 0.11% Unchanged
98 GILL CAPITAL PARTNERS, LLC 0.09% of their portfolio DENVER, CO 13,76113.8k $218.8k $218.8k 0.09% Unchanged
99 INDEPENDENT FINANCIAL GROUP, LLC 0.01% of their portfolio SAN DIEGO, CA 13,66813.7k $217.3k $217.3k 0.01% Unchanged
100 PENSION & WEALTH MANAGEMENT ADVISORS, INC. 0.16% of their portfolio WALTHAM, MA 13,65313.7k $217.1k $217.1k 0.16% Added +953 +953