Vault-13

GUGGENHEIM STRATEGIC OPPORTU GOF

COM SBI · Closed-End Fund · CUSIP 40167F101

129 institutional holders +3 vs Q2 2023
19,013,24419.0m shares reported held*
$280.5mreported value*
9 new 65 added 33 reduced 7 sold out net bought ≈ $16.2m (+1.1m 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 ≈ $14.76.

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 125Q4 22: 131Q1 23: 128Q2 23: 126Q3 23: 129129Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022125
Q4 2022131
Q1 2023128
Q2 2023126
Q3 2023129

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 23Q3 23: 74 bought or addedQ3 23: 40 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 20226745
Q1 20236559
Q2 20236949
Q3 20237440

Biggest buyers

UBS Group AG Added +283,118+283.1k
OSAIC HOLDINGS, INC. Added +240,686+240.7k
MORGAN STANLEY Added +203,184+203.2k
LPL Financial LLC Added +175,404+175.4k
VERUS CAPITAL PARTNERS, LLC Added +125,760+125.8k
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO Added +97,695+97.7k
Cornerstone Retirement Group, Inc. New +66,737+66.7k
Prime Capital Investment Advisors, LLC Added +66,701+66.7k
CreativeOne Wealth, LLC Added +50,788+50.8k
AVANTAX ADVISORY SERVICES, INC. Added +46,836+46.8k

Biggest sellers

Atria Wealth Solutions, Inc. Reduced -112,267-112.3k
Advisors Asset Management, Inc. Sold out -112,203-112.2k
CAPTRUST FINANCIAL ADVISORS Reduced -73,573-73.6k
NORTHERN TRUST CORP Reduced -57,830-57.8k
Mutual Advisors, LLC Reduced -35,632-35.6k
Sowell Financial Services LLC Reduced -33,379-33.4k
Raymond James Financial Services Advisors, Inc. Reduced -29,551-29.6k
COHEN & STEERS, INC. Reduced -25,000-25.0k
Arete Wealth Advisors, LLC Sold out -21,062-21.1k
Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors Reduced -18,686-18.7k

Insider purchases and sales in Q3 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
101Q4 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 23Q2 23: 0 buyingQ2 23: 0 sellingQ3 23: 1 buyingQ3 23: 0 sellingQ3 23
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
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——
Q3 20231$1.5k0——
DateInsiderTradeSharesPrice ValueTheir holding
2023-09-28 Brock-Kyle Angela Director · Husband's Brokerage Account Bought 100 $14.80 $1.5k100 shares new

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, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 4,382,3394.4m $64.8m $64.8m 0.01% Added +203.2k +203,184
2 UBS Group AG 0.01% of their portfolio ZURICH, V8 1,899,4651.9m $28.1m $28.1m 0.01% Added +283.1k +283,118
3 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 965,960966.0k $14.3m $14.3m 0.01% Added +175.4k +175,404
4 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 959,919959.9k $14.2m $14.2m 0.02% Added +240.7k +240,686
5 Prime Capital Investment Advisors, LLC 0.26% of their portfolio OVERLAND PARK, KS 868,521868.5k $12.8m $12.8m 0.26% Added +66.7k +66,701
6 VERUS CAPITAL PARTNERS, LLC 0.84% of their portfolio SCOTTSDALE, AZ 407,473407.5k $6.0m $6.0m 0.84% Added +125.8k +125,760
7 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 406,110406.1k $6.0m $6.0m 0.01% Added +13.5k +13,474
8 COHEN & STEERS, INC. 0.01% of their portfolio NEW YORK, NY 399,940399.9k $5.9m $5.9m 0.01% Reduced -25.0k -25,000
9 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 383,684383.7k $5.7m $5.7m 0.00% Added +17.3k +17,333
10 CreativeOne Wealth, LLC 0.41% of their portfolio OVERLAND PARK, KS 381,284381.3k $5.6m $5.6m 0.41% Added +50.8k +50,788
11 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 363,239363.2k $5.4m $5.4m 0.00% Added +32.3k +32,323
12 Atria Wealth Solutions, Inc. 0.08% of their portfolio NEW YORK, NY 362,388362.4k $5.4m $5.4m 0.08% Reduced -112.3k -112,267
13 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 348,059348.1k $5.1m $5.1m 0.01% Reduced -29.6k -29,551
14 Janney Montgomery Scott LLC 0.02% of their portfolio PHILADELPHIA, PA 290,613290.6k $4.3m $4.3m 0.02% Added +25.8k +25,837
15 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 279,427279.4k $4.1m $4.1m 0.00% Reduced -1.9k -1,921
16 Richmond Brothers, Inc. 7.24% of their portfolio JACKSON, MI 260,700260.7k $3.9m $3.9m 7.24% Added +2.0k +2,040
17 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 253,324253.3k $3.7m $3.7m 0.02% Added +17.8k +17,820
18 Brookstone Capital Management 0.07% of their portfolio WHEATON, IL 252,056252.1k $3.1m $3.1m 0.07% Added +13.0k +13,001
19 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 230,063230.1k $3.4m $3.4m 0.01% Reduced -14.8k -14,813
20 PETRA FINANCIAL ADVISORS INC 2.72% of their portfolio COLORADO SRPINGS, CO 220,704220.7k $3.3m $3.3m 2.72% Added +18.4k +18,354
21 Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors 0.74% of their portfolio CONCORD, MA 209,053209.1k $3.1m $3.1m 0.74% Reduced -18.7k -18,686
22 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 195,193195.2k $2.9m $2.9m 0.01% Added +7.3k +7,283
23 Sigma Planning Corp 0.11% of their portfolio ANN ARBOR, MI 193,049193.0k $2.9m $2.9m 0.11% Added +13.6k +13,601
24 Marks Group Wealth Management, Inc 0.35% of their portfolio MINNETONKA, MN 192,193192.2k $2.8m $2.8m 0.35% Unchanged
25 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 191,825191.8k $2.8m $2.8m 0.00% Reduced -2.0k -2,023
26 MOSAIC FAMILY WEALTH PARTNERS, LLC 0.53% of their portfolio ST. LOUIS, MO 177,183177.2k $2.6m $2.6m 0.53% Added +1.5k +1,467
27 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 155,455155.5k $2.3m $2.3m 0.01% Added +19.1k +19,109
28 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 145,596145.6k $2.2m $2.2m 0.00% Reduced -7.5k -7,475
29 Integrated Wealth Concepts LLC 0.04% of their portfolio WALTHAM, MA 139,682139.7k $2.1m $2.1m 0.04% Added +26.1k +26,057
30 CAPTRUST FINANCIAL ADVISORS 0.01% of their portfolio RALEIGH, NC 137,187137.2k $2.0m $2.0m 0.01% Reduced -73.6k -73,573
31 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 128,072128.1k $1.9m $1.9m 0.02% Added +968 +968
32 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 126,068126.1k $1.9m $1.9m 0.01% Added +12.3k +12,307
33 AVANTAX ADVISORY SERVICES, INC. 0.02% of their portfolio DALLAS, TX 119,685119.7k $1.8m $1.8m 0.02% Added +46.8k +46,836
34 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 117,831117.8k $1.7m $1.7m 0.00% Added +4.4k +4,448
35 Wealthcare Advisory Partners LLC 0.08% of their portfolio WEST CHESTER, PA 114,349114.3k $1.7m $1.7m 0.08% Added +1.5k +1,484
36 WEDBUSH SECURITIES INC 0.08% of their portfolio PASADENA, CA 114,198114.2k $1.7m $1.7m 0.08% Added +17.6k +17,643
37 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 99,51099.5k $1.5m $1.5m 0.00% Added +97.7k +97,695
38 D.A. DAVIDSON & CO. 0.02% of their portfolio GREAT FALLS, MT 95,37295.4k $1.4m $1.4m 0.02% Reduced -4.0k -4,012
39 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 91,28191.3k $1.4m $1.4m 0.01% Added +6.6k +6,634
40 FIRST FOUNDATION ADVISORS 0.06% of their portfolio Irvine, CA 88,75088.8k $1.3m $1.3m 0.06% Unchanged
41 Cetera Advisors LLC 0.02% of their portfolio DENVER, CO 86,56086.6k $1.3m $1.3m 0.02% Added +17.0k +17,026
42 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 84,25684.3k $1.2m $1.2m 0.01% Added +9.0k +9,027
43 Western Wealth Management, LLC 0.09% of their portfolio GOLDEN, CO 75,43575.4k $1.1m $1.1m 0.09% Added +527 +527
44 Steward Partners Investment Advisory, LLC 0.02% of their portfolio STAMFORD, CT 73,31173.3k $1.1m $1.1m 0.02% Added +15.1k +15,098
45 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 68,87068.9k $1.0m $1.0m 0.01% Reduced -1.3k -1,297
46 Cornerstone Retirement Group, Inc. 0.28% of their portfolio RENO, NV 66,73766.7k $987.0k $987.0k 0.28% New
47 Sowell Financial Services LLC 0.06% of their portfolio NORTH LITTLE ROCK, AR 64,67664.7k $957.0k $957.0k 0.06% Reduced -33.4k -33,379
48 Founders Financial Alliance, LLC 0.42% of their portfolio RALEIGH, NC 64,66564.7k $956.4k $956.4k 0.42% Reduced -3.6k -3,563
49 Mutual Advisors, LLC 0.04% of their portfolio OMAHA, NE 64,14564.1k $948.7k $948.7k 0.04% Reduced -35.6k -35,632
50 RAYMOND JAMES TRUST N.A. 0.03% of their portfolio ST. PETERSBURG, FL 63,66163.7k $941.5k $941.5k 0.03% Added +20.2k +20,175
51 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 63,47763.5k $946.0k $946.0k 0.00% Reduced -14.3k -14,293
52 Semus Wealth Partners LLC 0.85% of their portfolio Boca Raton, FL 61,85161.9k $914.8k $914.8k 0.85% Added +591 +591
53 Garden State Investment Advisory Services LLC 0.40% of their portfolio Red Bank, NJ 58,28358.3k $862.0k $862.0k 0.40% Reduced -820 -820
54 Parisi Gray Wealth Management 0.39% of their portfolio MENDHAM, NJ 57,62757.6k $852.3k $852.3k 0.39% Added +100 +100
55 David J Yvars Group 0.71% of their portfolio UNIVERSITY PARK, FL 57,18657.2k $850.0k $850.0k 0.71% Added +145 +145
56 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 55,92955.9k $827.0k $827.0k 0.00% Added +5.2k +5,200
57 Dynamic Advisor Solutions LLC 0.04% of their portfolio PHOENIX, AZ 55,20455.2k $816.5k $816.5k 0.04% Added +4.5k +4,538
58 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 45,45245.5k $672.2k $672.2k 0.01% Added +2.8k +2,793
59 Tennessee Valley Asset Management Partners 0.20% of their portfolio KNOXVILLE, TN 41,76641.8k $617.7k $617.7k 0.20% Added +978 +978
60 GPS Wealth Strategies Group, LLC 0.12% of their portfolio CENTENNIAL, CO 40,61340.6k $600.7k $600.7k 0.12% Unchanged
61 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 40,45240.5k $598.3k $598.3k 0.02% Reduced -13.8k -13,800
62 HARBOUR INVESTMENTS, INC. 0.03% of their portfolio MADISON, WI 38,81938.8k $574.1k $574.1k 0.03% Reduced -2.6k -2,628
63 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.07% of their portfolio ORLANDO, FL 34,95635.0k $519.5k $519.5k 0.07% Added +1.0k +1,011
64 LEVEL FOUR ADVISORY SERVICES, LLC 0.03% of their portfolio DALLAS, TX 34,56734.6k $511.2k $511.2k 0.03% Added +1.9k +1,950
65 DAVENPORT & Co LLC 0.00% of their portfolio RICHMOND, VA 33,27433.3k $492.1k $492.1k 0.00% Reduced -926 -926
66 Valeo Financial Advisors, LLC 0.02% of their portfolio CARMEL, IN 31,23931.2k $462.0k $462.0k 0.02% Unchanged
67 CoreCap Advisors, LLC 0.03% of their portfolio SOUTHFIELD, MI 30,78730.8k $455.3k $455.3k 0.03% Added +243 +243
68 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 30,36430.4k $449.1k $449.1k 0.00% Reduced -5.5k -5,484
69 Patriot Financial Group Insurance Agency, LLC 0.09% of their portfolio Westborough, MA 30,07930.1k $444.9k $444.9k 0.09% Added +9.0k +8,982
70 Strategic Financial Concepts, LLC 0.15% of their portfolio SAN ANTONIO, TX 29,57629.6k $437.4k $437.4k 0.15% Added +3.0k +2,968
71 Capital Market Strategies LLC 0.40% of their portfolio PALM BEACH GARDENS, FL 28,56328.6k $401.9k $401.9k 0.40% Reduced -250 -250
72 Bison Wealth, LLC 0.07% of their portfolio Atlanta, GA 25,88525.9k $382.8k $382.8k 0.07% Added +2.8k +2,817
73 Quad-Cities Investment Group, LLC 0.24% of their portfolio DAVENPORT, IA 24,61024.6k $364.0k $364.0k 0.24% Added +800 +800
74 Merit Financial Group, LLC 0.01% of their portfolio ALPHARETTA, GA 23,83623.8k $352.5k $352.5k 0.01% Added +170 +170
75 JB Capital LLC 0.03% of their portfolio WETHERSFIELD, CT 23,79623.8k $351.9k $351.9k 0.03% Added +483 +483
76 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 23,38623.4k $345.9k $345.9k 0.01% Added +2.7k +2,716
77 9258 Wealth Management, LLC 0.07% of their portfolio BLUE ASH, OH 23,38023.4k $345.8k $345.8k 0.07% Added +201 +201
78 CENTAURUS FINANCIAL, INC. 0.03% of their portfolio ANAHEIM, CA 23,27823.3k $344.0k $344.0k 0.03% Unchanged
79 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 23,07223.1k $341.2k $341.2k 0.00% Reduced -57.8k -57,830
80 Compound Planning, Inc. 0.11% of their portfolio NEW YORK, NY 22,15022.1k $327.6k $327.6k 0.11% Unchanged
81 PENSION & WEALTH MANAGEMENT ADVISORS, INC. 0.23% of their portfolio WALTHAM, MA 22,04222.0k $326.0k $326.0k 0.23% Added +8.4k +8,389
82 LVZ, Inc. 0.05% of their portfolio Holland, MI 21,09021.1k $311.9k $311.9k 0.05% Unchanged
83 Aviance Capital Partners, LLC 0.07% of their portfolio NAPLES, FL 20,59220.6k $304.6k $304.6k 0.07% Reduced -527 -527
84 Vantage Financial Partners, LLC 0.12% of their portfolio ELM GROVE, WI 19,84319.8k $293.5k $293.5k 0.12% Reduced -110 -110
85 Retirement Planning Group, LLC 0.03% of their portfolio LEAWOOD, KS 19,64019.6k $290.5k $290.5k 0.03% Reduced -617 -617
86 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 18,84018.8k $278.6k $278.6k 0.00% Reduced -3.9k -3,873
87 Walleye Capital LLC 0.00% of their portfolio NEW YORK, NY 18,39718.4k $272.1k $272.1k 0.00% Reduced -1.7k -1,676
88 Corient Private Wealth LP 0.00% of their portfolio MIAMI, FL 18,38418.4k $271.9k $271.9k 0.00% Added +6.5k +6,545
89 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 16,56716.6k $245.0k $245.0k 0.00% Added +888 +888
90 IHT Wealth Management, LLC 0.01% of their portfolio Chicago, IL 16,02316.0k $237.0k $237.0k 0.01% Added +378 +378
91 Capital Wealth Alliance, LLC 0.18% of their portfolio Scottsdale, AZ 15,96716.0k $236.1k $236.1k 0.18% Added +345 +345
92 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 15,31615.3k $227.0k $227.0k 0.00% Reduced -1.9k -1,858
93 Sunbelt Securities, Inc. 0.03% of their portfolio HOUSTON, TX 15,04315.0k $222.5k $222.5k 0.03% Reduced -237 -237
94 Main Street Financial Solutions, LLC 0.03% of their portfolio NEWTOWN, PA 15,01215.0k $222.0k $222.0k 0.03% Added +324 +324
95 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 14,63414.6k $216.4k $216.4k 0.00% Reduced -2.1k -2,127
96 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.01% of their portfolio Seattle, WA 14,53914.5k $215.0k $215.0k 0.01% New
97 Safeguard Financial, LLC 0.10% of their portfolio MINOCQUA, WI 14,08814.1k $208.4k $208.4k 0.10% Unchanged
98 GILL CAPITAL PARTNERS, LLC 0.09% of their portfolio DENVER, CO 13,76113.8k $203.5k $203.5k 0.09% Unchanged
99 INDEPENDENT FINANCIAL GROUP, LLC 0.01% of their portfolio SAN DIEGO, CA 13,66813.7k $202.2k $202.2k 0.01% Unchanged
100 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 13,53813.5k $200.2k $200.2k 0.00% New