Vault-13

GUGGENHEIM STRATEGIC OPPORTU GOF

COM SBI · Closed-End Fund · CUSIP 40167F101

140 institutional holders +11 vs Q3 2023
27,886,40727.9m shares reported held*
$357.2mreported value*
21 new 52 added 44 reduced 14 sold out net bought ≈ $110.0m (+8.5m 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 ≈ $12.81.

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 125Q4 22: 131Q1 23: 128Q2 23: 126Q3 23: 129Q4 23: 140140Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022125
Q4 2022131
Q1 2023128
Q2 2023126
Q3 2023129
Q4 2023140

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 23Q4 23: 73 bought or addedQ4 23: 58 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20226745
Q1 20236559
Q2 20236949
Q3 20237440
Q4 20237358

Biggest buyers

MORGAN STANLEY Added +8,233,239+8.2m
COHEN & STEERS, INC. Added +325,000+325.0k
ROYAL BANK OF CANADA Added +324,423+324.4k
Prime Capital Investment Advisors, LLC Added +304,335+304.3k
Baird Financial Group, Inc. Added +122,643+122.6k
LPL Financial LLC Added +85,119+85.1k
Cambridge Investment Research Advisors, Inc. Added +80,368+80.4k
Camelot Portfolios, LLC New +78,035+78.0k
Tennessee Valley Asset Management Partners Added +76,860+76.9k
Samalin Investment Counsel, LLC New +73,089+73.1k

Biggest sellers

UBS Group AG Reduced -690,516-690.5k
OSAIC HOLDINGS, INC. Reduced -234,069-234.1k
WELLS FARGO & COMPANY/MN Reduced -184,236-184.2k
Brookstone Capital Management Reduced -179,318-179.3k
Sigma Planning Corp Reduced -102,939-102.9k
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO Reduced -93,878-93.9k
TRUIST FINANCIAL CORP Reduced -71,945-71.9k
FIRST FOUNDATION ADVISORS Reduced -69,300-69.3k
Raymond James Financial Services Advisors, Inc. Reduced -67,191-67.2k
Cetera Advisors LLC Reduced -63,342-63.3k

Insider purchases and sales in Q4 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
202Q1 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 23Q3 23: 1 buyingQ3 23: 0 sellingQ4 23: 0 buyingQ4 23: 2 sellingQ4 23
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
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——
Q4 20230—2$1.1m—
DateInsiderTradeSharesPrice ValueTheir holding
2023-12-13 Barnes Randall C Director Sold 6,000 $13.67 $82.0k6.0k shares -14%
2023-12-08 Barnes Randall C Director Sold 2,000 $13.86 $27.7k2.0k shares -5%
2023-12-07 Barnes Randall C Director Sold 8,000 $13.71 $109.7k8.0k shares -15%
2023-12-06 Barnes Randall C Director Sold 16,000 $13.66 $218.6k16.0k shares -24%
2023-12-05 Barnes Randall C Director Sold 20,000 $13.47 $269.4k20.0k shares -23%
2023-12-04 Barnes Randall C Director Sold 3,000 $13.36 $40.1k3.0k shares -3%
2023-12-01 Barnes Randall C Director Sold 6,211 $13.36 $83.0k6.2k shares -6%
2023-11-30 Barnes Randall C Director Sold 10,000 $13.30 $133.0k10.0k shares -9%
2023-11-29 Barnes Randall C Director Sold 1,000 $13.25 $13.2k1.0k shares -1%
2023-11-28 Barnes Randall C Director Sold 1,000 $13.30 $13.3k1.0k shares -1%
2023-11-03 Barnes Randall C Director · Randall C Barnes Childrens' Trust Sold 9,926 $13.46 $133.6k9.9k shares -100%
2023-10-12 Brock-Kyle Angela Director · Husband\'s Brokerage Account Sold 100 $13.70 $1.4k100 shares -100%

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 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 12,615,57812.6m $161.5m $161.5m 0.01% Added +8.2m +8,233,239
2 UBS Group AG 0.01% of their portfolio ZURICH, V8 1,208,9491.2m $15.5m $15.5m 0.01% Reduced -690.5k -690,516
3 Prime Capital Investment Advisors, LLC 0.23% of their portfolio OVERLAND PARK, KS 1,172,8561.2m $15.0m $15.0m 0.23% Added +304.3k +304,335
4 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 1,051,0791.1m $13.5m $13.5m 0.01% Added +85.1k +85,119
5 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 725,850725.9k $9.3m $9.3m 0.02% Reduced -234.1k -234,069
6 COHEN & STEERS, INC. 0.02% of their portfolio NEW YORK, NY 724,940724.9k $9.3m $9.3m 0.02% Added +325.0k +325,000
7 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 708,107708.1k $9.1m $9.1m 0.00% Added +324.4k +324,423
8 CreativeOne Wealth, LLC 0.36% of their portfolio OVERLAND PARK, KS 440,010440.0k $5.6m $5.6m 0.36% Added +58.7k +58,726
9 VERUS CAPITAL PARTNERS, LLC 0.67% of their portfolio SCOTTSDALE, AZ 427,858427.9k $5.5m $5.5m 0.67% Added +20.4k +20,385
10 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 423,768423.8k $5.4m $5.4m 0.01% Added +17.7k +17,658
11 Atria Wealth Solutions, Inc. 0.06% of their portfolio NEW YORK, NY 388,282388.3k $5.0m $5.0m 0.06% Added +25.9k +25,894
12 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 333,692333.7k $4.3m $4.3m 0.02% Added +80.4k +80,368
13 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 317,836317.8k $4.1m $4.1m 0.01% Added +122.6k +122,643
14 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 317,002317.0k $4.1m $4.1m 0.00% Reduced -46.2k -46,237
15 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 300,069300.1k $3.8m $3.8m 0.00% Added +20.6k +20,642
16 Richmond Brothers, Inc. 6.63% of their portfolio JACKSON, MI 297,281297.3k $3.8m $3.8m 6.63% Added +36.6k +36,581
17 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 280,868280.9k $3.6m $3.6m 0.01% Reduced -67.2k -67,191
18 Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors 0.67% of their portfolio CONCORD, MA 264,967265.0k $3.4m $3.4m 0.67% Added +55.9k +55,914
19 PETRA FINANCIAL ADVISORS INC 2.64% of their portfolio COLORADO SRPINGS, CO 247,390247.4k $3.2m $3.2m 2.64% Added +26.7k +26,686
20 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 245,093245.1k $3.1m $3.1m 0.01% Reduced -45.5k -45,520
21 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 216,550216.6k $2.9m $2.9m 0.01% Added +61.1k +61,095
22 Marks Group Wealth Management, Inc 0.28% of their portfolio MINNETONKA, MN 192,193192.2k $2.5m $2.5m 0.28% Unchanged
23 MOSAIC FAMILY WEALTH PARTNERS, LLC 0.40% of their portfolio ST. LOUIS, MO 181,885181.9k $2.3m $2.3m 0.40% Added +4.7k +4,702
24 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 176,317176.3k $2.3m $2.3m 0.01% Added +50.2k +50,249
25 Significant Wealth Partners LLC 1.60% of their portfolio CARY, IL 172,083172.1k $2.2m $2.2m 1.60% First filing
26 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 158,118158.1k $2.0m $2.0m 0.00% Reduced -71.9k -71,945
27 CAPTRUST FINANCIAL ADVISORS 0.01% of their portfolio RALEIGH, NC 155,099155.1k $2.0m $2.0m 0.01% Added +17.9k +17,912
28 D.A. DAVIDSON & CO. 0.02% of their portfolio GREAT FALLS, MT 153,423153.4k $2.0m $2.0m 0.02% Added +58.1k +58,051
29 Cetera Investment Advisers 0.02% of their portfolio SCHAUMBURG, IL 153,392153.4k $2.0m $2.0m 0.02% Added +62.1k +62,111
30 WEDBUSH SECURITIES INC 0.08% of their portfolio PASADENA, CA 148,658148.7k $1.9m $1.9m 0.08% Added +34.5k +34,460
31 Integrated Wealth Concepts LLC 0.03% of their portfolio WALTHAM, MA 140,819140.8k $1.8m $1.8m 0.03% Added +1.1k +1,137
32 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 124,305124.3k $1.6m $1.6m 0.01% Reduced -3.8k -3,767
33 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 123,189123.2k $1.6m $1.6m 0.00% Added +5.4k +5,358
34 Tennessee Valley Asset Management Partners 0.21% of their portfolio KNOXVILLE, TN 118,626118.6k $1.5m $1.5m 0.21% Added +76.9k +76,860
35 Wealthcare Advisory Partners LLC 0.06% of their portfolio WEST CHESTER, PA 117,851117.9k $1.5m $1.5m 0.06% Added +3.5k +3,502
36 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 117,231117.2k $1.5m $1.5m 0.00% Reduced -28.4k -28,365
37 FOCUS FINANCIAL NETWORK INC /ADV 0.05% of their portfolio Minneapolis, MN 96,11496.1k $1.2m $1.2m 0.05% First filing
38 Sigma Planning Corp 0.09% of their portfolio ANN ARBOR, MI 90,11090.1k $1.2m $1.2m 0.09% Reduced -102.9k -102,939
39 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 88,13888.1k $1.1m $1.1m 0.01% Added +3.9k +3,882
40 PRINCIPAL SECURITIES, INC. 0.04% of their portfolio DES MOINES, IA 85,30785.3k $1.1m $1.1m 0.04% First filing
41 Camelot Portfolios, LLC 0.59% of their portfolio Maumee, OH 78,03578.0k $998.8k $998.8k 0.59% New
42 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 76,86376.9k $983.8k $983.8k 0.01% Added +3.6k +3,552
43 Samalin Investment Counsel, LLC 0.47% of their portfolio CHAPPAQUA, NY 73,08973.1k $935.5k $935.5k 0.47% New
44 Brookstone Capital Management 0.02% of their portfolio WHEATON, IL 72,73872.7k $931.0k $931.0k 0.02% Reduced -179.3k -179,318
45 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 69,81469.8k $893.6k $893.6k 0.01% Reduced -49.9k -49,871
46 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 67,00267.0k $874.2k $874.2k 0.01% Reduced -1.9k -1,868
47 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 65,92165.9k $844.0k $844.0k 0.00% Added +2.4k +2,444
48 Founders Financial Alliance, LLC 0.33% of their portfolio RALEIGH, NC 65,57965.6k $839.4k $839.4k 0.33% Added +914 +914
49 Sowell Financial Services LLC 0.04% of their portfolio NORTH LITTLE ROCK, AR 64,33964.3k $824.0k $824.0k 0.04% Reduced -337 -337
50 Dynamic Advisor Solutions LLC 0.03% of their portfolio PHOENIX, AZ 63,55763.6k $858.0k $858.0k 0.03% Added +8.4k +8,353
51 Mutual Advisors, LLC 0.03% of their portfolio OMAHA, NE 63,02763.0k $806.8k $806.8k 0.03% Reduced -1.1k -1,118
52 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 61,08161.1k $782.0k $782.0k 0.00% Added +5.2k +5,152
53 Elequin Capital, LP 0.23% of their portfolio NEW YORK, NY 60,64560.6k $776.3k $776.3k 0.23% Added +58.8k +58,845
54 Semus Wealth Partners LLC 0.63% of their portfolio Boca Raton, FL 60,43660.4k $773.6k $773.6k 0.63% Reduced -1.4k -1,415
55 Parisi Gray Wealth Management 0.30% of their portfolio MENDHAM, NJ 57,52957.5k $736.4k $736.4k 0.30% Reduced -98 -98
56 David J Yvars Group 0.59% of their portfolio UNIVERSITY PARK, FL 57,37157.4k $734.0k $734.0k 0.59% Added +185 +185
57 Arlington Capital Management, Inc. 0.66% of their portfolio ARLINGTON HEIGHTS, IL 57,09757.1k $730.8k $730.8k 0.66% New
58 Western Wealth Management, LLC 0.05% of their portfolio GOLDEN, CO 54,28454.3k $694.8k $694.8k 0.05% Reduced -21.2k -21,151
59 RAYMOND JAMES TRUST N.A. 0.02% of their portfolio ST. PETERSBURG, FL 50,41750.4k $645.3k $645.3k 0.02% Reduced -13.2k -13,244
60 CHOREO, LLC 0.02% of their portfolio ROCKFORD, IL 50,00050.0k $640.0k $640.0k 0.02% New
61 DAVENPORT & Co LLC 0.00% of their portfolio RICHMOND, VA 49,72649.7k $636.5k $636.5k 0.00% Added +16.5k +16,452
62 Garden State Investment Advisory Services LLC 0.25% of their portfolio Red Bank, NJ 49,27349.3k $630.7k $630.7k 0.25% Reduced -9.0k -9,010
63 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 47,09047.1k $602.8k $602.8k 0.00% New
64 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 46,05146.1k $589.4k $589.4k 0.01% Added +599 +599
65 WOLVERINE ASSET MANAGEMENT LLC 0.01% of their portfolio CHICAGO, IL 45,90245.9k $587.5k $587.5k 0.01% New
66 Jefferies Financial Group Inc. 0.01% of their portfolio NEW YORK, NY 42,61042.6k $545.4k $545.4k 0.01% New
67 Gridiron Partners, LLC 0.36% of their portfolio Wexford, PA 39,54239.5k $506.1k $506.1k 0.36% First filing
68 CoreCap Advisors, LLC 0.03% of their portfolio SOUTHFIELD, MI 35,07035.1k $448.9k $448.9k 0.03% Added +4.3k +4,283
69 Capital Market Strategies LLC 0.38% of their portfolio PALM BEACH GARDENS, FL 34,24234.2k $438.3k $438.3k 0.38% Added +5.7k +5,679
70 B. Riley Wealth Advisors, Inc. 0.01% of their portfolio MEMPHIS, TN 34,04634.0k $435.8k $435.8k 0.01% Reduced -6.4k -6,406
71 GPS Wealth Strategies Group, LLC 0.08% of their portfolio CENTENNIAL, CO 33,84733.8k $433.2k $433.2k 0.08% Reduced -6.8k -6,766
72 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 33,03533.0k $422.9k $422.9k 0.00% Added +18.4k +18,401
73 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 32,80932.8k $420.0k $420.0k 0.00% Added +2.4k +2,445
74 Patriot Financial Group Insurance Agency, LLC 0.08% of their portfolio Westborough, MA 32,41332.4k $414.9k $414.9k 0.08% Added +2.3k +2,334
75 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.05% of their portfolio ORLANDO, FL 31,48631.5k $403.0k $403.0k 0.05% Reduced -3.5k -3,470
76 Quad-Cities Investment Group, LLC 0.21% of their portfolio DAVENPORT, IA 25,32425.3k $346.4k $346.4k 0.21% Added +714 +714
77 JB Capital LLC 0.02% of their portfolio WETHERSFIELD, CT 24,20124.2k $309.8k $309.8k 0.02% Added +405 +405
78 Merit Financial Group, LLC 0.01% of their portfolio ALPHARETTA, GA 24,04724.0k $307.8k $307.8k 0.01% Added +211 +211
79 Cetera Advisors LLC 0.00% of their portfolio DENVER, CO 23,21823.2k $297.2k $297.2k 0.00% Reduced -63.3k -63,342
80 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 22,94422.9k $293.7k $293.7k 0.01% Reduced -15.9k -15,875
81 9258 Wealth Management, LLC 0.05% of their portfolio BLUE ASH, OH 22,17922.2k $283.9k $283.9k 0.05% Reduced -1.2k -1,201
82 Bison Wealth, LLC 0.05% of their portfolio Atlanta, GA 22,00322.0k $281.6k $281.6k 0.05% Reduced -3.9k -3,882
83 Compound Planning, Inc. 0.04% of their portfolio NEW YORK, NY 21,57321.6k $276.1k $276.1k 0.04% Reduced -577 -577
84 PENSION & WEALTH MANAGEMENT ADVISORS, INC. 0.17% of their portfolio WALTHAM, MA 21,41021.4k $274.1k $274.1k 0.17% Reduced -632 -632
85 LVZ, Inc. 0.04% of their portfolio Holland, MI 21,09021.1k $270.0k $270.0k 0.04% Unchanged
86 Retirement Planning Group, LLC 0.02% of their portfolio LEAWOOD, KS 20,62020.6k $263.9k $263.9k 0.02% Added +980 +980
87 Aviance Capital Partners, LLC 0.06% of their portfolio NAPLES, FL 20,59220.6k $263.6k $263.6k 0.06% Unchanged
88 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 19,48719.5k $249.4k $249.4k 0.01% Reduced -3.9k -3,899
89 FIRST FOUNDATION ADVISORS 0.01% of their portfolio Irvine, CA 19,45019.4k $249.0k $249.0k 0.01% Reduced -69.3k -69,300
90 Vantage Financial Partners, LLC 0.07% of their portfolio ELM GROVE, WI 19,43519.4k $248.8k $248.8k 0.07% Reduced -408 -408
91 CENTAURUS FINANCIAL, INC. 0.02% of their portfolio ANAHEIM, CA 18,23218.2k $233.0k $233.0k 0.02% Reduced -5.0k -5,046
92 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 16,68216.7k $213.5k $213.5k 0.00% Added +115 +115
93 LEVEL FOUR ADVISORY SERVICES, LLC 0.01% of their portfolio DALLAS, TX 16,53716.5k $211.7k $211.7k 0.01% Reduced -18.0k -18,030
94 Capital Wealth Alliance, LLC 0.14% of their portfolio Scottsdale, AZ 16,40516.4k $210.0k $210.0k 0.14% Added +438 +438
95 NOMURA HOLDINGS INC 0.00% of their portfolio TOKYO, M0 16,32516.3k $209.0k $209.0k 0.00% New
96 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.02% of their portfolio Englewood, NJ 16,23016.2k $207.7k $207.7k 0.02% New
97 Main Street Financial Solutions, LLC 0.03% of their portfolio NEWTOWN, PA 15,41515.4k $197.3k $197.3k 0.03% Added +403 +403
98 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 15,33715.3k $196.0k $196.0k 0.00% Added +21 +21
99 Advisor Resource Council 0.02% of their portfolio DALLAS, TX 14,90214.9k $190.7k $190.7k 0.02% New
100 SFI Advisors, LLC 0.16% of their portfolio Montclair, NJ 14,82814.8k $189.8k $189.8k 0.16% New