Vault-13

GUGGENHEIM STRATEGIC OPPORTU GOF

COM SBI · Closed-End Fund · CUSIP 40167F101

142 institutional holders +2 vs Q4 2023
37,061,21537.1m shares reported held*
$530.7mreported value*
21 new 62 added 36 reduced 18 sold out net bought ≈ $132.8m (+9.3m 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 ≈ $14.32.

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 125Q4 22: 131Q1 23: 128Q2 23: 126Q3 23: 129Q4 23: 140Q1 24: 142142Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 2022125
Q4 2022131
Q1 2023128
Q2 2023126
Q3 2023129
Q4 2023140
Q1 2024142

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 23Q1 24: 83 bought or addedQ1 24: 54 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 20226745
Q1 20236559
Q2 20236949
Q3 20237440
Q4 20237358
Q1 20248354

Biggest buyers

MORGAN STANLEY Added +8,740,948+8.7m
HARTLINE INVESTMENT CORP/ New +292,689+292.7k
LPL Financial LLC Added +216,289+216.3k
Cetera Investment Advisers Added +216,117+216.1k
MML INVESTORS SERVICES, LLC Added +145,176+145.2k
OSAIC HOLDINGS, INC. Added +116,914+116.9k
Significant Wealth Partners LLC Added +104,668+104.7k
Prime Capital Investment Advisors, LLC Added +90,078+90.1k
CreativeOne Wealth, LLC Added +64,415+64.4k
ROYAL BANK OF CANADA Added +58,922+58.9k

Biggest sellers

AE Wealth Management LLC Sold out -216,550-216.6k
Cetera Advisor Networks LLC Sold out -176,317-176.3k
D.A. DAVIDSON & CO. Sold out -153,423-153.4k
Wealthcare Advisory Partners LLC Reduced -102,284-102.3k
Camelot Portfolios, LLC Sold out -78,035-78.0k
Elequin Capital, LP Sold out -60,645-60.6k
Tennessee Valley Asset Management Partners Reduced -58,070-58.1k
Arlington Capital Management, Inc. Sold out -57,097-57.1k
WOLVERINE ASSET MANAGEMENT LLC Sold out -45,902-45.9k
Jefferies Financial Group Inc. Sold out -42,610-42.6k

Insider purchases and sales in Q1 2024

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
202Q2 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 23Q4 23: 0 buyingQ4 23: 2 sellingQ1 24: 0 buyingQ1 24: 1 sellingQ1 24
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
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—
Q1 20240—1$411.5k—
DateInsiderTradeSharesPrice ValueTheir holding
2024-02-01 Barnes Randall C Director Sold 10,000 $13.95 $139.5k10.0k shares -63%
2024-01-05 Barnes Randall C Director Sold 20,000 $13.60 $272.0k20.0k shares -56%

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, Q1 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 21,356,52621.4m $305.8m $305.8m 0.01% Added +8.7m +8,740,948
2 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 1,267,3681.3m $18.1m $18.1m 0.01% Added +216.3k +216,289
3 Prime Capital Investment Advisors, LLC 0.25% of their portfolio OVERLAND PARK, KS 1,262,9341.3m $18.1m $18.1m 0.25% Added +90.1k +90,078
4 UBS Group AG 0.01% of their portfolio ZURICH, V8 1,171,8791.2m $16.8m $16.8m 0.01% Reduced -37.1k -37,070
5 OSAIC HOLDINGS, INC. 0.03% of their portfolio SCOTTSDALE, AZ 842,764842.8k $12.1m $12.1m 0.03% Added +116.9k +116,914
6 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 767,029767.0k $11.0m $11.0m 0.00% Added +58.9k +58,922
7 COHEN & STEERS, INC. 0.02% of their portfolio NEW YORK, NY 734,940734.9k $10.5m $10.5m 0.02% Added +10.0k +10,000
8 CreativeOne Wealth, LLC 0.29% of their portfolio OVERLAND PARK, KS 504,425504.4k $7.2m $7.2m 0.29% Added +64.4k +64,415
9 VERUS CAPITAL PARTNERS, LLC 0.70% of their portfolio SCOTTSDALE, AZ 440,138440.1k $6.3m $6.3m 0.70% Added +12.3k +12,280
10 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 430,238430.2k $6.2m $6.2m 0.01% Added +6.5k +6,470
11 Atria Wealth Solutions, Inc. 0.07% of their portfolio NEW YORK, NY 403,537403.5k $5.8m $5.8m 0.07% Added +15.3k +15,255
12 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 369,509369.5k $5.3m $5.3m 0.01% Added +216.1k +216,117
13 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 337,507337.5k $4.8m $4.8m 0.00% Added +37.4k +37,438
14 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 326,401326.4k $4.7m $4.7m 0.01% Added +8.6k +8,565
15 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 318,134318.1k $4.6m $4.6m 0.02% Reduced -15.6k -15,558
16 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 305,545305.5k $4.4m $4.4m 0.00% Reduced -11.5k -11,457
17 Richmond Brothers, Inc. 8.02% of their portfolio JACKSON, MI 302,107302.1k $4.3m $4.3m 8.02% Added +4.8k +4,826
18 HARTLINE INVESTMENT CORP/ 0.74% of their portfolio WINNETKA, IL 292,689292.7k $4.2m $4.2m 0.74% New
19 Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors 0.74% of their portfolio CONCORD, MA 292,689292.7k $4.2m $4.2m 0.74% Added +27.7k +27,722
20 Significant Wealth Partners LLC 2.60% of their portfolio CARY, IL 276,751276.8k $4.0m $4.0m 2.60% Added +104.7k +104,668
21 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 260,371260.4k $3.7m $3.7m 0.01% Reduced -20.5k -20,497
22 PETRA FINANCIAL ADVISORS INC 2.71% of their portfolio COLORADO SRPINGS, CO 257,803257.8k $3.7m $3.7m 2.71% Added +10.4k +10,413
23 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 254,589254.6k $3.6m $3.6m 0.01% Added +9.5k +9,496
24 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 233,314233.3k $3.3m $3.3m 0.01% Added +145.2k +145,176
25 Marks Group Wealth Management, Inc 0.29% of their portfolio MINNETONKA, MN 192,193192.2k $2.8m $2.8m 0.29% Unchanged
26 MOSAIC FAMILY WEALTH PARTNERS, LLC 0.44% of their portfolio ST. LOUIS, MO 185,676185.7k $2.7m $2.7m 0.44% Added +3.8k +3,791
27 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 157,992158.0k $2.3m $2.3m 0.00% Reduced -126 -126
28 WEDBUSH SECURITIES INC 0.08% of their portfolio PASADENA, CA 154,720154.7k $2.2m $2.2m 0.08% Added +6.1k +6,062
29 Integrated Wealth Concepts LLC 0.03% of their portfolio WALTHAM, MA 144,383144.4k $2.1m $2.1m 0.03% Added +3.6k +3,564
30 CAPTRUST FINANCIAL ADVISORS 0.01% of their portfolio RALEIGH, NC 143,044143.0k $2.0m $2.0m 0.01% Reduced -12.1k -12,055
31 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 132,339132.3k $1.9m $1.9m 0.00% Added +9.2k +9,150
32 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 118,309118.3k $1.7m $1.7m 0.01% Reduced -6.0k -5,996
33 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 96,82596.8k $1.4m $1.4m 0.00% Reduced -20.4k -20,406
34 Founders Financial Alliance, LLC 0.41% of their portfolio RALEIGH, NC 95,84195.8k $1.4m $1.4m 0.41% Added +30.3k +30,262
35 PRINCIPAL SECURITIES, INC. 0.04% of their portfolio DES MOINES, IA 94,99395.0k $1.4m $1.4m 0.04% Added +9.7k +9,686
36 Mutual Advisors, LLC 0.04% of their portfolio OMAHA, NE 85,55485.6k $1.2m $1.2m 0.04% Added +22.5k +22,527
37 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 81,40481.4k $1.2m $1.2m 0.01% Added +14.4k +14,402
38 Sowell Financial Services LLC 0.05% of their portfolio NORTH LITTLE ROCK, AR 80,70480.7k $1.2m $1.2m 0.05% Added +16.4k +16,365
39 Sigma Planning Corp 0.04% of their portfolio ANN ARBOR, MI 80,17180.2k $1.1m $1.1m 0.04% Reduced -9.9k -9,939
40 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 76,57376.6k $1.1m $1.1m 0.01% Reduced -290 -290
41 Brookstone Capital Management 0.02% of their portfolio WHEATON, IL 73,37473.4k $1.1m $1.1m 0.02% Added +636 +636
42 Samalin Investment Counsel, LLC 0.50% of their portfolio CHAPPAQUA, NY 72,88772.9k $1.0m $1.0m 0.50% Reduced -202 -202
43 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 69,87869.9k $1.0m $1.0m 0.01% Added +64 +64
44 Dynamic Advisor Solutions LLC 0.03% of their portfolio PHOENIX, AZ 65,43965.4k $937.1k $937.1k 0.03% Added +1.9k +1,882
45 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 62,36262.4k $893.0k $893.0k 0.00% Added +1.3k +1,281
46 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 60,84860.8k $871.0k $871.0k 0.00% Reduced -5.1k -5,073
47 Tennessee Valley Asset Management Partners 0.21% of their portfolio KNOXVILLE, TN 60,55660.6k $867.2k $867.2k 0.21% Reduced -58.1k -58,070
48 David J Yvars Group 0.55% of their portfolio UNIVERSITY PARK, FL 57,48957.5k $819.5k $819.5k 0.55% Added +118 +118
49 Parisi Gray Wealth Management 0.30% of their portfolio MENDHAM, NJ 56,18156.2k $804.5k $804.5k 0.30% Reduced -1.3k -1,348
50 Semus Wealth Partners LLC 0.65% of their portfolio Boca Raton, FL 54,10854.1k $774.8k $774.8k 0.65% Reduced -6.3k -6,328
51 DAVENPORT & Co LLC 0.00% of their portfolio RICHMOND, VA 52,67352.7k $754.3k $754.3k 0.00% Added +2.9k +2,947
52 CHOREO, LLC 0.02% of their portfolio ROCKFORD, IL 50,85350.9k $728.2k $728.2k 0.02% Added +853 +853
53 RAYMOND JAMES TRUST N.A. 0.02% of their portfolio ST. PETERSBURG, FL 50,41750.4k $722.0k $722.0k 0.02% Unchanged
54 PFG Investments, LLC 0.04% of their portfolio WOODBURY, NY 50,38850.4k $721.6k $721.6k 0.04% New
55 Garden State Investment Advisory Services LLC 0.26% of their portfolio Red Bank, NJ 49,30849.3k $702.6k $702.6k 0.26% Added +35 +35
56 Western Wealth Management, LLC 0.05% of their portfolio GOLDEN, CO 48,00148.0k $687.4k $687.4k 0.05% Reduced -6.3k -6,283
57 PENSION & WEALTH MANAGEMENT ADVISORS, INC. 0.45% of their portfolio WALTHAM, MA 47,56947.6k $681.2k $681.2k 0.45% Added +26.2k +26,159
58 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 47,09047.1k $674.3k $674.3k 0.00% Unchanged
59 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 43,03943.0k $616.3k $616.3k 0.00% Added +10.0k +10,004
60 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 40,45240.5k $598.3k $598.3k 0.02% Added +6.4k +6,406
61 CoreCap Advisors, LLC 0.03% of their portfolio SOUTHFIELD, MI 39,34539.3k $563.4k $563.4k 0.03% Added +4.3k +4,275
62 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 36,64136.6k $524.7k $524.7k 0.01% Reduced -9.4k -9,410
63 Patriot Financial Group Insurance Agency, LLC 0.08% of their portfolio Westborough, MA 33,40533.4k $478.4k $478.4k 0.08% Added +992 +992
64 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.05% of their portfolio ORLANDO, FL 31,50831.5k $449.0k $449.0k 0.05% Added +22 +22
65 GPS Wealth Strategies Group, LLC 0.07% of their portfolio CENTENNIAL, CO 31,50431.5k $451.1k $451.1k 0.07% Reduced -2.3k -2,343
66 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 30,80430.8k $441.1k $441.1k 0.00% Reduced -2.0k -2,005
67 Capital Market Strategies LLC 0.33% of their portfolio PALM BEACH GARDENS, FL 30,27030.3k $433.5k $433.5k 0.33% Reduced -4.0k -3,972
68 Quad-Cities Investment Group, LLC 0.22% of their portfolio DAVENPORT, IA 26,58926.6k $380.8k $380.8k 0.22% Added +1.3k +1,265
69 Strategic Financial Concepts, LLC 0.09% of their portfolio SAN ANTONIO, TX 25,75425.8k $368.8k $368.8k 0.09% New
70 Ausdal Financial Partners, Inc. 0.04% of their portfolio Davenport, IA 25,56625.6k $366.1k $366.1k 0.04% New
71 JB Capital LLC 0.02% of their portfolio WETHERSFIELD, CT 24,30124.3k $348.0k $348.0k 0.02% Added +100 +100
72 Merit Financial Group, LLC 0.01% of their portfolio ALPHARETTA, GA 24,28924.3k $356.3k $356.3k 0.01% Added +242 +242
73 Retirement Planning Group, LLC 0.03% of their portfolio LEAWOOD, KS 24,26124.3k $347.4k $347.4k 0.03% Added +3.6k +3,641
74 Compound Planning, Inc. 0.03% of their portfolio NEW YORK, NY 22,78522.8k $326.3k $326.3k 0.03% Added +1.2k +1,212
75 9258 Wealth Management, LLC 0.05% of their portfolio BLUE ASH, OH 21,93021.9k $314.0k $314.0k 0.05% Reduced -249 -249
76 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 21,81921.8k $312.4k $312.4k 0.01% Reduced -1.1k -1,125
77 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 21,65821.7k $310.0k $310.0k 0.00% Added +6.3k +6,321
78 COMERICA BANK 0.00% of their portfolio DALLAS, TX 21,30921.3k $305.1k $305.1k 0.00% Added +8.2k +8,183
79 LVZ, Inc. 0.04% of their portfolio Holland, MI 20,71520.7k $296.6k $296.6k 0.04% Reduced -375 -375
80 Aviance Capital Partners, LLC 0.04% of their portfolio NAPLES, FL 20,59220.6k $294.9k $294.9k 0.04% Unchanged
81 INSIGNEO ADVISORY SERVICES, LLC 0.03% of their portfolio MIAMI, FL 19,93019.9k $285.4k $285.4k 0.03% New
82 FIRST FOUNDATION ADVISORS 0.01% of their portfolio Irvine, CA 19,45019.4k $278.5k $278.5k 0.01% Unchanged
83 Vantage Financial Partners, LLC 0.07% of their portfolio ELM GROVE, WI 18,58918.6k $266.2k $266.2k 0.07% Reduced -846 -846
84 Main Street Financial Solutions, LLC 0.03% of their portfolio NEWTOWN, PA 17,39317.4k $249.1k $249.1k 0.03% Added +2.0k +1,978
85 Capital Wealth Alliance, LLC 0.15% of their portfolio Scottsdale, AZ 17,26317.3k $247.2k $247.2k 0.15% Added +858 +858
86 WFA Asset Management Corp 0.13% of their portfolio WHITEFISH BAY, WI 16,79916.8k $240.6k $240.6k 0.13% Added +15.2k +15,172
87 Bison Wealth, LLC 0.04% of their portfolio Atlanta, GA 16,78616.8k $240.4k $240.4k 0.04% Reduced -5.2k -5,217
88 LEVEL FOUR ADVISORY SERVICES, LLC 0.01% of their portfolio DALLAS, TX 16,53716.5k $211.7k $211.7k 0.01% Unchanged
89 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 16,39116.4k $234.7k $234.7k 0.00% Reduced -291 -291
90 Wealthcare Advisory Partners LLC 0.01% of their portfolio WEST CHESTER, PA 15,56715.6k $222.9k $222.9k 0.01% Reduced -102.3k -102,284
91 FLYNN ZITO CAPITAL MANAGEMENT, LLC 0.11% of their portfolio GARDEN CITY, NY 14,77114.8k $211.5k $211.5k 0.11% New
92 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.01% of their portfolio Seattle, WA 14,53914.5k $208.2k $208.2k 0.01% Unchanged
93 INDEPENDENT FINANCIAL GROUP, LLC 0.01% of their portfolio SAN DIEGO, CA 14,36814.4k $205.8k $205.8k 0.01% Added +700 +700
94 Imprint Wealth LLC 0.05% of their portfolio MOUNT PLEASANT, SC 14,17114.2k $201.9k $201.9k 0.05% New
95 Safeguard Financial, LLC 0.07% of their portfolio MINOCQUA, WI 14,08814.1k $201.7k $201.7k 0.07% Unchanged
96 Capital CS Group, LLC 0.20% of their portfolio IRVINE, CA 13,88313.9k $198.8k $198.8k 0.20% Added +3.2k +3,174
97 GILL CAPITAL PARTNERS, LLC 0.08% of their portfolio DENVER, CO 13,76113.8k $200.8k $200.8k 0.08% Unchanged
98 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 12,82012.8k $183.6k $183.6k 0.00% Reduced -6.7k -6,667
99 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 12,81512.8k $183.5k $183.5k 0.00% Added +376 +376
100 IFP Advisors, Inc 0.01% of their portfolio TAMPA, FL 12,75012.8k $182.6k $182.6k 0.01% New