Vault-13

GUGGENHEIM STRATEGIC OPPORTU GOF

COM SBI · Closed-End Fund · CUSIP 40167F101

156 institutional holders +2 vs Q2 2024
23,855,18123.9m shares reported held*
$368.5mreported value*
20 new 70 added 37 reduced 18 sold out net bought ≈ $11.0m (+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 ≈ $15.45.

Trends to Q3 2024

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 125Q4 22: 131Q1 23: 128Q2 23: 126Q3 23: 129Q4 23: 140Q1 24: 142Q2 24: 154Q3 24: 156156Q3 22Q1 23Q3 23Q1 24Q3 24
Numbers
QuarterHolders
Q3 2022125
Q4 2022131
Q1 2023128
Q2 2023126
Q3 2023129
Q4 2023140
Q1 2024142
Q2 2024154
Q3 2024156

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 outQ1 23: 65 bought or addedQ1 23: 59 cut or sold outQ1 23Q2 23: 69 bought or addedQ2 23: 49 cut or sold outQ3 23: 74 bought or addedQ3 23: 40 cut or sold outQ3 23Q4 23: 73 bought or addedQ4 23: 58 cut or sold outQ1 24: 83 bought or addedQ1 24: 54 cut or sold outQ1 24Q2 24: 80 bought or addedQ2 24: 51 cut or sold outQ3 24: 90 bought or addedQ3 24: 55 cut or sold outQ3 24
Numbers
QuarterBought or addedCut or sold out
Q4 20226745
Q1 20236559
Q2 20236949
Q3 20237440
Q4 20237358
Q1 20248354
Q2 20248051
Q3 20249055

Biggest buyers

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC Added +443,567+443.6k
LPL Financial LLC Added +262,769+262.8k
VERUS CAPITAL PARTNERS, LLC Added +191,787+191.8k
MORGAN STANLEY Added +168,552+168.6k
Cambridge Investment Research Advisors, Inc. Added +108,672+108.7k
Almanack Investment Partners, LLC. New +94,244+94.2k
IFP Advisors, Inc Added +93,899+93.9k
PETRA FINANCIAL ADVISORS INC Added +69,302+69.3k
RAYMOND JAMES & ASSOCIATES Added +57,314+57.3k
MML INVESTORS SERVICES, LLC Added +50,699+50.7k

Biggest sellers

Prime Capital Investment Advisors, LLC Reduced -382,953-383.0k
COHEN & STEERS, INC. Reduced -234,976-235.0k
Samalin Investment Counsel, LLC Sold out -74,013-74.0k
Tennessee Valley Asset Management Partners Reduced -49,482-49.5k
Baird Financial Group, Inc. Reduced -29,897-29.9k
Kestra Advisory Services, LLC Reduced -22,627-22.6k
MIDLAND WEALTH ADVISORS, LLC Sold out -20,807-20.8k
Aviance Capital Partners, LLC Sold out -20,592-20.6k
FIRST FOUNDATION ADVISORS Sold out -19,450-19.4k
Capital Wealth Alliance, LLC Sold out -19,093-19.1k

Insider purchases and sales in Q3 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
202Q4 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 24Q2 24: 0 buyingQ2 24: 0 sellingQ3 24: 1 buyingQ3 24: 1 sellingQ3 24
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
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—
Q2 20240—0——
Q3 20241$14.5k1$87.9k—
DateInsiderTradeSharesPrice ValueTheir holding
2024-09-03 Brock-Kyle Angela Director Bought 944 $15.37 $14.5k944 shares +63%
2024-07-02 Barnes Randall C Director Sold 5,849 $15.02 $87.9k5.8k 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, Q3 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 7,308,7427.3m $115.2m $115.2m 0.01% Added +168.6k +168,552
2 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 1,592,3131.6m $25.1m $25.1m 0.01% Added +262.8k +262,769
3 UBS Group AG 0.01% of their portfolio ZURICH, V8 1,210,1141.2m $19.1m $19.1m 0.01% Added +42.2k +42,188
4 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 806,672806.7k $12.7m $12.7m 0.00% Added +31.1k +31,104
5 VERUS CAPITAL PARTNERS, LLC 1.11% of their portfolio SCOTTSDALE, AZ 720,544720.5k $11.4m $11.4m 1.11% Added +191.8k +191,787
6 Prime Capital Investment Advisors, LLC 0.15% of their portfolio OVERLAND PARK, KS 686,319686.3k $10.8m $10.8m 0.15% Reduced -383.0k -382,953
7 CreativeOne Wealth, LLC 0.30% of their portfolio OVERLAND PARK, KS 559,378559.4k $8.8m $8.8m 0.30% Added +34.7k +34,720
8 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 530,890530.9k $8.4m $8.4m 0.02% Added +7.8k +7,838
9 COHEN & STEERS, INC. 0.01% of their portfolio NEW YORK, NY 499,964500.0k $7.9m $7.9m 0.01% Reduced -235.0k -234,976
10 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.08% of their portfolio ORLANDO, FL 473,596473.6k $30.1k $30.1k 0.08% Added +443.6k +443,567
11 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 465,501465.5k $7.3m $7.3m 0.02% Added +108.7k +108,672
12 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 456,295456.3k $7.2m $7.2m 0.01% Reduced -1.7k -1,714
13 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 449,136449.1k $7.1m $7.1m 0.00% Added +37.0k +37,028
14 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 368,244368.2k $5.8m $5.8m 0.01% Reduced -18.7k -18,740
15 PETRA FINANCIAL ADVISORS INC 3.52% of their portfolio COLORADO SRPINGS, CO 338,086338.1k $5.3m $5.3m 3.52% Added +69.3k +69,302
16 Secure Asset Management, LLC 0.89% of their portfolio Troy, MI 333,988334.0k $5.3m $5.3m 0.89% Added +1.3k +1,284
17 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 320,347320.3k $5.0m $5.0m 0.00% Added +7.7k +7,687
18 TrueMark Investments, LLC 1.49% of their portfolio CHICAGO, IL 295,585295.6k $4.7m $4.7m 1.49% Reduced -5.5k -5,468
19 MML INVESTORS SERVICES, LLC 0.02% of their portfolio SPRINGFIELD, MA 293,078293.1k $4.6m $4.6m 0.02% Added +50.7k +50,699
20 Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors 0.69% of their portfolio CONCORD, MA 287,696287.7k $4.5m $4.5m 0.69% Reduced -3.0k -3,045
21 Richmond Brothers, Inc. 2.77% of their portfolio JACKSON, MI 284,710284.7k $4.5m $4.5m 2.77% Reduced -12.1k -12,114
22 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 279,267279.3k $4.4m $4.4m 0.01% Added +20.9k +20,895
23 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 260,561260.6k $4.1m $4.1m 0.01% Reduced -5.6k -5,601
24 MOSAIC FAMILY WEALTH PARTNERS, LLC 0.50% of their portfolio ST. LOUIS, MO 214,881214.9k $3.4m $3.4m 0.50% Added +16.7k +16,748
25 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 214,503214.5k $3.4m $3.4m 0.01% Reduced -29.9k -29,897
26 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 201,926201.9k $3.2m $3.2m 0.00% Added +57.3k +57,314
27 Marks Group Wealth Management, Inc 0.30% of their portfolio MINNETONKA, MN 196,262196.3k $3.1m $3.1m 0.30% Added +416 +416
28 WEDBUSH SECURITIES INC 0.11% of their portfolio PASADENA, CA 183,350183.3k $2.9m $2.9m 0.11% Added +16.6k +16,612
29 CAPTRUST FINANCIAL ADVISORS 0.01% of their portfolio RALEIGH, NC 177,692177.7k $2.8m $2.8m 0.01% Reduced -10.4k -10,363
30 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 148,885148.9k $2.3m $2.3m 0.00% Reduced -1.3k -1,269
31 Integrated Wealth Concepts LLC 0.03% of their portfolio WALTHAM, MA 146,262146.3k $2.3m $2.3m 0.03% Added +4.5k +4,472
32 PRINCIPAL SECURITIES, INC. 0.05% of their portfolio DES MOINES, IA 125,886125.9k $2.0m $2.0m 0.05% Added +17.7k +17,720
33 IFP Advisors, Inc 0.07% of their portfolio TAMPA, FL 125,727125.7k $2.0m $2.0m 0.07% Added +93.9k +93,899
34 Founders Financial Alliance, LLC 0.49% of their portfolio RALEIGH, NC 112,387112.4k $1.8m $1.8m 0.49% Added +11.4k +11,393
35 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 108,886108.9k $1.7m $1.7m 0.01% Added +2.7k +2,736
36 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 101,476101.5k $1.6m $1.6m 0.02% Added +912 +912
37 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 99,64299.6k $1.6m $1.6m 0.01% Reduced -562 -562
38 Mutual Advisors, LLC 0.04% of their portfolio OMAHA, NE 95,33295.3k $1.5m $1.5m 0.04% Reduced -7.2k -7,241
39 Almanack Investment Partners, LLC. 0.23% of their portfolio WAYNE, PA 94,24494.2k $1.5m $1.5m 0.23% New
40 Sowell Financial Services LLC 0.07% of their portfolio NORTH LITTLE ROCK, AR 92,51092.5k $1.5m $1.5m 0.07% Reduced -5.5k -5,515
41 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 82,72282.7k $1.3m $1.3m 0.01% Added +2.7k +2,658
42 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 81,81981.8k $1.3m $1.3m 0.00% Added +19.7k +19,737
43 Sigma Planning Corp 0.04% of their portfolio ANN ARBOR, MI 76,84976.8k $1.2m $1.2m 0.04% Added +1.2k +1,156
44 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 75,36375.4k $1.2m $1.2m 0.00% Reduced -5.7k -5,694
45 Tennessee Valley Asset Management Partners 0.20% of their portfolio KNOXVILLE, TN 75,16275.2k $1.2m $1.2m 0.20% Reduced -49.5k -49,482
46 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 74,93274.9k $1.2m $1.2m 0.01% Added +336 +336
47 PFG Investments, LLC 0.08% of their portfolio WOODBURY, NY 74,03074.0k $1.2m $1.2m 0.08% Added +25.5k +25,549
48 Brookstone Capital Management 0.02% of their portfolio WHEATON, IL 68,52968.5k $1.1m $1.1m 0.02% Reduced -2.2k -2,194
49 RAYMOND JAMES TRUST N.A. 0.02% of their portfolio ST. PETERSBURG, FL 65,79165.8k $1.0m $1.0m 0.02% Added +17.5k +17,460
50 DAVENPORT & Co LLC 0.01% of their portfolio RICHMOND, VA 65,62365.6k $1.0m $1.0m 0.01% Added +17.6k +17,622
51 Dynamic Advisor Solutions LLC 0.03% of their portfolio PHOENIX, AZ 62,72962.7k $988.6k $988.6k 0.03% Added +2.0k +1,976
52 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 57,92857.9k $913.0k $913.0k 0.00% Added +12.6k +12,592
53 Parisi Gray Wealth Management 0.29% of their portfolio MENDHAM, NJ 56,18156.2k $885.4k $885.4k 0.29% Unchanged
54 David J Yvars Group 0.54% of their portfolio UNIVERSITY PARK, FL 56,14156.1k $879.3k $879.3k 0.54% Reduced -79 -79
55 CHOREO, LLC 0.01% of their portfolio ROCKFORD, IL 55,30855.3k $872.2k $872.2k 0.01% Added +1.9k +1,889
56 Ausdal Financial Partners, Inc. 0.08% of their portfolio Davenport, IA 49,74849.7k $784.0k $784.0k 0.08% Added +6.5k +6,496
57 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 49,63949.6k $784.6k $784.6k 0.02% Reduced -3.1k -3,128
58 PENSION & WEALTH MANAGEMENT ADVISORS, INC. 0.39% of their portfolio WALTHAM, MA 48,46648.5k $763.8k $763.8k 0.39% Added +952 +952
59 Garden State Investment Advisory Services LLC 0.24% of their portfolio Red Bank, NJ 48,32448.3k $761.6k $761.6k 0.24% Added +530 +530
60 CoreCap Advisors, LLC 0.03% of their portfolio SOUTHFIELD, MI 42,53742.5k $670.4k $670.4k 0.03% Reduced -1.6k -1,588
61 Sanctuary Advisors, LLC 0.00% of their portfolio INDIANAPOLIS, IN 39,64639.6k $628.8k $628.8k 0.00% Added +476 +476
62 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 39,63939.6k $624.7k $624.7k 0.01% Added +2.6k +2,621
63 Western Wealth Management, LLC 0.03% of their portfolio GOLDEN, CO 37,70537.7k $594.2k $594.2k 0.03% Reduced -3.4k -3,393
64 Capital Market Strategies LLC 0.35% of their portfolio PALM BEACH GARDENS, FL 36,95037.0k $582.3k $582.3k 0.35% Added +3.3k +3,280
65 Focus Financial Network, Inc. 0.02% of their portfolio MINNEAPOLIS, MN 36,55036.5k $576.0k $576.0k 0.02% Added +1.6k +1,604
66 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 36,02236.0k $567.7k $567.7k 0.01% New
67 Bison Wealth, LLC 0.09% of their portfolio Atlanta, GA 34,79534.8k $548.4k $548.4k 0.09% Added +18.0k +18,009
68 Semus Wealth Partners LLC 0.38% of their portfolio Boca Raton, FL 34,38634.4k $541.9k $541.9k 0.38% Reduced -11.2k -11,160
69 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 34,15634.2k $538.3k $538.3k 0.00% Added +18.4k +18,409
70 Patriot Financial Group Insurance Agency, LLC 0.07% of their portfolio Westborough, MA 32,42732.4k $511.1k $511.1k 0.07% Reduced -2.0k -1,990
71 Retirement Planning Group, LLC 0.03% of their portfolio LEAWOOD, KS 32,27532.3k $508.7k $508.7k 0.03% Added +630 +630
72 Stratos Wealth Partners, LTD. 0.01% of their portfolio BEACHWOOD, OH 32,14432.1k $506.6k $506.6k 0.01% New
73 GPS Wealth Strategies Group, LLC 0.07% of their portfolio CENTENNIAL, CO 31,50431.5k $496.5k $496.5k 0.07% Unchanged
74 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 30,37030.4k $478.6k $478.6k 0.00% Reduced -154 -154
75 WFA Asset Management Corp 0.23% of their portfolio WHITEFISH BAY, WI 27,03827.0k $426.1k $426.1k 0.23% Added +5.4k +5,378
76 Compound Planning, Inc. 0.03% of their portfolio NEW YORK, NY 27,01327.0k $425.7k $425.7k 0.03% Added +1.4k +1,380
77 Disciplined Investments, LLC 0.21% of their portfolio TULSA, OK 26,50026.5k $417.6k $417.6k 0.21% Added +6.5k +6,500
78 Main Street Financial Solutions, LLC 0.04% of their portfolio NEWTOWN, PA 26,31826.3k $414.8k $414.8k 0.04% Added +1.5k +1,527
79 Merit Financial Group, LLC 0.01% of their portfolio ALPHARETTA, GA 24,73224.7k $389.8k $389.8k 0.01% Added +372 +372
80 JB Capital LLC 0.02% of their portfolio WETHERSFIELD, CT 24,49724.5k $386.1k $386.1k 0.02% Added +97 +97
81 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 24,32324.3k $383.0k $383.0k 0.00% Reduced -5.4k -5,356
82 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 23,80623.8k $375.2k $375.2k 0.00% Reduced -22.6k -22,627
83 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 23,57123.6k $371.5k $371.5k 0.00% Added +925 +925
84 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 23,50823.5k $370.5k $370.5k 0.00% Added +275 +275
85 INSIGNEO ADVISORY SERVICES, LLC 0.04% of their portfolio MIAMI, FL 23,38223.4k $368.5k $368.5k 0.04% Added +3.0k +3,002
86 Quad-Cities Investment Group, LLC 0.18% of their portfolio DAVENPORT, IA 23,31223.3k $367.4k $367.4k 0.18% Added +743 +743
87 COMERICA BANK 0.00% of their portfolio DALLAS, TX 21,49521.5k $338.8k $338.8k 0.00% Added +93 +93
88 9258 Wealth Management, LLC 0.05% of their portfolio BLUE ASH, OH 21,25921.3k $335.0k $335.0k 0.05% Reduced -671 -671
89 Encompass More Asset Management 0.13% of their portfolio Danville, CA 21,22921.2k $334.6k $334.6k 0.13% New
90 LVZ, Inc. 0.04% of their portfolio Holland, MI 20,71520.7k $326.5k $326.5k 0.04% Unchanged
91 Buska Wealth Management, LLC 0.11% of their portfolio WAUSAU, WI 20,42820.4k $322.0k $322.0k 0.11% New
92 Wagner Wealth Management, LLC 0.09% of their portfolio GREENVILLE, SC 20,28320.3k $319.7k $319.7k 0.09% New
93 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 20,07220.1k $316.3k $316.3k 0.01% Reduced -305 -305
94 Strategic Financial Concepts, LLC 0.10% of their portfolio SAN ANTONIO, TX 19,97120.0k $314.7k $314.7k 0.10% Added +16.7k +16,710
95 Jacobi Capital Management LLC 0.02% of their portfolio PITTSTON, PA 19,20019.2k $302.6k $302.6k 0.02% Added +3.6k +3,565
96 Virtu Financial LLC 0.02% of their portfolio New York, NY 18,76718.8k $296.0k $296.0k 0.02% Reduced -1.3k -1,293
97 Capital CS Group, LLC 0.34% of their portfolio IRVINE, CA 17,63217.6k $277.9k $277.9k 0.34% Added +573 +573
98 Vantage Financial Partners, LLC 0.06% of their portfolio ELM GROVE, WI 16,28916.3k $256.7k $256.7k 0.06% Reduced -2.3k -2,337
99 Perennial Investment Advisors, LLC 0.03% of their portfolio Los Angeles, CA 15,72915.7k $247.9k $247.9k 0.03% Unchanged
100 FLYNN ZITO CAPITAL MANAGEMENT, LLC 0.11% of their portfolio GARDEN CITY, NY 14,77114.8k $232.8k $232.8k 0.11% Unchanged