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GGM

GUGGENHEIM CREDIT ALLOCATION FUND
GGM

Delisted

GGM was delisted on the 22nd of October, 2021.

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20 hedge funds and large institutions have $14.5M invested in GUGGENHEIM CREDIT ALLOCATION FUND in 2016 Q4 according to their latest regulatory filings, with 3 funds opening new positions, 5 increasing their positions, 6 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed

1% more capital invested

Capital invested by funds: $14.4M → $14.5M (+$138K)

0% more funds holding

Funds holding: 20 → 20 (0)

0% more first-time investments, than exits

New positions opened: 3 | Existing positions closed: 3

17% less repeat investments, than reductions

Existing positions increased: 5 | Existing positions reduced: 6

Holders
20
Holders Change
–
Holders Change %
0%
% of All Funds
0.5%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
3
Increased
5
Reduced
6
Closed
3
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
SFS
Shaker Financial Services
Virginia
+$1.02M
2
LPL Financial
LPL Financial
California
+$714K
3
DA
Doliver Advisors
Texas
+$425K
4
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
+$262K
5
Morgan Stanley
Morgan Stanley
New York
+$176K

Top Sellers

1
RFWA
RPg Family Wealth Advisory
Massachusetts
-$2.2M
2
Stifel Financial
Stifel Financial
Missouri
-$226K
3
Invesco
Invesco
Georgia
-$157K
4
LTFS
Ladenburg Thalmann Financial Services
Florida
-$51.8K
5
Bank of America
Bank of America
North Carolina
-$42.6K
Name Holding Trade Value Shares
Change 		Change in
Stake
UBS Group
1
UBS Group
Switzerland
$4.01M +$45.1K +2,095 +1%
Bessemer Group
2
Bessemer Group
New Jersey
$2.09M – – –
SFS
3
Shaker Financial Services
Virginia
$1.05M +$1.02M +47,137 New
SPC
4
Sigma Planning Corp
Michigan
$1.01M -$40.6K -1,885 -4%
BTS
5
BB&T Securities
Virginia
$936K – – –
GC
6
Guggenheim Capital
Illinois
$804K – – –
Invesco
7
Invesco
Georgia
$792K -$157K -7,292 -17%
RJA
8
Raymond James & Associates
Florida
$746K -$17K -787 -2%
LPL Financial
9
LPL Financial
California
$739K +$714K +33,142 New
HighTower Advisors
10
HighTower Advisors
Illinois
$442K – – –
DA
11
Doliver Advisors
Texas
$441K +$425K +19,732 New
Cetera Investment Advisers
12
Cetera Investment Advisers
Illinois
$410K +$87.5K +4,062 +29%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$387K +$262K +12,136 +235%
Morgan Stanley
14
Morgan Stanley
New York
$312K +$176K +8,175 +141%
Bank of America
15
Bank of America
North Carolina
$236K -$42.6K -1,977 -16%
Wells Fargo
16
Wells Fargo
California
$35K +$29.1K +1,352 +543%
MFS
17
MSI Financial Services
Massachusetts
$32K – – –
ECM
18
Estabrook Capital Management
New York
$23.5K – – –
RFWA
19
RPg Family Wealth Advisory
Massachusetts
$14.4K -$2.2M -102,095 -99%
LTFS
20
Ladenburg Thalmann Financial Services
Florida
$11K -$51.8K -2,406 -83%
BFEC
21
Benjamin F. Edwards & Company
Missouri
$6K – – –
Stifel Financial
22
Stifel Financial
Missouri
– -$226K -10,395 Closed
Citigroup
23
Citigroup
New York
– -$14K -650 Closed
TRCT
24
Tower Research Capital (TRC)
New York
– -$11K -478 Closed

GGM Hedge Fund Activity: Q4 2016 in Review

20 of the 4,000 institutional investors tracked by Wall St. Rank reported a position in GUGGENHEIM CREDIT ALLOCATION FUND (GGM) for Q4 2016, worth a combined $14.5M — up 0.96% from $14.4M a quarter earlier.

Fund positioning in GGM was balanced in Q4 2016: 3 funds opened new positions, 3 closed out, 5 added to existing stakes and 6 trimmed.

The largest buyer was Shaker Financial Services, opening a new position worth an estimated $1.02M. The largest seller was RPg Family Wealth Advisory, cutting an estimated $2.2M.

  • 20 institutional investors held GUGGENHEIM CREDIT ALLOCATION FUND (GGM) as of Q4 2016, unchanged from Q3 2016.
  • Funds reported $14.5M of GUGGENHEIM CREDIT ALLOCATION FUND stock for Q4 2016, up 0.96% quarter-over-quarter.
  • 3 funds opened new GUGGENHEIM CREDIT ALLOCATION FUND positions in Q4 2016 and 3 closed out, a net change of 0 holders.
  • The largest GUGGENHEIM CREDIT ALLOCATION FUND buyer in Q4 2016 was Shaker Financial Services, an estimated $1.02M added.
  • The largest GUGGENHEIM CREDIT ALLOCATION FUND seller in Q4 2016 was RPg Family Wealth Advisory, an estimated $2.2M sold.

Based on aggregated 13F filings for Q4 2016.