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GGM

GUGGENHEIM CREDIT ALLOCATION FUND
GGM

Delisted

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

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Name Holding Trade Value Shares
Change 		Change in
Stake
Royal Bank of Canada
1
Royal Bank of Canada
Ontario, Canada
$3M +$17.2K +918 +0.5%
UBS Group
2
UBS Group
Switzerland
$1.91M +$424K +22,560 +21%
Invesco
3
Invesco
Georgia
$976K -$41.2K -2,193 -3%
Osaic Holdings
4
Osaic Holdings
Arizona
$946K +$1.19M +63,329 New
MAFM
5
Mid Atlantic Financial Management
Pennsylvania
$940K +$153K +8,145 +15%
LCM
6
Landscape Capital Management
New Jersey
$536K +$674K +35,907 New
Cambridge Investment Research Advisors
7
Cambridge Investment Research Advisors
Iowa
$471K +$58.7K +3,128 +11%
SIA
8
Sit Investment Associates
Minnesota
$461K +$256K +13,614 +79%
HighTower Advisors
9
HighTower Advisors
Illinois
$408K +$56 +3 +0%
CRC
10
Curi RMB Capital
Illinois
$355K +$446K +23,759 New
Cetera Investment Advisers
11
Cetera Investment Advisers
Illinois
$316K +$37.9K +2,017 +11%
IWM
12
IHT Wealth Management
Illinois
$291K +$105K +5,582 +40%
Truist Financial
13
Truist Financial
North Carolina
$265K -$40.2K -2,141 -11%
SFS
14
Shaker Financial Services
Virginia
$257K +$323K +17,224 New
LPL Financial
15
LPL Financial
California
$195K +$16.1K +855 +7%
KA
16
Kovack Advisors
Florida
$186K +$234K +12,450 New
Morgan Stanley
17
Morgan Stanley
New York
$183K -$32.3K -1,722 -12%
PGWM
18
Parisi Gray Wealth Management
New Jersey
$164K +$207K +11,000 New
Bank of America
19
Bank of America
North Carolina
$130K +$128K +6,800 +353%
Wells Fargo
20
Wells Fargo
California
$85K +$55.3K +2,947 +106%
WAM
21
Wolverine Asset Management
Illinois
$85K +$108K +5,751 New
BFEC
22
Benjamin F. Edwards & Company
Missouri
$48K – – –
GWM
23
Geneos Wealth Management
Colorado
$29K +$9.39K +500 +34%
Northwestern Mutual Wealth Management
24
Northwestern Mutual Wealth Management
Wisconsin
$25K – – –
FWM
25
FSA Wealth Management
Massachusetts
$4K +$5.63K +300 New
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