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GUG

Guggenheim Active Allocation Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$41.7M +$25.9M +1,416,187 +139%
Bank of America
2
Bank of America
North Carolina
$4.42M +$1.7M +93,292 +57%
CA
3
Corrado Advisors
New Jersey
$3.95M +$4.21M +230,348 New
Cohen & Steers
4
Cohen & Steers
New York
$2.23M +$2.38M +130,200 New
RCM
5
Rivernorth Capital Management
Florida
$1.69M +$1.78M +97,551 New
USCWA
6
U.S. Capital Wealth Advisors
Texas
$989K +$1.05M +57,732 New
Wells Fargo
7
Wells Fargo
California
$972K +$671K +36,726 +184%
OC
8
Oppenheimer & Co
New York
$959K +$1.02M +56,000 New
BRWA
9
B. Riley Wealth Advisors
Florida
$243K +$259K +14,170 New
Stifel Financial
10
Stifel Financial
Missouri
$193K +$206K +11,281 New
Walleye Capital
11
Walleye Capital
New York
$184K +$196K +10,737 New
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$144K +$152K +8,300 +6,640%
Rockefeller Capital Management
13
Rockefeller Capital Management
New York
$68K +$73.1K +4,000 New
UBS Group
14
UBS Group
Switzerland
$10K +$10.7K +584 New
MW
15
Marcum Wealth
Ohio
-$499K -25,000 Closed