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Guggenheim Active Allocation Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$35.7M +$1.24M +79,778 +3%
Rivernorth Capital Management
2
Rivernorth Capital Management
Florida
$11M +$10.5M +675,970 +693%
Bank of America
3
Bank of America
North Carolina
$8.62M +$5.42M +349,166 +135%
Cohen & Steers
4
Cohen & Steers
New York
$4.16M +$2.53M +162,994 +125%
Corrado Advisors
5
Corrado Advisors
New Jersey
$3.33M +$67.7K +4,361 +2%
Almitas Capital
6
Almitas Capital
California
$1.47M +$1.61M +103,464 New
U.S. Capital Wealth Advisors
7
U.S. Capital Wealth Advisors
Texas
$1.28M +$502K +32,300 +56%
Oppenheimer & Co
8
Oppenheimer & Co
New York
$966K +$186K +12,000 +21%
Wells Fargo
9
Wells Fargo
California
$919K +$125K +8,018 +14%
Hightower 6M Holding
10
Hightower 6M Holding
Kansas
$613K +$671K +43,178 New
B. Riley Wealth Management
11
B. Riley Wealth Management
Tennessee
$304K +$332K +21,374 New
UBS Group
12
UBS Group
Switzerland
$279K +$297K +19,123 +3,274%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$240K +$131K +8,466 +100%
Davenport & Co
14
Davenport & Co
Virginia
$235K +$257K +16,559 New
IFG Advisory
15
IFG Advisory
Georgia
$213K +$233K +15,000 New
B. Riley Wealth Advisors
16
B. Riley Wealth Advisors
Florida
$187K -$16.3K -1,050 -7%
Stifel Financial
17
Stifel Financial
Missouri
$162K +$2.1K +135 +1%
Equitable Holdings
18
Equitable Holdings
New York
$145K +$158K +10,185 New
Arete Wealth Advisors
19
Arete Wealth Advisors
Illinois
$142K +$155K +10,000 New
Harbour Investments
20
Harbour Investments
Wisconsin
$21K +$23.3K +1,500 New
Blue Bell Private Wealth Management
21
Blue Bell Private Wealth Management
Pennsylvania
$14K +$15.5K +1,000 New
Bessemer Group
22
Bessemer Group
New Jersey
$11K +$11.8K +762 New
Walleye Capital
23
Walleye Capital
New York
– -$184K -10,737 Closed
Rockefeller Capital Management
24
Rockefeller Capital Management
New York
– -$68K -4,000 Closed