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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
$31.4M -$1.09M -74,284 -3%
Bank of America
2
Bank of America
North Carolina
$9.47M +$1.88M +127,692 +21%
RCM
3
Rivernorth Capital Management
Florida
$7.87M -$2.36M -160,483 -21%
Cohen & Steers
4
Cohen & Steers
New York
$6.06M +$2.61M +176,850 +60%
PCM
5
Penserra Capital Management
California
$5.11M +$5.84M +396,732 New
CA
6
Corrado Advisors
New Jersey
$2.92M -$126K -8,527 -4%
USCWA
7
U.S. Capital Wealth Advisors
Texas
$1.65M +$562K +38,115 +42%
Wells Fargo
8
Wells Fargo
California
$1.44M +$696K +47,257 +73%
RVPG
9
Relative Value Partners Group
$926K +$1.06M +71,857 New
OC
10
Oppenheimer & Co
New York
$877K
SCM
11
Saba Capital Management
New York
$595K +$680K +46,189 New
Millennium Management
12
Millennium Management
New York
$589K +$673K +45,666 New
H6H
13
Hightower 6M Holding
Kansas
$445K -$127K -8,634 -20%
BRWA
14
B. Riley Wealth Advisors
Florida
$411K +$276K +18,703 +143%
DC
15
Davenport & Co
Virginia
$232K +$21.6K +1,464 +9%
Royal Bank of Canada
16
Royal Bank of Canada
Ontario, Canada
$200K -$20.5K -1,389 -8%
IA
17
IFG Advisory
Georgia
$193K
Stifel Financial
18
Stifel Financial
Missouri
$148K +$840 +57 +0.5%
JSW
19
Journey Strategic Wealth
New Jersey
$143K +$163K +11,068 New
AWA
20
Arete Wealth Advisors
Illinois
$132K +$3.65K +248 +2%
EH
21
Equitable Holdings
New York
$131K
Jane Street
22
Jane Street
New York
$131K +$149K +10,139 New
PCG
23
Prosperity Consulting Group
Maryland
$129K +$147K +10,000 New
Rockefeller Capital Management
24
Rockefeller Capital Management
New York
$96K +$110K +7,500 New
Osaic Holdings
25
Osaic Holdings
Arizona
$57K +$65.1K +4,420 New