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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
$30.1M -$2.41M -169,088 -7%
Bank of America
2
Bank of America
North Carolina
$12.9M +$1.13M +79,334 +9%
RCM
3
Rivernorth Capital Management
Florida
$11M +$821K +57,633 +8%
NA
4
Nordwand Advisors
Pennsylvania
$9.99M +$1.94M +136,000 +24%
Cohen & Steers
5
Cohen & Steers
New York
$9.86M +$1.62M +113,797 +19%
SCM
6
Saba Capital Management
New York
$9.34M -$521K -36,565 -5%
GC
7
Guggenheim Capital
Illinois
$4.43M
PCM
8
Penserra Capital Management
California
$4.08M -$2.07M -145,188 -33%
Wells Fargo
9
Wells Fargo
California
$3.77M +$615K +43,191 +19%
RVPG
10
Relative Value Partners Group
$3.66M -$77.9K -5,471 -2%
LSC
11
Logan Stone Capital
Illinois
$3.4M -$267K -18,710 -7%
CA
12
Corrado Advisors
New Jersey
$2.62M +$73.8K +5,178 +3%
Baird Financial Group
13
Baird Financial Group
Wisconsin
$2.01M +$2.04M +143,502 New
USCWA
14
U.S. Capital Wealth Advisors
Texas
$1.68M -$27.8K -1,950 -2%
BRWA
15
B. Riley Wealth Advisors
Florida
$1.19M +$293K +20,542 +32%
OC
16
Oppenheimer & Co
New York
$1.09M +$107K +7,500 +11%
1CP
17
1607 Capital Partners
Virginia
$624K
HighTower Advisors
18
HighTower Advisors
Illinois
$532K +$543K +38,151 New
AAM
19
Advisors Asset Management
Colorado
$514K +$519K +36,424 +17,100%
AW
20
Atlas Wealth
Ohio
$420K -$49.7K -3,489 -10%
JWCA
21
J.W. Cole Advisors
Florida
$392K +$130K +9,161 +49%
RJA
22
Raymond James & Associates
Florida
$363K +$368K +25,825 New
DC
23
Davenport & Co
Virginia
$314K +$10.5K +737 +3%
AWA
24
Arete Wealth Advisors
Illinois
$297K +$152K +10,643 +101%
Royal Bank of Canada
25
Royal Bank of Canada
Ontario, Canada
$296K +$69.7K +4,894 +30%