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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
$33.7M -$538K -34,212 -2%
GC
2
Guggenheim Capital
Illinois
$15.7M
Cohen & Steers
3
Cohen & Steers
New York
$15.6M
Baird Financial Group
4
Baird Financial Group
Wisconsin
$11.5M +$476K +30,252 +5%
Bank of America
5
Bank of America
North Carolina
$9.93M -$1.12M -71,026 -11%
Royal Bank of Canada
6
Royal Bank of Canada
Ontario, Canada
$8.62M +$305K +19,376 +4%
AAM
7
Advisors Asset Management
Colorado
$8.07M +$1.64M +104,264 +27%
PCM
8
Penserra Capital Management
California
$4.95M +$4.71M +299,198 New
Wells Fargo
9
Wells Fargo
California
$4.19M -$369K -23,442 -8%
RJA
10
Raymond James & Associates
Florida
$4.13M +$1.28M +81,042 +48%
Pathstone Holdings
11
Pathstone Holdings
New Jersey
$3.65M -$609K -38,698 -15%
RJFSA
12
Raymond James Financial Services Advisors
Florida
$2.96M +$794K +50,422 +39%
CA
13
Corrado Advisors
New Jersey
$2.84M -$58.2K -3,700 -2%
OC
14
Oppenheimer & Co
New York
$1.21M -$209K -13,250 -15%
Kovitz Investment Group Partners
15
Kovitz Investment Group Partners
Illinois
$1.13M +$1.09M +69,419 New
Osaic Holdings
16
Osaic Holdings
Arizona
$997K -$55.9K -3,549 -6%
Stifel Financial
17
Stifel Financial
Missouri
$907K +$124K +7,896 +17%
JSW
18
Journey Strategic Wealth
New Jersey
$761K -$348K -22,100 -32%
JWCA
19
J.W. Cole Advisors
Florida
$660K -$49.8K -3,165 -7%
Rockefeller Capital Management
20
Rockefeller Capital Management
New York
$539K +$512K +32,559 New
PI
21
PFG Investments
New York
$527K
USCWA
22
U.S. Capital Wealth Advisors
Texas
$444K -$722K -45,900 -63%
DC
23
Davenport & Co
Virginia
$434K +$39.3K +2,500 +11%
Envestnet Asset Management
24
Envestnet Asset Management
Illinois
$405K +$28K +1,780 +8%
CIA
25
Concurrent Investment Advisors
Florida
$387K +$126K +8,004 +52%