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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
$35.8M +$5.86M +373,759 +18%
GC
2
Guggenheim Capital
Illinois
$14.1M
Cohen & Steers
3
Cohen & Steers
New York
$11.7M -$2.48M -158,102 -17%
Baird Financial Group
4
Baird Financial Group
Wisconsin
$10.9M +$639K +40,723 +6%
AAM
5
Advisors Asset Management
Colorado
$8.86M +$1.69M +108,044 +22%
Bank of America
6
Bank of America
North Carolina
$8.57M -$367K -23,385 -4%
Raymond James Financial
7
Raymond James Financial
Florida
$7.53M +$7.95M +506,700 New
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$6.87M -$915K -58,357 -11%
Pathstone Holdings
9
Pathstone Holdings
New Jersey
$4.89M +$1.7M +108,115 +49%
PCM
10
Penserra Capital Management
California
$4.77M +$339K +21,616 +7%
Wells Fargo
11
Wells Fargo
California
$3.74M -$20.9K -1,334 -0.5%
CA
12
Corrado Advisors
New Jersey
$2.39M -$171K -10,914 -6%
Kovitz Investment Group Partners
13
Kovitz Investment Group Partners
Illinois
$2.35M +$1.39M +88,456 +127%
KAS
14
Kestra Advisory Services
Texas
$1.43M +$1.51M +96,110 New
OC
15
Oppenheimer & Co
New York
$1.25M +$164K +10,450 +14%
Stifel Financial
16
Stifel Financial
Missouri
$821K +$6.26K +399 +0.7%
Osaic Holdings
17
Osaic Holdings
Arizona
$813K -$87K -5,548 -9%
UBS Group
18
UBS Group
Switzerland
$729K +$564K +35,923 +274%
JWCA
19
J.W. Cole Advisors
Florida
$648K +$58.9K +3,754 +9%
JSW
20
Journey Strategic Wealth
New Jersey
$552K -$139K -8,850 -19%
Walleye Capital
21
Walleye Capital
New York
$503K +$530K +33,815 New
HighTower Advisors
22
HighTower Advisors
Illinois
$481K +$507K +32,336 New
MG
23
Marex Group
$472K +$498K +31,739 New
USCWA
24
U.S. Capital Wealth Advisors
Texas
$399K
CIA
25
Concurrent Investment Advisors
Florida
$395K +$49.7K +3,169 +14%