Purchases and Sales Made in Q3 2025 in Guggenheim Active Allocation Fund (GUG)
This table provides information about the institutional ownership of Guggenheim Active Allocation Fund (GUG) during Q3 2025. The information is specifically focused on institutions that hold shares of Guggenheim Active Allocation Fund.
| Report Date | Institution (Fund) | Operation | Option | Shares change | Value Range | Shares Held | Trade History |
|---|---|---|---|---|---|---|---|
|
Nov 14, 2025
Q3 2025
|
Morgan Stanley
New York, NY |
BUY
|
- |
197K+ 7.64% |
$3M - $3.21M
|
2.78M
$42.1M
|
|
|
Nov 13, 2025
Q3 2025
|
Pathstone Holdings, LLC
Englewood, NJ |
BUY
|
- |
127K+ 16.43% |
$1.93M - $2.06M
|
898K
$13.6M
|
|
|
Nov 06, 2025
Q3 2025
|
Advisors Asset Management, Inc.
Monument, CO |
BUY
|
- |
96K+ 12.01% |
$1.46M - $1.56M
|
895K
$13.6M
|
|
|
Nov 12, 2025
Q3 2025
|
Steward Partners Investment Advisory, LLC
|
BUY
|
- |
45.1K+ 59.47% |
$685K - $733K
|
121K
$1.83M
|
|
|
Oct 15, 2025
Q3 2025
|
Pensionmark Financial Group, LLC
Santa Barbara, CA |
BUY
|
- |
30.2KNew |
$458K - $490K
|
30.2K
$457K
|
|
|
Nov 14, 2025
Q3 2025
|
Raymond James Financial Inc
St. Petersburg, FL |
BUY
|
- |
26.3K+ 4.05% |
$400K - $427K
|
676K
$10.3M
|
|
|
Nov 13, 2025
Q3 2025
|
Wells Fargo & Company
San Francisco, CA |
BUY
|
- |
19.9K+ 7.76% |
$302K - $323K
|
276K
$4.18M
|
|
|
Nov 14, 2025
Q3 2025
|
Royal Bank Of Canada
Toronto, A6 |
BUY
|
- |
16.3K+ 3.17% |
$248K - $265K
|
532K
$8.07M
|
|
|
Nov 14, 2025
Q3 2025
|
Creative Planning
Overland Park, KS |
BUY
|
- |
13.9KNew |
$211K - $226K
|
13.9K
$211K
|
|
|
Nov 13, 2025
Q3 2025
|
Invesco Ltd.
Atlanta, GA |
BUY
|
- |
13.7K+ 22.7% |
$208K - $223K
|
74.1K
$1.12M
|
|
|
Oct 27, 2025
Q3 2025
|
Concurrent Investment Advisors, LLC
Tampa, FL |
BUY
|
- |
8.37K+ 29.94% |
$127K - $136K
|
36.3K
$551K
|
|
|
Nov 14, 2025
Q3 2025
|
Cohen & Steers, Inc.
New York, NY |
BUY
|
- |
7K+ 0.94% |
$106K - $114K
|
748K
$11.3M
|
|
|
Oct 21, 2025
Q3 2025
|
Golden State Equity Partners
South Coast Metro, CA |
BUY
|
- |
5.61K+ 14.11% |
$85.2K - $91.1K
|
45.3K
$688K
|
|
|
Nov 03, 2025
Q3 2025
|
Corrado Advisors, LLC
Ramsey, NJ |
BUY
|
- |
5.15K+ 3.08% |
$78.3K - $83.7K
|
172K
$2.61M
|
|
|
Nov 12, 2025
Q3 2025
|
Mgb Wealth Management, LLC
Addison, TX |
BUY
|
- |
4.99K+ 45.66% |
$75.8K - $81K
|
15.9K
$241K
|
|
|
Nov 12, 2025
Q3 2025
|
Lpl Financial LLC
Fort Mill, SC |
BUY
|
- |
2.31K+ 9.31% |
$35.1K - $37.5K
|
27.1K
$412K
|
|
|
Nov 13, 2025
Q3 2025
|
Kestra Advisory Services, LLC
|
BUY
|
- |
2.25K+ 2.34% |
$34.2K - $36.5K
|
98.5K
$1.49M
|
|
|
Jan 05, 2026
Q3 2025
|
Noble Wealth Management Pbc
Greenwood Village, CO |
BUY
|
- |
2K+ 285.71% |
$30.4K - $32.5K
|
2.7K
$41K
|
|
|
Oct 28, 2025
Q3 2025
|
Aviance Capital Partners, LLC
Naples, FL |
BUY
|
- |
1.66K+ 5.76% |
$25.2K - $27K
|
30.5K
$462K
|
|
|
Nov 07, 2025
Q3 2025
|
Jpmorgan Chase & CO
New York, NY |
BUY
|
- |
1.65K+ 299.82% |
$25.1K - $26.8K
|
2.2K
$33.4K
|
|
|
Nov 14, 2025
Q3 2025
|
Cetera Investment Advisers
Schaumburg, IL |
BUY
|
- |
1.33K+ 6.11% |
$20.2K - $21.6K
|
23.1K
$350K
|
|
|
Nov 13, 2025
Q3 2025
|
Morse Asset Management, Inc
Darien, CT |
BUY
|
- |
1.31KNew |
$19.9K - $21.3K
|
1.31K
$19.9K
|
|
|
Nov 04, 2025
Q3 2025
|
J.W. Cole Advisors, Inc.
|
BUY
|
- |
993+ 2.59% |
$15.1K - $16.1K
|
39.4K
$598K
|
|
|
Nov 14, 2025
Q3 2025
|
Rockefeller Capital Management L.P.
New York, NY |
BUY
|
- |
498+ 2.3% |
$7.57K - $8.09K
|
22.1K
$336K
|
|
|
Oct 15, 2025
Q3 2025
|
Davenport & CO LLC
|
BUY
|
- |
321+ 1.34% |
$4.88K - $5.22K
|
24.3K
$369K
|
|
|
Nov 14, 2025
Q3 2025
|
New Edge Advisors, LLC
New Orleans, LA |
BUY
|
- |
150New |
$2.28K - $2.44K
|
150
$2.28K
|
|
|
Oct 22, 2025
Q3 2025
|
Commonwealth Equity Services, LLC
|
SELL
|
- |
-359- 2.98% |
$5.46K - $5.83K
|
11.7K
$178K
|
|
|
Nov 12, 2025
Q3 2025
|
Brinker Capital Investments, LLC
|
SELL
|
- |
-525- 4.59% |
$7.98K - $8.53K
|
10.9K
$166K
|
|
|
Nov 05, 2025
Q3 2025
|
Oppenheimer & CO Inc
New York, NY |
SELL
|
- |
-1.46K- 1.61% |
$22.2K - $23.7K
|
89.5K
$1.36M
|
|
|
Nov 06, 2025
Q3 2025
|
Wedbush Securities Inc
|
SELL
|
- |
-1.56K- 10.28% |
$23.7K - $25.3K
|
13.6K
$206K
|
|
|
Nov 12, 2025
Q3 2025
|
Kingsview Wealth Management, LLC
Grants Pass, OR |
SELL
|
- |
-1.73K- 9.05% |
$26.2K - $28K
|
17.3K
$263K
|
|
|
Nov 14, 2025
Q3 2025
|
Advisor Group Holdings, Inc.
Phoenix, AZ |
SELL
|
- |
-2K- 3.83% |
$30.4K - $32.5K
|
50.3K
$763K
|
|
|
Nov 04, 2025
Q3 2025
|
Envestnet Asset Management Inc
|
SELL
|
- |
-4.02K- 12.36% |
$61.1K - $65.3K
|
28.5K
$432K
|
|
|
Nov 14, 2025
Q3 2025
|
Walleye Capital LLC
Plymouth, MN |
SELL
|
- |
-4.72K- 29.12% |
$71.8K - $76.7K
|
11.5K
$174K
|
|
|
Nov 14, 2025
Q3 2025
|
Wetherby Asset Management Inc
San Francisco, CA |
SELL
|
- |
-12.4K- 52.39% |
$188K - $201K
|
11.2K
$170K
|
|
|
Oct 09, 2025
Q3 2025
|
U.S. Capital Wealth Advisors, LLC
Austin, TX |
SELL
|
- |
-12.4K- 46.27% |
$188K - $202K
|
14.4K
$218K
|
|
|
Nov 12, 2025
Q3 2025
|
Stifel Financial Corp
St. Louis, MO |
SELL
|
- |
-16.1K- 24.56% |
$245K - $262K
|
49.5K
$751K
|
|
|
Nov 10, 2025
Q3 2025
|
Kovitz Investment Group Partners, LLC
|
SELL
|
- |
-24.9K- 13.46% |
$379K - $405K
|
160K
$2.43M
|
|
|
Nov 13, 2025
Q3 2025
|
Ubs Group Ag
|
SELL
|
- |
-40.2K- 68.4% |
$611K - $653K
|
18.6K
$282K
|
|
|
Nov 13, 2025
Q3 2025
|
Baird Financial Group, Inc.
Milwaukee, WI |
SELL
|
- |
-89K- 11.39% |
$1.35M - $1.45M
|
692K
$10.5M
|
|
|
Nov 14, 2025
Q3 2025
|
Bank Of America Corp
Charlotte, NC |
SELL
|
- |
-243K- 26.34% |
$3.69M - $3.94M
|
678K
$10.3M
|
|