Purchases and Sales Made in Q4 2023 in Guggenheim Active Allocation Fund (GUG)
This table provides information about the institutional ownership of Guggenheim Active Allocation Fund (GUG) during Q4 2023. 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 |
|---|---|---|---|---|---|---|---|
|
Feb 14, 2024
Q4 2023
|
Royal Bank Of Canada
Toronto, A6 |
BUY
|
- |
1.24M+ 1500.57% |
$15.9M - $18.3M
|
1.32M
$20.1M
|
|
|
Feb 14, 2024
Q4 2023
|
Baird Financial Group, Inc.
Milwaukee, WI |
BUY
|
- |
207K+ 100.31% |
$2.65M - $3.05M
|
414K
$6.28M
|
|
|
Feb 14, 2024
Q4 2023
|
Saba Capital Management, L.P.
New York, NY |
BUY
|
- |
189K+ 19.15% |
$2.42M - $2.79M
|
1.18M
$17.9M
|
|
|
Feb 14, 2024
Q4 2023
|
Pathstone Holdings, LLC
Englewood, NJ |
BUY
|
- |
149KNew |
$1.9M - $2.18M
|
149K
$2.25M
|
|
|
Feb 14, 2024
Q4 2023
|
Advisors Asset Management, Inc.
Monument, CO |
BUY
|
- |
125K+ 284.07% |
$1.6M - $1.84M
|
169K
$2.57M
|
|
|
Feb 14, 2024
Q4 2023
|
Ae Wealth Management LLC
|
BUY
|
- |
96.3KNew |
$1.23M - $1.42M
|
96.3K
$1.46M
|
|
|
Jan 24, 2024
Q4 2023
|
International Assets Investment Management, LLC
Orlando, FL |
BUY
|
- |
44KNew |
$562K - $647K
|
44K
$668K
|
|
|
Feb 12, 2024
Q4 2023
|
Relative Value Partners Group, LLC
Northbrook, IL |
BUY
|
- |
31.2K+ 14.55% |
$399K - $459K
|
246K
$3.73M
|
|
|
Jun 25, 2024
Q4 2023
|
Meteora Capital, LLC
Boca Raton, FL |
BUY
|
- |
29KNew |
$370K - $427K
|
29K
$440K
|
|
|
Feb 14, 2024
Q4 2023
|
Penserra Capital Management LLC
Orinda, CA |
BUY
|
- |
21.6K+ 7.44% |
$276K - $318K
|
313K
$4.75M
|
|
|
Feb 13, 2024
Q4 2023
|
1607 Capital Partners, LLC
Richmond, VA |
BUY
|
- |
19.8K+ 36.04% |
$253K - $292K
|
74.8K
$1.14M
|
|
|
Jan 05, 2024
Q4 2023
|
Banc First Trust & Investment Management
Oklahoma City, OK |
BUY
|
- |
19.4KNew |
$247K - $285K
|
19.4K
$294K
|
|
|
Feb 06, 2024
Q4 2023
|
Commonwealth Equity Services, LLC
|
BUY
|
- |
18.2KNew |
$233K - $268K
|
18.2K
$276K
|
|
|
Feb 14, 2024
Q4 2023
|
Nomura Holdings Inc
Tokyo, M0 |
BUY
|
- |
16.8KNew |
$215K - $248K
|
16.8K
$256K
|
|
|
Jan 16, 2024
Q4 2023
|
Raymond James Financial Services Advisors, Inc.
St. Petersburg, FL |
BUY
|
- |
15.8K+ 89.4% |
$202K - $233K
|
33.5K
$509K
|
|
|
Jan 31, 2024
Q4 2023
|
J.W. Cole Advisors, Inc.
|
BUY
|
- |
15.7K+ 70.4% |
$201K - $232K
|
38.1K
$578K
|
|
|
Feb 12, 2024
Q4 2023
|
Stifel Financial Corp
St. Louis, MO |
BUY
|
- |
10K+ 38.23% |
$128K - $148K
|
36.3K
$551K
|
|
|
Feb 14, 2024
Q4 2023
|
Lm Advisors LLC
San Diego, CA |
BUY
|
- |
9.8KNew |
$125K - $144K
|
9.8K
$149K
|
|
|
Feb 13, 2024
Q4 2023
|
Oppenheimer & CO Inc
New York, NY |
BUY
|
- |
9.67K+ 12.49% |
$123K - $142K
|
87.1K
$1.32M
|
|
|
Feb 09, 2024
Q4 2023
|
Journey Strategic Wealth LLC
Summit, NJ |
BUY
|
- |
5K+ 14.8% |
$63.9K - $73.6K
|
38.8K
$589K
|
|
|
Jan 25, 2024
Q4 2023
|
Blue Bell Private Wealth Management, LLC
|
BUY
|
- |
4.2KNew |
$53.6K - $61.8K
|
4.2K
$63.8K
|
|
|
Feb 09, 2024
Q4 2023
|
Wells Fargo & Company
San Francisco, CA |
BUY
|
- |
3.9K+ 1.5% |
$49.8K - $57.4K
|
264K
$4M
|
|
|
Jan 16, 2024
Q4 2023
|
Raymond James & Associates
St Petersburg, FL |
BUY
|
- |
398+ 0.77% |
$5.08K - $5.85K
|
51.8K
$786K
|
|
|
Feb 08, 2024
Q4 2023
|
Kingsview Wealth Management, LLC
Grants Pass, OR |
BUY
|
- |
195+ 1.09% |
$2.49K - $2.87K
|
18.1K
$275K
|
|
|
Feb 09, 2024
Q4 2023
|
Bessemer Group Inc
Woodbridge, NJ |
BUY
|
- |
25+ 3.43% |
$319 - $368
|
754
$11.4K
|
|
|
Feb 07, 2024
Q4 2023
|
Concourse Financial Group Securities, Inc.
Birmingham, AL |
BUY
|
- |
0New |
$0 - $0
|
0
$0
|
|
|
Feb 14, 2024
Q4 2023
|
Arete Wealth Advisors, LLC
Chicago, IL |
SELL
|
- |
-73- 0.35% |
$932 - $1.07K
|
20.8K
$316K
|
|
|
Jan 23, 2024
Q4 2023
|
Davenport & CO LLC
|
SELL
|
- |
-180- 0.72% |
$2.3K - $2.65K
|
24.7K
$375K
|
|
|
Feb 12, 2024
Q4 2023
|
High Tower Advisors, LLC
Chicago, IL |
SELL
|
- |
-626- 2.08% |
$7.99K - $9.21K
|
29.4K
$446K
|
|
|
Feb 06, 2024
Q4 2023
|
Aviance Capital Partners, LLC
Naples, FL |
SELL
|
- |
-1.78K- 7.15% |
$22.7K - $26.1K
|
23.1K
$350K
|
|
|
Feb 09, 2024
Q4 2023
|
Ubs Group Ag
|
SELL
|
- |
-1.85K- 24.16% |
$23.7K - $27.3K
|
5.82K
$88.3K
|
|
|
Mar 15, 2024
Q4 2023
|
National Asset Management, Inc.
Boca Raton, FL |
SELL
|
- |
-3.13K- 2.97% |
$39.9K - $46K
|
102K
$1.55M
|
|
|
Feb 06, 2024
Q4 2023
|
U.S. Capital Wealth Advisors, LLC
Austin, TX |
SELL
|
- |
-3.6K- 2.86% |
$46K - $53K
|
122K
$1.85M
|
|
|
Feb 01, 2024
Q4 2023
|
Corrado Advisors, LLC
Ramsey, NJ |
SELL
|
- |
-4.54K- 2.35% |
$58K - $66.8K
|
189K
$2.87M
|
|
|
Feb 14, 2024
Q4 2023
|
Comerica Bank
|
SELL
|
- |
-7K- 62.5% |
$89.4K - $103K
|
4.2K
$63.8K
|
|
|
Feb 14, 2024
Q4 2023
|
Boothbay Fund Management, LLC
New York, NY |
SELL
|
- |
-56.3K- 72.99% |
$719K - $828K
|
20.8K
$316K
|
|
|
Feb 12, 2024
Q4 2023
|
Advisor Group Holdings, Inc.
Phoenix, AZ |
SELL
|
- |
-66.8K- 50.06% |
$852K - $982K
|
66.6K
$1.01M
|
|
|
Feb 14, 2024
Q4 2023
|
Meteora Capital, LLC
Boca Raton, FL |
SELL
|
- |
-71K- 71.0% |
$907K - $1.04M
|
29K
$440K
|
|
|
Feb 14, 2024
Q4 2023
|
Bank Of America Corp
Charlotte, NC |
SELL
|
- |
-115K- 12.53% |
$1.47M - $1.69M
|
802K
$12.2M
|
|
|
Aug 16, 2024
Q4 2023
|
Morgan Stanley
New York, NY |
SELL
|
- |
-251K- 12.12% |
$3.2M - $3.69M
|
1.82M
$27.6M
|
|
|
Feb 13, 2024
Q4 2023
|
Morgan Stanley
New York, NY |
SELL
|
- |
-316K- 14.81% |
$4.04M - $4.65M
|
1.82M
$27.6M
|