Latest Institutional Transactions on Guggenheim Active Allocation Fund (GUG)
This table provides information on the latest institutional transactions involving Guggenheim Active Allocation Fund (GUG) stock. The table includes the name of the institution, the type of operation (buy or sell), whether options were involved, the number of shares exchanged, the range of values for the transaction, and the number of shares held by the institution after the transaction has occurred.
| 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 14, 2025
Q3 2025
|
Wetherby Asset Management Inc
San Francisco, CA |
SELL
|
- |
-12.4K- 52.39% |
$188K - $201K
|
11.2K
$170K
|
|
|
Nov 14, 2025
Q3 2025
|
Cohen & Steers, Inc.
New York, NY |
BUY
|
- |
7K+ 0.94% |
$106K - $114K
|
748K
$11.3M
|
|
|
Nov 14, 2025
Q3 2025
|
Advisor Group Holdings, Inc.
Phoenix, AZ |
SELL
|
- |
-2K- 3.83% |
$30.4K - $32.5K
|
50.3K
$763K
|
|
|
Nov 14, 2025
Q3 2025
|
Rockefeller Capital Management L.P.
New York, NY |
BUY
|
- |
498+ 2.3% |
$7.57K - $8.09K
|
22.1K
$336K
|
|
|
Nov 14, 2025
Q3 2025
|
Bank Of America Corp
Charlotte, NC |
SELL
|
- |
-243K- 26.34% |
$3.69M - $3.94M
|
678K
$10.3M
|
|
|
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
|
Cetera Investment Advisers
Schaumburg, IL |
BUY
|
- |
1.33K+ 6.11% |
$20.2K - $21.6K
|
23.1K
$350K
|
|
|
Nov 14, 2025
Q3 2025
|
Creative Planning
Overland Park, KS |
BUY
|
- |
13.9KNew |
$211K - $226K
|
13.9K
$211K
|
|
|
Nov 14, 2025
Q3 2025
|
Raymond James Financial Inc
St. Petersburg, FL |
BUY
|
- |
26.3K+ 4.05% |
$400K - $427K
|
676K
$10.3M
|
|
|
Nov 14, 2025
Q3 2025
|
New Edge Advisors, LLC
New Orleans, LA |
BUY
|
- |
150New |
$2.28K - $2.44K
|
150
$2.28K
|
|
|
Nov 13, 2025
Q3 2025
|
Baird Financial Group, Inc.
Milwaukee, WI |
SELL
|
- |
-89K- 11.39% |
$1.35M - $1.45M
|
692K
$10.5M
|
|
|
Nov 13, 2025
Q3 2025
|
Wells Fargo & Company
San Francisco, CA |
BUY
|
- |
19.9K+ 7.76% |
$302K - $323K
|
276K
$4.18M
|
|
|
Nov 13, 2025
Q3 2025
|
Ubs Group Ag
|
SELL
|
- |
-40.2K- 68.4% |
$611K - $653K
|
18.6K
$282K
|
|
|
Nov 13, 2025
Q3 2025
|
Invesco Ltd.
Atlanta, GA |
BUY
|
- |
13.7K+ 22.7% |
$208K - $223K
|
74.1K
$1.12M
|
|
|
Nov 13, 2025
Q3 2025
|
Pathstone Holdings, LLC
Englewood, NJ |
BUY
|
- |
127K+ 16.43% |
$1.93M - $2.06M
|
898K
$13.6M
|
|
|
Nov 13, 2025
Q3 2025
|
Kestra Advisory Services, LLC
|
BUY
|
- |
2.25K+ 2.34% |
$34.2K - $36.5K
|
98.5K
$1.49M
|
|
|
Nov 13, 2025
Q3 2025
|
Morse Asset Management, Inc
Darien, CT |
BUY
|
- |
1.31KNew |
$19.9K - $21.3K
|
1.31K
$19.9K
|
|
|
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
|
Steward Partners Investment Advisory, LLC
|
BUY
|
- |
45.1K+ 59.47% |
$685K - $733K
|
121K
$1.83M
|
|
|
Nov 12, 2025
Q3 2025
|
Kingsview Wealth Management, LLC
Grants Pass, OR |
SELL
|
- |
-1.73K- 9.05% |
$26.2K - $28K
|
17.3K
$263K
|
|
|
Nov 12, 2025
Q3 2025
|
Lpl Financial LLC
Fort Mill, SC |
BUY
|
- |
2.31K+ 9.31% |
$35.1K - $37.5K
|
27.1K
$412K
|
|
|
Nov 12, 2025
Q3 2025
|
Stifel Financial Corp
St. Louis, MO |
SELL
|
- |
-16.1K- 24.56% |
$245K - $262K
|
49.5K
$751K
|
|
|
Nov 12, 2025
Q3 2025
|
Brinker Capital Investments, LLC
|
SELL
|
- |
-525- 4.59% |
$7.98K - $8.53K
|
10.9K
$166K
|
|
|
Nov 10, 2025
Q3 2025
|
Kovitz Investment Group Partners, LLC
|
SELL
|
- |
-24.9K- 13.46% |
$379K - $405K
|
160K
$2.43M
|
|
|
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 06, 2025
Q3 2025
|
Advisors Asset Management, Inc.
Monument, CO |
BUY
|
- |
96K+ 12.01% |
$1.46M - $1.56M
|
895K
$13.6M
|
|
|
Nov 06, 2025
Q3 2025
|
Wedbush Securities Inc
|
SELL
|
- |
-1.56K- 10.28% |
$23.7K - $25.3K
|
13.6K
$206K
|
|
|
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 04, 2025
Q3 2025
|
Envestnet Asset Management Inc
|
SELL
|
- |
-4.02K- 12.36% |
$61.1K - $65.3K
|
28.5K
$432K
|
|
|
Nov 04, 2025
Q3 2025
|
J.W. Cole Advisors, Inc.
|
BUY
|
- |
993+ 2.59% |
$15.1K - $16.1K
|
39.4K
$598K
|
|
|
Nov 03, 2025
Q3 2025
|
Corrado Advisors, LLC
Ramsey, NJ |
BUY
|
- |
5.15K+ 3.08% |
$78.3K - $83.7K
|
172K
$2.61M
|
|
|
Oct 28, 2025
Q3 2025
|
Aviance Capital Partners, LLC
Naples, FL |
BUY
|
- |
1.66K+ 5.76% |
$25.2K - $27K
|
30.5K
$462K
|
|
|
Oct 27, 2025
Q3 2025
|
Concurrent Investment Advisors, LLC
Tampa, FL |
BUY
|
- |
8.37K+ 29.94% |
$127K - $136K
|
36.3K
$551K
|
|
|
Oct 22, 2025
Q3 2025
|
Commonwealth Equity Services, LLC
|
SELL
|
- |
-359- 2.98% |
$5.46K - $5.83K
|
11.7K
$178K
|
|
|
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
|
|
|
Oct 15, 2025
Q3 2025
|
Pensionmark Financial Group, LLC
Santa Barbara, CA |
BUY
|
- |
30.2KNew |
$458K - $490K
|
30.2K
$457K
|
|
|
Oct 15, 2025
Q3 2025
|
Davenport & CO LLC
|
BUY
|
- |
321+ 1.34% |
$4.88K - $5.22K
|
24.3K
$369K
|
|
|
Oct 09, 2025
Q3 2025
|
U.S. Capital Wealth Advisors, LLC
Austin, TX |
SELL
|
- |
-12.4K- 46.27% |
$188K - $202K
|
14.4K
$218K
|
|
| Q2 2025 | |||||||
|
Nov 21, 2025
Q2 2025
|
Royal Bank Of Canada
Toronto, A6 |
SELL
|
- |
-2.53K- 0.49% |
$35.4K - $39.8K
|
515K
$7.82M
|
|
|
Aug 18, 2025
Q2 2025
|
Geneos Wealth Management Inc.
|
BUY
|
- |
1.5K+ 100.0% |
$21K - $23.6K
|
3K
$45.5K
|
|
|
Aug 13, 2025
Q2 2025
|
Northwestern Mutual Wealth Management CO
|
BUY
|
- |
1.52KNew |
$21.2K - $23.9K
|
1.52K
$23K
|
|
|
Aug 12, 2025
Q2 2025
|
Journey Strategic Wealth LLC
Summit, NJ |
SELL
|
- |
-2K- 6.77% |
$28K - $31.5K
|
27.5K
$418K
|
|
|
Aug 12, 2025
Q2 2025
|
Concourse Financial Group Securities, Inc.
Birmingham, AL |
BUY
|
- |
0New |
$0 - $0
|
0
$0
|
|
|
Aug 11, 2025
Q2 2025
|
High Tower Advisors, LLC
Chicago, IL |
BUY
|
- |
4.55K+ 18.87% |
$63.6K - $71.6K
|
28.6K
$435K
|
|
|
Aug 11, 2025
Q2 2025
|
Blue Bell Private Wealth Management, LLC
|
BUY
|
- |
200New |
$2.8K - $3.15K
|
200
$3.03K
|
|
|
Aug 11, 2025
Q2 2025
|
Elequin Capital LP
New York, NY |
SELL
|
- |
-3.6K- 81.67% |
$50.3K - $56.7K
|
808
$12.3K
|
|
|
Aug 08, 2025
Q2 2025
|
Larson Financial Group LLC
|
BUY
|
- |
3KNew |
$41.9K - $47.3K
|
3K
$45.5K
|
|
| Q1 2025 | |||||||
|
Aug 15, 2025
Q1 2025
|
Provenance Wealth Advisors, LLC
Fort Lauderdale, FL |
SELL
|
- |
-361Closed |
$5.39K - $5.74K
|
0
$0
|
|
|
May 15, 2025
Q1 2025
|
Israel Englander
Millennium Management LLC | New York, Ny
|
BUY
|
- |
14.6KNew |
$218K - $232K
|
14.6K
$222K
|
|