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 |
|---|---|---|---|---|---|---|---|
|
Jul 14, 2025
Q2 2025
|
Golden State Equity Partners
South Coast Metro, CA |
BUY
|
- |
39.7KNew |
$555K - $626K
|
39.7K
$619K
|
|
| Q1 2025 | |||||||
|
May 21, 2025
Q1 2025
|
Geneos Wealth Management Inc.
|
SELL
|
- |
-3K- 66.67% |
$44.8K - $47.7K
|
1.5K
$23.4K
|
|
|
May 15, 2025
Q1 2025
|
Royal Bank Of Canada
Toronto, A6 |
BUY
|
- |
55.6K+ 12.03% |
$830K - $884K
|
518K
$8.07M
|
|
|
May 15, 2025
Q1 2025
|
Cohen & Steers, Inc.
New York, NY |
SELL
|
- |
-50K- 6.36% |
$746K - $795K
|
736K
$11.5M
|
|
|
May 15, 2025
Q1 2025
|
Pathstone Holdings, LLC
Englewood, NJ |
BUY
|
- |
330K+ 100.37% |
$4.92M - $5.24M
|
658K
$10.3M
|
|
|
May 15, 2025
Q1 2025
|
Bank Of America Corp
Charlotte, NC |
BUY
|
- |
38.6K+ 6.7% |
$576K - $614K
|
615K
$9.59M
|
|
|
May 15, 2025
Q1 2025
|
Morgan Stanley
New York, NY |
BUY
|
- |
61.8K+ 2.56% |
$922K - $982K
|
2.47M
$38.5M
|
|
|
May 15, 2025
Q1 2025
|
Baird Financial Group, Inc.
Milwaukee, WI |
BUY
|
- |
30.5K+ 4.14% |
$455K - $485K
|
766K
$11.9M
|
|
|
May 15, 2025
Q1 2025
|
Banque Transatlantique Sa
Paris, I0 |
BUY
|
- |
800New |
$11.9K - $12.7K
|
800
$12.5K
|
|
|
May 15, 2025
Q1 2025
|
Advisors Asset Management, Inc.
Monument, CO |
BUY
|
- |
114K+ 19.12% |
$1.7M - $1.81M
|
709K
$11.1M
|
|
|
May 15, 2025
Q1 2025
|
Israel Englander
Millennium Management LLC | New York, Ny
|
BUY
|
- |
14.6KNew |
$218K - $232K
|
14.6K
$228K
|
|
|
May 14, 2025
Q1 2025
|
Concourse Financial Group Securities, Inc.
Birmingham, AL |
BUY
|
- |
0New |
$0 - $0
|
0
$0
|
|
|
May 14, 2025
Q1 2025
|
Kestra Advisory Services, LLC
|
BUY
|
- |
39+ 0.04% |
$582 - $620
|
96.1K
$1.5M
|
|
|
May 14, 2025
Q1 2025
|
Rockefeller Capital Management L.P.
New York, NY |
SELL
|
- |
-2.22K- 9.5% |
$33.1K - $35.3K
|
21.1K
$330K
|
|
|
May 14, 2025
Q1 2025
|
Susquehanna International Group, LLP
Bala Cynwyd, PA |
BUY
|
- |
410+ 3.96% |
$6.12K - $6.52K
|
10.8K
$168K
|
|
|
May 14, 2025
Q1 2025
|
Walleye Capital LLC
Plymouth, MN |
SELL
|
- |
-883- 2.61% |
$13.2K - $14K
|
32.9K
$513K
|
|
|
May 13, 2025
Q1 2025
|
Kovitz Investment Group Partners, LLC
|
BUY
|
- |
37.9K+ 24.01% |
$566K - $603K
|
196K
$3.05M
|
|
|
May 13, 2025
Q1 2025
|
Wells Fargo & Company
San Francisco, CA |
SELL
|
- |
-706- 0.28% |
$10.5K - $11.2K
|
251K
$3.91M
|
|
|
May 13, 2025
Q1 2025
|
Steward Partners Investment Advisory, LLC
|
BUY
|
- |
21K+ 217.56% |
$314K - $334K
|
30.7K
$478K
|
|
|
May 13, 2025
Q1 2025
|
Raymond James Financial Inc
St. Petersburg, FL |
BUY
|
- |
85.9K+ 16.95% |
$1.28M - $1.37M
|
593K
$9.24M
|
|
|
May 13, 2025
Q1 2025
|
Ubs Group Ag
|
SELL
|
- |
-2.63K- 5.35% |
$39.2K - $41.8K
|
46.4K
$724K
|
|
|
May 13, 2025
Q1 2025
|
Elequin Capital LP
New York, NY |
BUY
|
- |
4.41KNew |
$65.8K - $70.1K
|
4.41K
$68.7K
|
|
|
May 13, 2025
Q1 2025
|
Stifel Financial Corp
St. Louis, MO |
BUY
|
- |
5.58K+ 10.1% |
$83.2K - $88.6K
|
60.8K
$947K
|
|
|
May 12, 2025
Q1 2025
|
Jpmorgan Chase & CO
New York, NY |
SELL
|
- |
-3.8K- 87.36% |
$56.7K - $60.4K
|
550
$8.57K
|
|
|
May 12, 2025
Q1 2025
|
Nordwand Advisors, LLC
Radnor, PA |
SELL
|
- |
-5K- 30.3% |
$74.6K - $79.5K
|
11.5K
$179K
|
|
|
May 12, 2025
Q1 2025
|
Invesco Ltd.
Atlanta, GA |
BUY
|
- |
34.3K+ 258.7% |
$511K - $545K
|
47.5K
$741K
|
|
|
May 12, 2025
Q1 2025
|
High Tower Advisors, LLC
Chicago, IL |
SELL
|
- |
-8.24K- 25.48% |
$123K - $131K
|
24.1K
$376K
|
|
|
May 09, 2025
Q1 2025
|
Mgb Wealth Management, LLC
Addison, TX |
BUY
|
- |
12K+ 99.98% |
$179K - $191K
|
24K
$374K
|
|
|
May 09, 2025
Q1 2025
|
Commonwealth Equity Services, LLC
|
BUY
|
- |
264+ 2.33% |
$3.94K - $4.2K
|
11.6K
$181K
|
|
|
May 07, 2025
Q1 2025
|
Lpl Financial LLC
Fort Mill, SC |
BUY
|
- |
4.53K+ 22.62% |
$67.6K - $72.1K
|
24.6K
$383K
|
|
|
May 06, 2025
Q1 2025
|
Wedbush Securities Inc
|
SELL
|
- |
-7.58K- 33.47% |
$113K - $121K
|
15.1K
$235K
|
|
|
May 06, 2025
Q1 2025
|
Cetera Investment Advisers
Schaumburg, IL |
BUY
|
- |
1.7K+ 9.6% |
$25.4K - $27.1K
|
19.4K
$303K
|
|
|
May 06, 2025
Q1 2025
|
Journey Strategic Wealth LLC
Summit, NJ |
SELL
|
- |
-7.6K- 20.47% |
$113K - $121K
|
29.5K
$461K
|
|
|
May 05, 2025
Q1 2025
|
J.W. Cole Advisors, Inc.
|
SELL
|
- |
-16.7K- 38.33% |
$249K - $266K
|
26.9K
$419K
|
|
|
May 01, 2025
Q1 2025
|
Corrado Advisors, LLC
Ramsey, NJ |
BUY
|
- |
1.4K+ 0.87% |
$20.8K - $22.2K
|
162K
$2.53M
|
|
|
May 01, 2025
Q1 2025
|
Cwm, LLC
|
BUY
|
- |
124New |
$1.85K - $1.97K
|
124
$1.93K
|
|
|
Apr 30, 2025
Q1 2025
|
Allworth Financial LP
|
BUY
|
- |
1KNew |
$14.9K - $15.9K
|
1K
$15.6K
|
|
|
Apr 29, 2025
Q1 2025
|
Truist Financial Corp
|
BUY
|
- |
10.9KNew |
$162K - $173K
|
10.9K
$169K
|
|
|
Apr 29, 2025
Q1 2025
|
Concurrent Investment Advisors, LLC
Tampa, FL |
BUY
|
- |
59+ 0.22% |
$880 - $938
|
26.6K
$415K
|
|
|
Apr 29, 2025
Q1 2025
|
Envestnet Asset Management Inc
|
BUY
|
- |
2.33K+ 8.87% |
$34.8K - $37K
|
28.6K
$446K
|
|
|
Apr 28, 2025
Q1 2025
|
Aviance Capital Partners, LLC
Naples, FL |
BUY
|
- |
5.01K+ 25.79% |
$74.7K - $79.7K
|
24.4K
$381K
|
|
|
Apr 28, 2025
Q1 2025
|
Davenport & CO LLC
|
SELL
|
- |
-1.19K- 4.74% |
$17.8K - $19K
|
24K
$374K
|
|
|
Apr 24, 2025
Q1 2025
|
Tsfg, LLC
|
BUY
|
- |
1.73KNew |
$25.9K - $27.6K
|
1.73K
$27K
|
|
|
Apr 22, 2025
Q1 2025
|
Oppenheimer & CO Inc
New York, NY |
BUY
|
- |
4.35K+ 5.19% |
$64.8K - $69.1K
|
88.1K
$1.37M
|
|
|
Apr 21, 2025
Q1 2025
|
Nelson, Van Denburg & Campbell Wealth Management Group, LLC
Omaha, NE |
BUY
|
- |
6.19K+ 113.0% |
$92.4K - $98.4K
|
11.7K
$182K
|
|
|
Apr 21, 2025
Q1 2025
|
Pfg Investments, LLC
Woodbury, NY |
SELL
|
- |
-6.3K- 33.42% |
$94K - $100K
|
12.6K
$196K
|
|
| Q4 2024 | |||||||
|
Jun 06, 2025
Q4 2024
|
Advisor Group Holdings, Inc.
Phoenix, AZ |
BUY
|
- |
2.41K+ 4.61% |
$35.8K - $39.7K
|
54.7K
$852K
|
|
|
Feb 25, 2025
Q4 2024
|
National Asset Management, Inc.
Boca Raton, FL |
SELL
|
- |
-1.81K- 9.87% |
$27K - $29.9K
|
16.6K
$258K
|
|
|
Feb 13, 2025
Q4 2024
|
Bessemer Group Inc
Woodbridge, NJ |
BUY
|
- |
1.11KNew |
$16.4K - $18.2K
|
1.11K
$17.2K
|
|
|
Feb 13, 2025
Q4 2024
|
Penserra Capital Management LLC
Orinda, CA |
BUY
|
- |
21.6K+ 7.22% |
$321K - $356K
|
321K
$5M
|
|