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 |
|---|---|---|---|---|---|---|---|
|
May 15, 2025
Q1 2025
|
Israel Englander
Millennium Management LLC | New York, Ny
|
BUY
|
- |
14.6KNew |
$218K - $232K
|
14.6K
$222K
|
|
|
May 15, 2025
Q1 2025
|
Banque Transatlantique Sa
Paris, I0 |
BUY
|
- |
800New |
$11.9K - $12.7K
|
800
$12.1K
|
|
|
May 14, 2025
Q1 2025
|
Susquehanna International Group, LLP
Bala Cynwyd, PA |
BUY
|
- |
410+ 3.96% |
$6.12K - $6.52K
|
10.8K
$163K
|
|
|
May 12, 2025
Q1 2025
|
Nordwand Advisors, LLC
Radnor, PA |
SELL
|
- |
-5K- 30.3% |
$74.6K - $79.5K
|
11.5K
$174K
|
|
|
May 01, 2025
Q1 2025
|
Cwm, LLC
|
BUY
|
- |
124New |
$1.85K - $1.97K
|
124
$1.88K
|
|
|
Apr 30, 2025
Q1 2025
|
Allworth Financial LP
|
BUY
|
- |
1KNew |
$14.9K - $15.9K
|
1K
$15.2K
|
|
|
Apr 29, 2025
Q1 2025
|
Truist Financial Corp
|
BUY
|
- |
10.9KNew |
$162K - $173K
|
10.9K
$165K
|
|
|
Apr 24, 2025
Q1 2025
|
Tsfg, LLC
|
BUY
|
- |
1.73KNew |
$25.9K - $27.6K
|
1.73K
$26.3K
|
|
|
Apr 21, 2025
Q1 2025
|
Pfg Investments, LLC
Woodbury, NY |
SELL
|
- |
-6.3K- 33.42% |
$94K - $100K
|
12.6K
$190K
|
|
|
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
$177K
|
|
| Q4 2024 | |||||||
|
Feb 25, 2025
Q4 2024
|
National Asset Management, Inc.
Boca Raton, FL |
SELL
|
- |
-1.81K- 9.87% |
$27K - $29.9K
|
16.6K
$251K
|
|
|
Feb 13, 2025
Q4 2024
|
Bessemer Group Inc
Woodbridge, NJ |
BUY
|
- |
1.11KNew |
$16.4K - $18.2K
|
1.11K
$16.8K
|
|
|
Feb 13, 2025
Q4 2024
|
Penserra Capital Management LLC
Orinda, CA |
BUY
|
- |
21.6K+ 7.22% |
$321K - $356K
|
321K
$4.87M
|
|
|
Feb 12, 2025
Q4 2024
|
Landscape Capital Management, L.L.C.
|
BUY
|
- |
11.8KNew |
$176K - $195K
|
11.8K
$180K
|
|
|
Feb 12, 2025
Q4 2024
|
Arete Wealth Advisors, LLC
Chicago, IL |
BUY
|
- |
309+ 2.03% |
$4.59K - $5.1K
|
15.5K
$236K
|
|
|
Feb 10, 2025
Q4 2024
|
South State Corp
|
BUY
|
- |
8.43KNew |
$125K - $139K
|
8.43K
$128K
|
|
|
Feb 07, 2025
Q4 2024
|
Independent Advisor Alliance
|
BUY
|
- |
16.1KNew |
$239K - $266K
|
16.1K
$244K
|
|
| Q3 2024 | |||||||
|
Nov 14, 2024
Q3 2024
|
Annis Gardner Whiting Capital Advisors, LLC
Tampa, FL |
BUY
|
- |
7.5KNew |
$114K - $125K
|
7.5K
$114K
|
|
|
Nov 14, 2024
Q3 2024
|
Equitable Holdings, Inc.
New York, NY |
BUY
|
- |
21+ 0.17% |
$318 - $350
|
12.4K
$188K
|
|
|
Nov 04, 2024
Q3 2024
|
Savant Capital, LLC
|
BUY
|
- |
11.5KNew |
$174K - $192K
|
11.5K
$175K
|
|
|
Oct 22, 2024
Q3 2024
|
International Assets Investment Management, LLC
Orlando, FL |
BUY
|
- |
46.7K+ 1555.0% |
$707K - $777K
|
49.7K
$753K
|
|
|
Oct 18, 2024
Q3 2024
|
Raymond James & Associates
St Petersburg, FL |
BUY
|
- |
81K+ 48.02% |
$1.23M - $1.35M
|
250K
$3.79M
|
|
|
Oct 18, 2024
Q3 2024
|
Raymond James Financial Services Advisors, Inc.
St. Petersburg, FL |
BUY
|
- |
50.4K+ 39.25% |
$764K - $840K
|
179K
$2.71M
|
|
| Q2 2024 | |||||||
|
Aug 15, 2024
Q2 2024
|
Comerica Bank
|
SELL
|
- |
-2K- 47.62% |
$28.1K - $30.5K
|
2.2K
$33.4K
|
|
|
Aug 14, 2024
Q2 2024
|
Two Sigma Securities, LLC
New York, NY |
BUY
|
- |
11.6KNew |
$162K - $176K
|
11.6K
$176K
|
|
|
Aug 13, 2024
Q2 2024
|
Ci Private Wealth, LLC
Miami, FL |
BUY
|
- |
2.03K+ 8.29% |
$28.5K - $30.9K
|
26.5K
$402K
|
|
|
Aug 08, 2024
Q2 2024
|
1607 Capital Partners, LLC
Richmond, VA |
SELL
|
- |
-10.4K- 11.54% |
$146K - $159K
|
80K
$1.21M
|
|
|
Jul 31, 2024
Q2 2024
|
Castleview Partners, LLC
Dallas, TX |
BUY
|
- |
298New |
$4.18K - $4.54K
|
298
$4.52K
|
|
|
Jul 31, 2024
Q2 2024
|
Atlas Wealth LLC
Cincinnati, OH |
BUY
|
- |
291KNew |
$4.09M - $4.44M
|
291K
$4.42M
|
|
|
Jul 25, 2024
Q2 2024
|
Raymond James Trust N.A.
|
BUY
|
- |
7.01K+ 64.85% |
$98.4K - $107K
|
17.8K
$270K
|
|
| Q1 2024 | |||||||
|
May 15, 2024
Q1 2024
|
Saba Capital Management, L.P.
New York, NY |
SELL
|
- |
-1.04M- 88.52% |
$14.7M - $15.7M
|
135K
$2.05M
|
|
|
May 13, 2024
Q1 2024
|
Relative Value Partners Group, LLC
Northbrook, IL |
SELL
|
- |
-6.3K- 2.56% |
$88.9K - $94.6K
|
239K
$3.63M
|
|
|
May 07, 2024
Q1 2024
|
Us Bancorp \De\
|
BUY
|
- |
12.5KNew |
$176K - $188K
|
12.5K
$189K
|
|
|
May 03, 2024
Q1 2024
|
Signaturefd, LLC
Atlanta, GA |
BUY
|
- |
1.01KNew |
$14.2K - $15.1K
|
1.01K
$15.3K
|
|
|
May 02, 2024
Q1 2024
|
Fny Investment Advisers, LLC
|
BUY
|
- |
400New |
$5.65K - $6.01K
|
400
$6.07K
|
|
| Q4 2023 | |||||||
|
Jun 25, 2024
Q4 2023
|
Meteora Capital, LLC
Boca Raton, FL |
BUY
|
- |
29KNew |
$370K - $427K
|
29K
$440K
|
|
|
Feb 14, 2024
Q4 2023
|
Nomura Holdings Inc
Tokyo, M0 |
BUY
|
- |
16.8KNew |
$215K - $248K
|
16.8K
$256K
|
|
|
Feb 14, 2024
Q4 2023
|
Boothbay Fund Management, LLC
New York, NY |
SELL
|
- |
-56.3K- 72.99% |
$719K - $828K
|
20.8K
$316K
|
|
|
Feb 14, 2024
Q4 2023
|
Lm Advisors LLC
San Diego, CA |
BUY
|
- |
9.8KNew |
$125K - $144K
|
9.8K
$149K
|
|
|
Feb 14, 2024
Q4 2023
|
Ae Wealth Management LLC
|
BUY
|
- |
96.3KNew |
$1.23M - $1.42M
|
96.3K
$1.46M
|
|
|
Jan 05, 2024
Q4 2023
|
Banc First Trust & Investment Management
Oklahoma City, OK |
BUY
|
- |
19.4KNew |
$247K - $285K
|
19.4K
$294K
|
|
| Q3 2023 | |||||||
|
Nov 14, 2023
Q3 2023
|
Pine Bridge Investments, L.P.
|
BUY
|
- |
21.8KNew |
$294K - $313K
|
21.8K
$331K
|
|
|
Nov 14, 2023
Q3 2023
|
Logan Stone Capital, LLC
Chicago, IL |
SELL
|
- |
-100K- 78.59% |
$1.35M - $1.43M
|
27.2K
$413K
|
|
|
Nov 14, 2023
Q3 2023
|
Guggenheim Capital LLC
Chicago, IL |
BUY
|
- |
315K+ 49.65% |
$4.24M - $4.52M
|
950K
$14.4M
|
|
|
Oct 26, 2023
Q3 2023
|
Advisor Partners Ii, LLC
Walnut Creek, CA |
BUY
|
- |
18.5KNew |
$249K - $266K
|
18.5K
$281K
|
|
| Q2 2023 | |||||||
|
Aug 14, 2023
Q2 2023
|
Azimuth Capital Investment Management LLC
Bloomfield Hills, MI |
BUY
|
- |
15KNew |
$202K - $215K
|
15K
$228K
|
|
|
Aug 14, 2023
Q2 2023
|
Rivernorth Capital Management, LLC
West Palm Beach, FL |
SELL
|
- |
-313K- 39.11% |
$4.21M - $4.5M
|
488K
$7.4M
|
|
|
Aug 04, 2023
Q2 2023
|
Ifp Advisors, Inc
|
BUY
|
- |
1.25KNew |
$16.8K - $18K
|
1.25K
$19K
|
|
| Q4 2022 | |||||||
|
Feb 14, 2023
Q4 2022
|
Weiss Asset Management LP
Boston, MA |
BUY
|
- |
45.3KNew |
$593K - $662K
|
45.3K
$687K
|
|
|
Feb 14, 2023
Q4 2022
|
Cary Street Partners Investment Advisory LLC
Richmond, VA |
BUY
|
- |
250New |
$3.27K - $3.65K
|
250
$3.79K
|
|