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 |
|---|---|---|---|---|---|---|---|
|
Feb 12, 2025
Q4 2024
|
Arete Wealth Advisors, LLC
Chicago, IL |
BUY
|
- |
309+ 2.03% |
$4.59K - $5.1K
|
15.5K
$242K
|
|
|
Feb 12, 2025
Q4 2024
|
Landscape Capital Management, L.L.C.
|
BUY
|
- |
11.8KNew |
$176K - $195K
|
11.8K
$185K
|
|
|
Feb 11, 2025
Q4 2024
|
Northwestern Mutual Wealth Management CO
|
BUY
|
- |
750New |
$11.2K - $12.4K
|
750
$11.7K
|
|
|
Feb 10, 2025
Q4 2024
|
South State Corp
|
BUY
|
- |
8.43KNew |
$125K - $139K
|
8.43K
$131K
|
|
|
Feb 07, 2025
Q4 2024
|
Independent Advisor Alliance
|
BUY
|
- |
16.1KNew |
$239K - $266K
|
16.1K
$251K
|
|
|
Feb 05, 2025
Q4 2024
|
Noble Wealth Management Pbc
Greenwood Village, CO |
BUY
|
- |
700New |
$10.4K - $11.5K
|
700
$10.9K
|
|
|
Jan 28, 2025
Q4 2024
|
Kingsview Wealth Management, LLC
Grants Pass, OR |
SELL
|
- |
-255- 1.28% |
$3.79K - $4.2K
|
19.6K
$306K
|
|
| Q3 2024 | |||||||
|
Nov 14, 2024
Q3 2024
|
Equitable Holdings, Inc.
New York, NY |
BUY
|
- |
21+ 0.17% |
$318 - $350
|
12.4K
$194K
|
|
|
Nov 14, 2024
Q3 2024
|
Annis Gardner Whiting Capital Advisors, LLC
Tampa, FL |
BUY
|
- |
7.5KNew |
$114K - $125K
|
7.5K
$117K
|
|
|
Nov 04, 2024
Q3 2024
|
Savant Capital, LLC
|
BUY
|
- |
11.5KNew |
$174K - $192K
|
11.5K
$179K
|
|
|
Oct 28, 2024
Q3 2024
|
Blue Bell Private Wealth Management, LLC
|
SELL
|
- |
-602Closed |
$9.12K - $10K
|
0
$0
|
|
|
Oct 22, 2024
Q3 2024
|
International Assets Investment Management, LLC
Orlando, FL |
BUY
|
- |
46.7K+ 1555.0% |
$707K - $777K
|
49.7K
$774K
|
|
|
Oct 22, 2024
Q3 2024
|
U.S. Capital Wealth Advisors, LLC
Austin, TX |
SELL
|
- |
-45.9K- 63.13% |
$695K - $764K
|
26.8K
$418K
|
|
|
Oct 18, 2024
Q3 2024
|
Raymond James Financial Services Advisors, Inc.
St. Petersburg, FL |
BUY
|
- |
50.4K+ 39.25% |
$764K - $840K
|
179K
$2.79M
|
|
|
Oct 18, 2024
Q3 2024
|
Raymond James & Associates
St Petersburg, FL |
BUY
|
- |
81K+ 48.02% |
$1.23M - $1.35M
|
250K
$3.89M
|
|
| Q2 2024 | |||||||
|
Aug 15, 2024
Q2 2024
|
Comerica Bank
|
SELL
|
- |
-2K- 47.62% |
$28.1K - $30.5K
|
2.2K
$34.3K
|
|
|
Aug 15, 2024
Q2 2024
|
New Edge Advisors, LLC
New Orleans, LA |
BUY
|
- |
2.11KNew |
$29.6K - $32.2K
|
2.11K
$32.9K
|
|
|
Aug 14, 2024
Q2 2024
|
Two Sigma Securities, LLC
New York, NY |
BUY
|
- |
11.6KNew |
$162K - $176K
|
11.6K
$180K
|
|
|
Aug 13, 2024
Q2 2024
|
Ci Private Wealth, LLC
Miami, FL |
BUY
|
- |
2.03K+ 8.29% |
$28.5K - $30.9K
|
26.5K
$413K
|
|
|
Aug 08, 2024
Q2 2024
|
1607 Capital Partners, LLC
Richmond, VA |
SELL
|
- |
-10.4K- 11.54% |
$146K - $159K
|
80K
$1.25M
|
|
|
Jul 31, 2024
Q2 2024
|
Castleview Partners, LLC
Dallas, TX |
BUY
|
- |
298New |
$4.18K - $4.54K
|
298
$4.65K
|
|
|
Jul 31, 2024
Q2 2024
|
Atlas Wealth LLC
Cincinnati, OH |
BUY
|
- |
291KNew |
$4.09M - $4.44M
|
291K
$4.54M
|
|
|
Jul 25, 2024
Q2 2024
|
Raymond James Trust N.A.
|
BUY
|
- |
7.01K+ 64.85% |
$98.4K - $107K
|
17.8K
$278K
|
|
| 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
$2.11M
|
|
|
May 15, 2024
Q1 2024
|
Wetherby Asset Management Inc
San Francisco, CA |
BUY
|
- |
11.2KNew |
$159K - $169K
|
11.2K
$175K
|
|
|
May 13, 2024
Q1 2024
|
Relative Value Partners Group, LLC
Northbrook, IL |
SELL
|
- |
-6.3K- 2.56% |
$88.9K - $94.6K
|
239K
$3.73M
|
|
|
May 07, 2024
Q1 2024
|
Us Bancorp \De\
|
BUY
|
- |
12.5KNew |
$176K - $188K
|
12.5K
$195K
|
|
|
May 03, 2024
Q1 2024
|
Signaturefd, LLC
Atlanta, GA |
BUY
|
- |
1.01KNew |
$14.2K - $15.1K
|
1.01K
$15.7K
|
|
|
May 02, 2024
Q1 2024
|
Fny Investment Advisers, LLC
|
BUY
|
- |
400New |
$5.65K - $6.01K
|
400
$6.24K
|
|
| Q4 2023 | |||||||
|
Jun 25, 2024
Q4 2023
|
Meteora Capital, LLC
Boca Raton, FL |
BUY
|
- |
29KNew |
$370K - $427K
|
29K
$452K
|
|
|
Feb 14, 2024
Q4 2023
|
Boothbay Fund Management, LLC
New York, NY |
SELL
|
- |
-56.3K- 72.99% |
$719K - $828K
|
20.8K
$325K
|
|
|
Feb 14, 2024
Q4 2023
|
Ae Wealth Management LLC
|
BUY
|
- |
96.3KNew |
$1.23M - $1.42M
|
96.3K
$1.5M
|
|
|
Feb 14, 2024
Q4 2023
|
Lm Advisors LLC
San Diego, CA |
BUY
|
- |
9.8KNew |
$125K - $144K
|
9.8K
$153K
|
|
|
Feb 14, 2024
Q4 2023
|
Nomura Holdings Inc
Tokyo, M0 |
BUY
|
- |
16.8KNew |
$215K - $248K
|
16.8K
$263K
|
|
|
Jan 05, 2024
Q4 2023
|
Banc First Trust & Investment Management
Oklahoma City, OK |
BUY
|
- |
19.4KNew |
$247K - $285K
|
19.4K
$302K
|
|
| Q3 2023 | |||||||
|
Nov 14, 2023
Q3 2023
|
Pine Bridge Investments, L.P.
|
BUY
|
- |
21.8KNew |
$294K - $313K
|
21.8K
$340K
|
|
|
Nov 14, 2023
Q3 2023
|
Guggenheim Capital LLC
Chicago, IL |
BUY
|
- |
315K+ 49.65% |
$4.24M - $4.52M
|
950K
$14.8M
|
|
|
Nov 14, 2023
Q3 2023
|
Logan Stone Capital, LLC
Chicago, IL |
SELL
|
- |
-100K- 78.59% |
$1.35M - $1.43M
|
27.2K
$425K
|
|
|
Oct 26, 2023
Q3 2023
|
Advisor Partners Ii, LLC
Walnut Creek, CA |
BUY
|
- |
18.5KNew |
$249K - $266K
|
18.5K
$289K
|
|
| Q2 2023 | |||||||
|
Aug 14, 2023
Q2 2023
|
Rivernorth Capital Management, LLC
West Palm Beach, FL |
SELL
|
- |
-313K- 39.11% |
$4.21M - $4.5M
|
488K
$7.6M
|
|
|
Aug 14, 2023
Q2 2023
|
Azimuth Capital Investment Management LLC
Bloomfield Hills, MI |
BUY
|
- |
15KNew |
$202K - $215K
|
15K
$234K
|
|
|
Aug 04, 2023
Q2 2023
|
Ifp Advisors, Inc
|
BUY
|
- |
1.25KNew |
$16.8K - $18K
|
1.25K
$19.5K
|
|
| Q4 2022 | |||||||
|
Feb 14, 2023
Q4 2022
|
Weiss Asset Management LP
Boston, MA |
BUY
|
- |
45.3KNew |
$593K - $662K
|
45.3K
$706K
|
|
|
Feb 14, 2023
Q4 2022
|
Cary Street Partners Investment Advisory LLC
Richmond, VA |
BUY
|
- |
250New |
$3.27K - $3.65K
|
250
$3.9K
|
|
| Q3 2022 | |||||||
|
Oct 25, 2022
Q3 2022
|
Hightower 6 M Holding, LLC
|
SELL
|
- |
-8.63K- 20.0% |
$111K - $137K
|
34.5K
$539K
|
|
|
Oct 24, 2022
Q3 2022
|
Trust CO Of Vermont
|
BUY
|
- |
1.25KNew |
$16K - $19.9K
|
1.25K
$19.5K
|
|
|
Oct 17, 2022
Q3 2022
|
Prosperity Consulting Group, LLC
|
BUY
|
- |
10KNew |
$128K - $159K
|
10K
$156K
|
|
| Q2 2022 | |||||||
|
Aug 15, 2022
Q2 2022
|
Harbour Investments, Inc.
Madison, WI |
BUY
|
- |
1.5KNew |
$20.7K - $26.5K
|
1.5K
$23.4K
|
|
|
Aug 15, 2022
Q2 2022
|
Almitas Capital LLC
Santa Monica, CA |
BUY
|
- |
103KNew |
$1.43M - $1.83M
|
103K
$1.61M
|
|
|
Aug 15, 2022
Q2 2022
|
Samalin Investment Counsel, LLC
Chappaqua, NY |
SELL
|
- |
-4.75KClosed |
$65.6K - $83.9K
|
0
$0
|
|