Purchases and Sales Made in Q3 2023 in Guggenheim Active Allocation Fund (GUG)
This table provides information about the institutional ownership of Guggenheim Active Allocation Fund (GUG) during Q3 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 |
|---|---|---|---|---|---|---|---|
|
Nov 14, 2023
Q3 2023
|
Guggenheim Capital LLC
Chicago, IL |
BUY
|
- |
315K+ 49.65% |
$4.24M - $4.52M
|
950K
$14.9M
|
|
|
Nov 14, 2023
Q3 2023
|
Saba Capital Management, L.P.
New York, NY |
BUY
|
- |
235K+ 31.23% |
$3.17M - $3.38M
|
989K
$15.5M
|
|
|
Nov 13, 2023
Q3 2023
|
Meteora Capital, LLC
Boca Raton, FL |
BUY
|
- |
100KNew |
$1.35M - $1.44M
|
100K
$1.57M
|
|
|
Nov 13, 2023
Q3 2023
|
Advisor Group Holdings, Inc.
Phoenix, AZ |
BUY
|
- |
77.8K+ 140.22% |
$1.05M - $1.12M
|
133K
$2.09M
|
|
|
Nov 14, 2023
Q3 2023
|
Boothbay Fund Management, LLC
New York, NY |
BUY
|
- |
77.2KNew |
$1.04M - $1.11M
|
77.2K
$1.21M
|
|
|
Nov 14, 2023
Q3 2023
|
Royal Bank Of Canada
Toronto, A6 |
BUY
|
- |
36.8K+ 79.88% |
$495K - $527K
|
82.8K
$1.3M
|
|
|
Nov 14, 2023
Q3 2023
|
Cohen & Steers, Inc.
New York, NY |
BUY
|
- |
36.1K+ 4.05% |
$486K - $518K
|
926K
$14.6M
|
|
|
Nov 15, 2023
Q3 2023
|
Morgan Stanley
New York, NY |
BUY
|
- |
30.6K+ 1.45% |
$411K - $438K
|
2.14M
$33.6M
|
|
|
Nov 06, 2023
Q3 2023
|
Aviance Capital Partners, LLC
Naples, FL |
BUY
|
- |
24.9KNew |
$335K - $357K
|
24.9K
$391K
|
|
|
Nov 14, 2023
Q3 2023
|
Pine Bridge Investments, L.P.
|
BUY
|
- |
21.8KNew |
$294K - $313K
|
21.8K
$343K
|
|
|
Oct 26, 2023
Q3 2023
|
Advisor Partners Ii, LLC
Walnut Creek, CA |
BUY
|
- |
18.5KNew |
$249K - $266K
|
18.5K
$291K
|
|
|
Dec 01, 2023
Q3 2023
|
National Asset Management, Inc.
Boca Raton, FL |
BUY
|
- |
16.8K+ 18.95% |
$226K - $241K
|
105K
$1.65M
|
|
|
Nov 07, 2023
Q3 2023
|
Oppenheimer & CO Inc
New York, NY |
BUY
|
- |
14.6K+ 23.16% |
$196K - $209K
|
77.4K
$1.22M
|
|
|
Nov 14, 2023
Q3 2023
|
Wedbush Securities Inc
|
BUY
|
- |
12KNew |
$162K - $172K
|
12K
$189K
|
|
|
Nov 21, 2023
Q3 2023
|
Comerica Bank
|
BUY
|
- |
11.2KNew |
$151K - $161K
|
11.2K
$176K
|
|
|
Oct 24, 2023
Q3 2023
|
Raymond James & Associates
St Petersburg, FL |
BUY
|
- |
7.47K+ 17.01% |
$101K - $107K
|
51.4K
$808K
|
|
|
Nov 13, 2023
Q3 2023
|
Stifel Financial Corp
St. Louis, MO |
BUY
|
- |
6.42K+ 32.4% |
$86.4K - $92.1K
|
26.2K
$412K
|
|
|
Nov 13, 2023
Q3 2023
|
Baird Financial Group, Inc.
Milwaukee, WI |
BUY
|
- |
5.03K+ 2.5% |
$67.7K - $72.2K
|
207K
$3.25M
|
|
|
Oct 24, 2023
Q3 2023
|
Raymond James Financial Services Advisors, Inc.
St. Petersburg, FL |
BUY
|
- |
3.25K+ 22.48% |
$43.7K - $46.6K
|
17.7K
$278K
|
|
|
Nov 06, 2023
Q3 2023
|
Corrado Advisors, LLC
Ramsey, NJ |
BUY
|
- |
2.35K+ 1.23% |
$31.7K - $33.8K
|
193K
$3.04M
|
|
|
Nov 07, 2023
Q3 2023
|
Kingsview Wealth Management, LLC
Grants Pass, OR |
BUY
|
- |
2.08K+ 13.15% |
$28K - $29.9K
|
17.9K
$281K
|
|
|
Nov 08, 2023
Q3 2023
|
Journey Strategic Wealth LLC
Summit, NJ |
BUY
|
- |
2K+ 6.29% |
$26.9K - $28.7K
|
33.8K
$531K
|
|
|
Nov 13, 2023
Q3 2023
|
Wells Fargo & Company
San Francisco, CA |
BUY
|
- |
1.72K+ 0.67% |
$23.2K - $24.7K
|
260K
$4.08M
|
|
|
Oct 30, 2023
Q3 2023
|
Arete Wealth Advisors, LLC
Chicago, IL |
BUY
|
- |
315+ 1.53% |
$4.24K - $4.52K
|
20.9K
$328K
|
|
|
Oct 17, 2023
Q3 2023
|
Davenport & CO LLC
|
BUY
|
- |
5+ 0.02% |
$67.3 - $71.8
|
24.9K
$391K
|
|
|
Oct 30, 2023
Q3 2023
|
Concourse Financial Group Securities, Inc.
Birmingham, AL |
BUY
|
- |
0New |
$0 - $0
|
0
$0
|
|
|
Oct 25, 2023
Q3 2023
|
Concourse Financial Group Securities, Inc.
Birmingham, AL |
BUY
|
- |
0New |
$0 - $0
|
0
$0
|
|
|
Nov 13, 2023
Q3 2023
|
Bessemer Group Inc
Woodbridge, NJ |
SELL
|
- |
-337- 31.61% |
$4.54K - $4.84K
|
729
$11.5K
|
|
|
Nov 09, 2023
Q3 2023
|
Ubs Group Ag
|
SELL
|
- |
-2.02K- 20.85% |
$27.2K - $29K
|
7.67K
$121K
|
|
|
Oct 24, 2023
Q3 2023
|
J.W. Cole Advisors, Inc.
|
SELL
|
- |
-5.4K- 19.45% |
$72.7K - $77.5K
|
22.4K
$351K
|
|
|
Nov 15, 2023
Q3 2023
|
Penserra Capital Management LLC
Orinda, CA |
SELL
|
- |
-19.1K- 6.15% |
$257K - $274K
|
291K
$4.57M
|
|
|
Nov 08, 2023
Q3 2023
|
High Tower Advisors, LLC
Chicago, IL |
SELL
|
- |
-19.3K- 39.12% |
$260K - $277K
|
30K
$472K
|
|
|
Nov 13, 2023
Q3 2023
|
Relative Value Partners Group, LLC
Northbrook, IL |
SELL
|
- |
-35.2K- 14.09% |
$474K - $505K
|
215K
$3.37M
|
|
|
Nov 14, 2023
Q3 2023
|
Logan Stone Capital, LLC
Chicago, IL |
SELL
|
- |
-100K- 78.59% |
$1.35M - $1.43M
|
27.2K
$428K
|
|
|
Oct 27, 2023
Q3 2023
|
Nordwand Advisors, LLC
Radnor, PA |
SELL
|
- |
-580K- 94.13% |
$7.8M - $8.32M
|
36.1K
$568K
|