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Disclosery

GUG GUGGENHEIM ACTIVE ALLOC FD

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COMMON STOCK (fund), issuer CIK 1864208

52 managers (52 13F filers) reported a position in GUG shares at 2025-03-31, 9,531,645 shares in all. 6 filers opened a position and 11 filers sold out during the quarter.

Managers
52
13F filers
52
New
6
Added
24
Reduced
14
Sold out
11
Shares held by filers
9,531,645

Shares held by filers adds up every 13F filer's report, so a share reported by a parent and by its subsidiary counts twice (H9). Managers counts each filer group once.

13D and 13G filers

No 13D or 13G on this security in the data. Structured 13D/G data starts 2024-12-18.

Insider trades

No Form 4 transaction on this security in the data.

13F holders, Q1 2025

Filers in the available 13F reports with a share position at 2025-03-31, filer groups collapsed to one row (method), largest first. Options and principal amounts are left out. A group row states no % of portfolio, since each member reports its own portfolio: the members' percents are listed under it. A value about 1,000 times or 1/1,000 of the price other filers imply is shown as filed but neither ranks the row nor enters a sum.

HolderSharesValue% of portfolioChangeSource
MORGAN STANLEYin group MORGAN STANLEY2,471,797$37.2M<0.01%+61,78413F-HRTimelineGroup
GUGGENHEIM CAPITAL LLCin group GUGGENHEIM CAPITAL LLC950,000$14.3M0.13%013F-HRTimelineGroup
Baird Financial Group, Inc.in group Baird Financial Group, Inc.766,124$11.5M0.02%+30,48113F-HRTimelineGroup
COHEN & STEERS, INC.in group COHEN & STEERS, INC.736,149$11.1M0.02%-50,00013F-HRTimelineGroup
Advisors Asset Management, Inc.709,795$10.7M0.2%+113,87813F-HR/ATimeline
Pathstone Holdings, LLCin group Pathstone Holdings, LLC658,169$9.97M0.04%+329,69613F-HRTimelineGroup
BANK OF AMERICA CORP /DE/in group BANK OF AMERICA CORP /DE/615,034$9.27M<0.01%+38,59813F-HRTimelineGroup
RAYMOND JAMES FINANCIAL INCin group RAYMOND JAMES FINANCIAL INC592,568$8.93M<0.01%+85,86813F-HRTimelineGroup
ROYAL BANK OF CANADAin group ROYAL BANK OF CANADA517,900$7.8M<0.01%+55,62813F-HR/ATimelineGroup
WELLS FARGO & COMPANY/MNin group WELLS FARGO & COMPANY/MN250,898$3.78M<0.01%-70613F-HRTimelineGroup
NorthCoast Asset Management LLC195,786$2.95M0.01%+37,91113F-HR/ATimeline
CORRADO ADVISORS, LLC162,224$2.44M1.63%+1,39513F-HRTimeline
Kestra Advisory Services, LLCin group Kestra Advisory Services, LLC96,149$1.45M0.01%+3913F-HRTimelineGroup
OPPENHEIMER & CO INCin group OPPENHEIMER ASSET MANAGEMENT …88,120$1.33M0.02%+4,34513F-HRTimelineGroup
STIFEL FINANCIAL CORPin group STIFEL FINANCIAL CORP60,767$916K<0.01%+5,57513F-HRTimelineGroup
OSAIC HOLDINGS, INC.in group OSAIC HOLDINGS, INC.52,272$788K<0.01%-2,41013F-HRTimelineGroup
Invesco Ltd.in group Invesco Ltd.47,517$716K<0.01%+34,27013F-HRTimelineGroup
UBS Group AGin group UBS Group AG46,421$700K<0.01%-2,62613F-HRTimelineGroup
Walleye Capital LLCin group Walleye Capital LLC32,932$496K0.01%-88313F-HRTimelineGroup
Steward Partners Investment Advisory, L…30,689$462K<0.01%+21,02513F-HRTimeline
JOURNEY STRATEGIC WEALTH LLC29,539$445K0.02%-7,60313F-HRTimeline
ENVESTNET ASSET MANAGEMENT INCin group ENVESTNET ASSET MANAGEMENT INC28,601$431K<0.01%+2,33013F-HRTimelineGroup
J.W. COLE ADVISORS, INC.26,891$405K0.01%-16,71613F-HRTimeline
U.S. Capital Wealth Advisors, LLC26,802$404K0.01%013F-HRTimeline
Concurrent Investment Advisors, LLCin group Concurrent Investment Advisor…26,609$401K0.01%+5913F-HRTimelineGroup
LPL Financial LLC24,581$370K<0.01%+4,53413F-HRTimeline
Aviance Capital Partners, LLC24,434$368K0.05%+5,01013F-HRTimeline
HighTower Advisors, LLC24,098$363K<0.01%-8,23813F-HRTimeline
DAVENPORT & Co LLC24,006$362K<0.01%-1,19413F-HRTimeline
MGB Wealth Management, LLC24,019$361K0.13%+12,00813F-HRTimeline
Rockefeller Capital Management L.P.in group Rockefeller Capital Managemen…21,147$319K<0.01%-2,21913F-HRTimelineGroup
Kingsview Wealth Management, LLC19,605$295K0.01%013F-HRTimeline
Cetera Investment Advisers19,436$293K<0.01%+1,70313F-HRTimeline
WEDBUSH SECURITIES INC15,074$227K0.01%-7,58413F-HRTimeline
MILLENNIUM MANAGEMENT LLCin group MILLENNIUM MANAGEMENT LLC14,602$220K<0.01%new13F-HRTimelineGroup
PFG Investments, LLC12,550$189K0.01%-6,30013F-HRTimeline
Avior Wealth Management, LLC11,670$176K0.01%+6,19113F-HRTimeline
COMMONWEALTH EQUITY SERVICES, LLC11,600$175K<0.01%+26413F-HRTimeline
Nordwand Advisors, LLC11,500$173K0.07%-5,00013F-HRTimeline
TRUIST FINANCIAL CORPin group TRUIST FINANCIAL CORP10,853$164K<0.01%new13F-HRTimelineGroup
SUSQUEHANNA INTERNATIONAL GROUP, LLPin group SUSQUEHANNA INTERNATIONAL GRO…10,776$162K<0.01%+41013F-HRTimelineGroup
SouthState Bank Corpin group SouthState Bank Corp8,425$127K0.01%013F-HRTimelineGroup
Annis Gardner Whiting Capital Advisors,…7,500$113K0.05%013F-HRTimeline
Geneos Wealth Management Inc.6,000$90.4K<0.01%+4,50013F-HRTimeline
Elequin Capital, LP4,408$66.4K0.01%new13F-HRTimeline
TSFG, LLC1,734$26K0.01%new13F-HRTimeline
HARBOUR INVESTMENTS, INC.1,500$22.6K<0.01%013F-HRTimeline
Allworth Financial LP1,000$14.9K<0.01%new13F-HRTimeline
Noble Wealth Management PBC700$10.5K0.01%013F-HRTimeline
JPMORGAN CHASE & COin group JPMORGAN CHASE & CO550$8.29K<0.01%-3,80013F-HRTimelineGroup
CWM, LLCin group CWM, LLC124$2K<0.01%new13F-HRTimelineGroup
CONCOURSE FINANCIAL GROUP SECURITIES, I…0$0013F-HRTimelineValue filed as zero, left out of ratios. Amount filed as zero, left out of ratios.