Stock Transactions — GUGGENHEIM ACTIVE ALLOC FD

Total Bought
887,395
34 transactions
Total Sold
100,684
14 transactions
Net
+786,711
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
BANK OF AMERICA CORP /DE/615,034920,711+305,6770.000.00+0.00buy
Pathstone Holdings, LLC658,169770,869+112,7000.040.05+0.00buy
MORGAN STANLEY2,471,7972,581,005+109,2080.000.00-0.00buy
Advisors Asset Management, Inc.709,795799,921+90,1260.200.22+0.02buy
RAYMOND JAMES FINANCIAL INC592,568650,002+57,4340.000.00+0.00buy
Steward Partners Investment Advisory, LLC30,68975,835+45,1460.000.01+0.01buy
Golden State Equity Partners039,724+39,7240.000.12+0.12buy
Baird Financial Group, Inc.766,124781,143+15,0190.020.02-0.00buy
Invesco Ltd.47,51760,389+12,8720.000.00+0.00buy
Laird Norton Wetherby Wealth Management, LLC11,23223,590+12,3580.010.02+0.01buy
UBS Group AG46,42158,755+12,3340.000.00+0.00buy
J.W. COLE ADVISORS, INC.26,89138,406+11,5150.010.01+0.00buy
Orion Porfolio Solutions, LLC011,450+11,4500.000.00+0.00buy
JPMORGAN CHASE & CO05,199+5,1990.000.00+0.00buy
WELLS FARGO & COMPANY/MN250,898255,921+5,0230.000.00-0.00buy
COHEN & STEERS, INC.736,149741,149+5,0000.020.02+0.00buy
CORRADO ADVISORS, LLC162,224167,183+4,9591.631.60-0.03buy
STIFEL FINANCIAL CORP60,76765,580+4,8130.000.00+0.00buy
HighTower Advisors, LLC24,09828,645+4,5470.000.00+0.00buy
Aviance Capital Partners, LLC24,43428,793+4,3590.050.06+0.01buy
ENVESTNET ASSET MANAGEMENT INC28,60132,501+3,9000.000.00+0.00buy
Larson Financial Group LLC03,000+3,0000.000.00+0.00buy
OPPENHEIMER & CO INC88,12090,955+2,8350.020.02-0.00buy
Cetera Investment Advisers19,43621,746+2,3100.000.00+0.00buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO01,518+1,5180.000.00+0.00buy
Geneos Wealth Management Inc.1,5003,000+1,5000.000.00+0.00buy
Concurrent Investment Advisors, LLC26,60927,942+1,3330.010.01-0.00buy
Rockefeller Capital Management L.P.21,14721,645+4980.000.00-0.00buy
COMMONWEALTH EQUITY SERVICES, LLC11,60012,064+4640.000.00+0.00buy
LPL Financial LLC24,58124,820+2390.000.00-0.00buy
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC0200+2000.000.00+0.00buy
WEDBUSH SECURITIES INC15,07415,142+680.010.01-0.00buy
Kestra Advisory Services, LLC96,14996,208+590.010.01+0.00buy
OSAIC HOLDINGS, INC.52,27252,280+80.000.00-0.00buy
GUGGENHEIM CAPITAL LLC950,000950,00000.130.12-0.01hold
TSFG, LLC1,7341,73400.010.00-0.00hold
U.S. Capital Wealth Advisors, LLC26,80226,80200.010.01-0.00hold
Nordwand Advisors, LLC11,50011,50000.070.03-0.04hold
Annis Gardner Whiting Capital Advisors, LLC7,5007,50000.050.04-0.01hold
CONCOURSE FINANCIAL GROUP SECURITIES, INC.0000.000.000.00hold
SouthState Corp8,4258,42500.010.01-0.00hold
HARBOUR INVESTMENTS, INC.1,5001,50000.000.00-0.00hold
DAVENPORT & Co LLC24,00624,00600.000.00-0.00hold
CWM, LLC1240-1240.000.00-0.00sell
Kingsview Wealth Management, LLC19,60519,055-5500.010.01-0.00sell
Banque Transatlantique SA8000-8000.000.00-0.00sell
Allworth Financial LP1,0000-1,0000.000.00-0.00sell
JOURNEY STRATEGIC WEALTH LLC29,53927,539-2,0000.020.01-0.00sell
ROYAL BANK OF CANADA517,900515,370-2,5300.000.00-0.00sell
Elequin Capital, LP4,408808-3,6000.010.00-0.01sell
Kovitz Investment Group Partners, LLC195,786185,191-10,5950.010.01-0.00sell
TRUIST FINANCIAL CORP10,8530-10,8530.000.00-0.00sell
Avior Wealth Management, LLC11,6700-11,6700.010.00-0.01sell
PFG Investments, LLC12,5500-12,5500.010.00-0.01sell
MGB Wealth Management, LLC24,01910,921-13,0980.130.06-0.07sell
MILLENNIUM MANAGEMENT LLC14,6020-14,6020.000.00-0.00sell
Walleye Capital LLC32,93216,220-16,7120.010.00-0.00sell
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