Stock Transactions — GUGGENHEIM ACTIVE ALLOC FD

Total Bought
1,085,622
33 transactions
Total Sold
365,630
16 transactions
Net
+719,992
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
▲▼
Change in Weight (%)
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Type
MORGAN STANLEY2,036,2542,410,013+373,7590.000.00+0.00buy
Pathstone Holdings, LLC220,358328,473+108,1150.020.02+0.01buy
Advisors Asset Management, Inc.487,873595,917+108,0440.150.16+0.01buy
Kestra Advisory Services, LLC096,110+96,1100.000.01+0.01buy
Kovitz Investment Group Partners, LLC69,419157,875+88,4560.010.01+0.00buy
Baird Financial Group, Inc.694,920735,643+40,7230.020.02-0.00buy
UBS Group AG13,12449,047+35,9230.000.00+0.00buy
Walleye Capital LLC033,815+33,8150.000.00+0.00buy
HighTower Advisors, LLC032,336+32,3360.000.00+0.00buy
Marex Group plc031,739+31,7390.000.01+0.01buy
Penserra Capital Management LLC299,198320,814+21,6160.110.09-0.02buy
LPL Financial LLC020,047+20,0470.000.00+0.00buy
Independent Advisor Alliance016,103+16,1030.000.00+0.00buy
Invesco Ltd.013,247+13,2470.000.00+0.00buy
LANDSCAPE CAPITAL MANAGEMENT, L.L.C.011,839+11,8390.000.02+0.02buy
OPPENHEIMER & CO INC73,32583,775+10,4500.020.02+0.00buy
SouthState Corp08,425+8,4250.000.01+0.01buy
WEDBUSH SECURITIES INC14,85822,658+7,8000.010.01+0.00buy
Steward Partners Investment Advisory, LLC4,9649,664+4,7000.000.00+0.00buy
JPMORGAN CHASE & CO04,350+4,3500.000.00+0.00buy
J.W. COLE ADVISORS, INC.39,85343,607+3,7540.030.03-0.00buy
Concurrent Investment Advisors, LLC23,38126,550+3,1690.010.01-0.00buy
Cetera Investment Advisers15,77417,733+1,9590.000.00-0.00buy
Avior Wealth Management, LLC3,5665,479+1,9130.000.00+0.00buy
ENVESTNET ASSET MANAGEMENT INC24,44226,271+1,8290.000.00-0.00buy
Aviance Capital Partners, LLC17,76019,424+1,6640.040.04+0.00buy
BESSEMER GROUP INC01,106+1,1060.000.00+0.00buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO0750+7500.000.00+0.00buy
MGB Wealth Management, LLC11,26412,011+7470.070.06-0.01buy
STIFEL FINANCIAL CORP54,79355,192+3990.000.00-0.00buy
Arete Wealth Advisors, LLC15,22015,529+3090.020.02-0.00buy
COMMONWEALTH EQUITY SERVICES, LLC11,07711,336+2590.000.00-0.00buy
FMR LLC0167+1670.000.00+0.00buy
Laird Norton Wetherby Wealth Management, LLC11,23211,23200.010.01-0.00hold
GUGGENHEIM CAPITAL LLC950,000950,00000.110.12+0.01hold
Geneos Wealth Management Inc.1,5001,50000.000.00-0.00hold
U.S. Capital Wealth Advisors, LLC26,80226,80200.020.01-0.00hold
Nordwand Advisors, LLC16,50016,50000.070.10+0.03hold
Annis Gardner Whiting Capital Advisors, LLC7,5007,50000.030.03-0.00hold
Provenance Wealth Advisors, LLC36136100.000.00-0.00hold
HARBOUR INVESTMENTS, INC.1,5001,50000.000.00-0.00hold
COMERICA BANK2,2002,20000.000.00-0.00hold
Kingsview Wealth Management, LLC19,86019,605-2550.010.01-0.00sell
Castleview Partners, LLC2980-2980.000.00-0.00sell
DAVENPORT & Co LLC26,20025,200-1,0000.000.00-0.00sell
WELLS FARGO & COMPANY/MN252,938251,604-1,3340.000.00-0.00sell
B. Riley Wealth Advisors, Inc.18,37716,563-1,8140.010.01-0.00sell
OSAIC HOLDINGS, INC.60,23054,682-5,5480.000.00-0.00sell
JOURNEY STRATEGIC WEALTH LLC45,99237,142-8,8500.030.02-0.01sell
Rockefeller Capital Management L.P.32,55923,366-9,1930.000.00-0.00sell
CORRADO ADVISORS, LLC171,743160,829-10,9141.781.56-0.22sell
Savant Capital, LLC11,5100-11,5100.000.00-0.00sell
Equitable Holdings, Inc.12,4200-12,4200.000.00-0.00sell
PFG Investments, LLC31,85018,850-13,0000.030.02-0.02sell
BANK OF AMERICA CORP /DE/599,821576,436-23,3850.000.00-0.00sell
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC49,6500-49,6500.010.00-0.01sell
ROYAL BANK OF CANADA520,629462,272-58,3570.000.00-0.00sell
COHEN & STEERS, INC.944,251786,149-158,1020.030.02-0.01sell
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