GUGGENHEIM ACTIVE ALLOC FD

CUSIP: 40170T106 Class: COMMON STOCK

Note: Option positions (PUT/CALL) are excluded.

InstitutionSharesValue ($000)
MORGAN STANLEY2,782,293$42,653
Pathstone Holdings, LLC975,927$14,961
GUGGENHEIM CAPITAL LLC950,000$14,564
BANK OF AMERICA CORP /DE/885,035$13,568
Advisors Asset Management, Inc.835,944$12,815
COHEN & STEERS, INC.748,149$11
Baird Financial Group, Inc.708,042$10,854
RAYMOND JAMES FINANCIAL INC648,132$9,936
ROYAL BANK OF CANADA484,718$7,430
WELLS FARGO & COMPANY/MN276,495$4,239
CORRADO ADVISORS, LLC180,342$2,765
Focus Partners Wealth142,693$2,187
Steward Partners Investment Advisory, LLC137,379$2,106
Closed-End Fund Advisors, Inc.110,396$1,692
Kestra Advisory Services, LLC104,026$1,595
Invesco Ltd.78,358$1,201
OPPENHEIMER & CO INC71,031$1,089
STIFEL FINANCIAL CORP48,281$740
Golden State Equity Partners47,694$731
OSAIC HOLDINGS, INC.45,540$698
J.W. COLE ADVISORS, INC.39,015$333
Concurrent Investment Advisors, LLC36,477$559
Aviance Capital Partners, LLC31,620$485
ENVESTNET ASSET MANAGEMENT INC31,484$483
World Investment Advisors30,967$475
Rockefeller Capital Management L.P.30,004$460
JOURNEY STRATEGIC WEALTH LLC27,939$428
Marex Group plc27,847$427
Cetera Investment Advisers27,333$419
LPL Financial LLC26,563$407
DAVENPORT & Co LLC24,363$373
JANE STREET GROUP, LLC19,880$305
UBS Group AG19,175$294
Brinker Capital Investments, LLC15,212$233
COMMONWEALTH EQUITY SERVICES, LLC15,133$232
Cambridge Investment Research Advisors, Inc.15,027$0
Kingsview Wealth Management, LLC14,830$227
MGB Wealth Management, LLC14,146$217
1607 Capital Partners, LLC12,600$193
High Net Worth Advisory Group LLC12,373$190
U.S. Capital Wealth Advisors, LLC11,802$181
XTX Topco Ltd10,861$166
WEDBUSH SECURITIES INC10,758$0
SouthState Corp8,425$129
Annis Gardner Whiting Capital Advisors, LLC7,500$115
Larson Financial Group LLC3,000$46
Geneos Wealth Management Inc.3,000$46
Noble Wealth Management PBC2,700$41
TSFG, LLC1,734$0
HARBOUR INVESTMENTS, INC.1,500$23
JPMORGAN CHASE & CO550$8
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC500$8
CENTRAL TRUST Co1$0
Total (53 institutions)10,794,794$153,340