Guggenheim Active Allocation Fund
GUG- Exchange
- NYSE
- SEC CIK
- 0001864208
No open-market purchases or sales by Guggenheim Active Allocation Fund insiders were filed in the last 90 days; 46 institutions reported holding it in 13F filings for Q2 2026, worth $182.6M in total; no superinvestor holds it.
13F holders, Q3 2022
Institutional positions in Guggenheim Active Allocation Fund as of Sep 30, 2022. Investment managers with $100 million or more in US stocks report their long positions on Form 13F within 45 days after each quarter ends. How 13F works
- Institutional holders
- 30
- +9 vs. Q2 2022
- Shares held
- 5.55M
- +644.3K (+13.1%) vs. Q2 2022
- Total value
- $71.5M
- +$1.84M (+2.6%) vs. Q2 2022
- New holders
- 10
- 9 more added
- Sold out
- 1
- 7 more reduced
1 institution that held it in Q2 2022 haven't filed for Q3 2022 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q2 2022: new holders, sold out and not filed yet
Holders and value by quarter
Institutions reporting GUG on Form 13F each quarter since Q1 2021, and the total value they reported. Values are as of each quarter end, so they also move with the share price.
| Quarter | Holders | Value |
|---|---|---|
| Q2 2026 | 46 | $182.6M |
| Q1 2026 | 44 | $160.8M |
| Q4 2025 | 53 | $165.2M |
| Q3 2025 | 51 | $163.1M |
| Q2 2025 | 49 | $161.3M |
| Q1 2025 | 51 | $143.6M |
| Q4 2024 | 57 | $136.6M |
| Q3 2024 | 49 | $138.1M |
| Q2 2024 | 51 | $126.0M |
| Q1 2024 | 50 | $121.3M |
| Q4 2023 | 44 | $143.5M |
| Q3 2023 | 41 | $113.7M |
| Q2 2023 | 37 | $122.4M |
| Q1 2023 | 36 | $116.3M |
| Q4 2022 | 34 | $107.3M |
| Q3 2022 | 30 | $71.5M |
| Q2 2022 | 22 | $70.0M |
| Q1 2022 | 14 | $57.7M |
| Q4 2021 | 5 | $24.5M |
| Q3 2021 | 0 | $0 |
| Q2 2021 | 0 | $0 |
| Q1 2021 | 0 | $0 |
Institutions, Q3 2022
Shares, value and share of portfolio for each institution holding Guggenheim Active Allocation Fund; share changes are against Q2 2022.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Morgan Stanley | 2,438,105 | $31.4M | 0.00% | −74,284−3.0% | Reduced |
| Bank of America Corp | 734,710 | $9.47M | 0.00% | +127,692+21.0% | Added |
| Rivernorth Capital Management, LLC | 613,038 | $7.87M | 0.35% | −160,483−20.7% | Reduced |
| Cohen & Steers, Inc. | 470,044 | $6.06M | 0.01% | +176,850+60.3% | Added |
| Penserra Capital Management LLC | 396,732 | $5.11M | 0.14% | +396,732 | New |
| Corrado Advisors, LLC | 226,182 | $2.92M | 2.37% | −8,527−3.6% | Reduced |
| U.S. Capital Wealth Advisors, LLC | 128,147 | $1.65M | 0.08% | +38,115+42.3% | Added |
| Wells Fargo & Company | 112,001 | $1.44M | 0.00% | +47,257+73.0% | Added |
| Relative Value Partners Group, LLC | 71,857 | $926.0K | 0.08% | +71,857 | New |
| Oppenheimer & Co Inc | 68,000 | $877.0K | 0.02% | 00.0% | Unchanged |
| Saba Capital Management, L.P. | 46,189 | $595.0K | 0.01% | +46,189 | New |
| Millennium Management LLC | 45,666 | $589.0K | 0.00% | +45,666 | New |
| Hightower 6M Holding, LLC | 34,544 | $445.0K | 0.04% | −8,634−20.0% | Reduced |
| National Asset Management, Inc. | 31,823 | $411.0K | 0.01% | +18,703+142.6% | Added |
| Davenport & Co LLC | 18,023 | $232.0K | 0.00% | +1,464+8.8% | Added |
| Royal Bank of Canada | 15,502 | $200.0K | 0.00% | −1,389−8.2% | Reduced |
| IFG Advisory, LLC | 15,000 | $193.0K | 0.02% | 00.0% | Unchanged |
| Stifel Financial Corp | 11,473 | $148.0K | 0.00% | +57+0.5% | Added |
| Journey Strategic Wealth LLC | 11,068 | $143.0K | 0.02% | +11,068 | New |
| Arete Wealth Advisors, LLC | 10,248 | $132.0K | 0.01% | +248+2.5% | Added |
| Equitable Holdings, Inc. | 10,185 | $131.0K | 0.00% | 00.0% | Unchanged |
| Jane Street Group, LLC | 10,139 | $131.0K | 0.00% | +10,139 | New |
| Prosperity Consulting Group, LLC | 10,000 | $129.0K | 0.11% | +10,000 | New |
| Rockefeller Capital Management L.P. | 7,500 | $96.0K | 0.00% | +7,500 | New |
| Advisor Group Holdings, Inc. | 4,420 | $57.0K | 0.00% | +4,420 | New |
| UBS Group AG | 3,750 | $48.0K | 0.00% | −15,957−81.0% | Reduced |
| Blue Bell Private Wealth Management, LLC | 2,972 | $38.0K | 0.01% | +1,972+197.2% | Added |
| Harbour Investments, Inc. | 1,500 | $21.0K | 0.00% | 00.0% | Unchanged |
| Trust Co of Vermont | 1,250 | $16.0K | 0.00% | +1,250 | New |
| Bessemer Group Inc | 630 | $8.00K | 0.00% | −132−17.3% | Reduced |
| Almitas Capital LLC | 0 | $0 | 0.00% | −103,464−100.0% | Sold out |
| B. Riley Wealth Management, Inc. | – | – | – | – | Not filed |