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 |
|---|---|---|---|---|---|
| Bessemer Group Inc | 630 | $8.00K | 0.00% | −132−17.3% | Reduced |
| Trust Co of Vermont | 1,250 | $16.0K | 0.00% | +1,250 | New |
| Harbour Investments, Inc. | 1,500 | $21.0K | 0.00% | 00.0% | Unchanged |
| Blue Bell Private Wealth Management, LLC | 2,972 | $38.0K | 0.01% | +1,972+197.2% | Added |
| UBS Group AG | 3,750 | $48.0K | 0.00% | −15,957−81.0% | Reduced |
| Advisor Group Holdings, Inc. | 4,420 | $57.0K | 0.00% | +4,420 | New |
| Rockefeller Capital Management L.P. | 7,500 | $96.0K | 0.00% | +7,500 | New |
| Prosperity Consulting Group, LLC | 10,000 | $129.0K | 0.11% | +10,000 | New |
| 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 |
| Arete Wealth Advisors, LLC | 10,248 | $132.0K | 0.01% | +248+2.5% | Added |
| Journey Strategic Wealth LLC | 11,068 | $143.0K | 0.02% | +11,068 | New |
| Stifel Financial Corp | 11,473 | $148.0K | 0.00% | +57+0.5% | Added |
| IFG Advisory, LLC | 15,000 | $193.0K | 0.02% | 00.0% | Unchanged |
| Royal Bank of Canada | 15,502 | $200.0K | 0.00% | −1,389−8.2% | Reduced |
| Davenport & Co LLC | 18,023 | $232.0K | 0.00% | +1,464+8.8% | Added |
| National Asset Management, Inc. | 31,823 | $411.0K | 0.01% | +18,703+142.6% | Added |
| Hightower 6M Holding, LLC | 34,544 | $445.0K | 0.04% | −8,634−20.0% | Reduced |
| Millennium Management LLC | 45,666 | $589.0K | 0.00% | +45,666 | New |
| Saba Capital Management, L.P. | 46,189 | $595.0K | 0.01% | +46,189 | New |
| Oppenheimer & Co Inc | 68,000 | $877.0K | 0.02% | 00.0% | Unchanged |
| Relative Value Partners Group, LLC | 71,857 | $926.0K | 0.08% | +71,857 | New |
| Wells Fargo & Company | 112,001 | $1.44M | 0.00% | +47,257+73.0% | Added |
| U.S. Capital Wealth Advisors, LLC | 128,147 | $1.65M | 0.08% | +38,115+42.3% | Added |
| Corrado Advisors, LLC | 226,182 | $2.92M | 2.37% | −8,527−3.6% | Reduced |
| Penserra Capital Management LLC | 396,732 | $5.11M | 0.14% | +396,732 | New |
| Cohen & Steers, Inc. | 470,044 | $6.06M | 0.01% | +176,850+60.3% | Added |
| Rivernorth Capital Management, LLC | 613,038 | $7.87M | 0.35% | −160,483−20.7% | Reduced |
| Bank of America Corp | 734,710 | $9.47M | 0.00% | +127,692+21.0% | Added |
| Morgan Stanley | 2,438,105 | $31.4M | 0.00% | −74,284−3.0% | Reduced |
| Almitas Capital LLC | 0 | $0 | 0.00% | −103,464−100.0% | Sold out |
| B. Riley Wealth Management, Inc. | – | – | – | – | Not filed |