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, Q4 2022
Institutional positions in Guggenheim Active Allocation Fund as of Dec 31, 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
- 34
- +5 vs. Q3 2022
- Shares held
- 7.98M
- +2.46M (+44.6%) vs. Q3 2022
- Total value
- $107.3M
- +$36.2M (+51.0%) vs. Q3 2022
- New holders
- 11
- 15 more added
- Sold out
- 6
- 5 more reduced
1 institution that held it in Q3 2022 haven't filed for Q4 2022 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q3 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, Q4 2022
Shares, value and share of portfolio for each institution holding Guggenheim Active Allocation Fund; share changes are against Q3 2022.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Advisors Asset Management, Inc. | 213 | $2.87K | 0.00% | +213 | New |
| Cary Street Partner Investment Advisory LLC | 250 | $3.36K | 0.00% | +250 | New |
| Harbour Investments, Inc. | 1,500 | $20.2K | 0.00% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 1,500 | $20.2K | 0.00% | +1,500 | New |
| Advisor Group Holdings, Inc. | 2,900 | $39.0K | 0.00% | −1,520−34.4% | Reduced |
| Rockefeller Capital Management L.P. | 7,500 | $100.0K | 0.00% | 00.0% | Unchanged |
| Arete Wealth Advisors, LLC | 10,520 | $141.5K | 0.01% | +272+2.7% | Added |
| LPL Financial LLC | 10,600 | $142.6K | 0.00% | +10,600 | New |
| Millennium Management LLC | 10,904 | $147.0K | 0.00% | −34,762−76.1% | Reduced |
| UBS Group AG | 11,680 | $157.1K | 0.00% | +7,930+211.5% | Added |
| Stifel Financial Corp | 12,901 | $173.5K | 0.00% | +1,428+12.4% | Added |
| Journey Strategic Wealth LLC | 13,254 | $178.3K | 0.02% | +2,186+19.8% | Added |
| IFG Advisory, LLC | 15,000 | $201.0K | 0.02% | 00.0% | Unchanged |
| Royal Bank of Canada | 16,202 | $218.0K | 0.00% | +700+4.5% | Added |
| J.W. Cole Advisors, Inc. | 18,726 | $251.9K | 0.02% | +18,726 | New |
| Davenport & Co LLC | 21,634 | $291.0K | 0.00% | +3,611+20.0% | Added |
| Atlas Wealth LLC | 33,429 | $449.6K | 0.12% | +33,429 | New |
| 1607 Capital Partners, LLC | 44,417 | $597.4K | 0.04% | +44,417 | New |
| Weiss Asset Management LP | 45,315 | $609.5K | 0.03% | +45,315 | New |
| National Asset Management, Inc. | 64,124 | $862.5K | 0.02% | +32,301+101.5% | Added |
| Oppenheimer & Co Inc | 69,800 | $938.8K | 0.02% | +1,800+2.6% | Added |
| U.S. Capital Wealth Advisors, LLC | 121,417 | $1.63M | 0.08% | −6,730−5.3% | Reduced |
| Corrado Advisors, LLC | 181,686 | $2.44M | 1.71% | −44,496−19.7% | Reduced |
| Wells Fargo & Company | 225,203 | $3.03M | 0.00% | +113,202+101.1% | Added |
| Logan Stone Capital, LLC | 260,772 | $3.51M | 1.31% | +260,772 | New |
| Relative Value Partners Group, LLC | 266,283 | $3.58M | 0.25% | +194,426+270.6% | Added |
| Guggenheim Capital LLC | 315,680 | $4.25M | 0.04% | +315,680 | New |
| Penserra Capital Management LLC | 435,887 | $5.86M | 0.13% | +39,155+9.9% | Added |
| Nordwand Advisors, LLC | 575,727 | $7.74M | 0.97% | +575,727 | New |
| Cohen & Steers, Inc. | 588,128 | $7.91M | 0.02% | +118,084+25.1% | Added |
| Saba Capital Management, L.P. | 701,470 | $9.43M | 0.16% | +655,281+1,418.7% | Added |
| Rivernorth Capital Management, LLC | 743,098 | $9.99M | 0.45% | +130,060+21.2% | Added |
| Bank of America Corp | 840,425 | $11.3M | 0.00% | +105,715+14.4% | Added |
| Morgan Stanley | 2,309,783 | $31.1M | 0.00% | −128,322−5.3% | Reduced |
| Equitable Holdings, Inc. | 0 | $0 | 0.00% | −10,185−100.0% | Sold out |
| Jane Street Group, LLC | 0 | $0 | 0.00% | −10,139−100.0% | Sold out |
| Prosperity Consulting Group, LLC | 0 | $0 | 0.00% | −10,000−100.0% | Sold out |
| Blue Bell Private Wealth Management, LLC | 0 | $0 | 0.00% | −2,972−100.0% | Sold out |
| Trust Co of Vermont | 0 | $0 | 0.00% | −1,250−100.0% | Sold out |
| Bessemer Group Inc | 0 | $0 | 0.00% | −630−100.0% | Sold out |
| Hightower 6M Holding, LLC | – | – | – | – | Not filed |