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, Q1 2023
Institutional positions in Guggenheim Active Allocation Fund as of Mar 31, 2023. 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
- 36
- +2 vs. Q4 2022
- Shares held
- 8.30M
- +324.0K (+4.1%) vs. Q4 2022
- Total value
- $116.3M
- +$9.00M (+8.4%) vs. Q4 2022
- New holders
- 7
- 16 more added
- Sold out
- 5
- 8 more reduced
Compare with Q4 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, Q1 2023
Shares, value and share of portfolio for each institution holding Guggenheim Active Allocation Fund; share changes are against Q4 2022.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Morgan Stanley | 2,140,695 | $30.1M | 0.00% | −169,088−7.3% | Reduced |
| Bank of America Corp | 919,759 | $12.9M | 0.00% | +79,334+9.4% | Added |
| Rivernorth Capital Management, LLC | 800,731 | $11.0M | 0.53% | +57,633+7.8% | Added |
| Nordwand Advisors, LLC | 711,727 | $9.99M | 1.63% | +136,000+23.6% | Added |
| Cohen & Steers, Inc. | 701,925 | $9.86M | 0.02% | +113,797+19.3% | Added |
| Saba Capital Management, L.P. | 664,905 | $9.34M | 0.23% | −36,565−5.2% | Reduced |
| Guggenheim Capital LLC | 315,680 | $4.43M | 0.04% | 00.0% | Unchanged |
| Penserra Capital Management LLC | 290,699 | $4.08M | 0.08% | −145,188−33.3% | Reduced |
| Wells Fargo & Company | 268,394 | $3.77M | 0.00% | +43,191+19.2% | Added |
| Relative Value Partners Group, LLC | 260,812 | $3.66M | 0.25% | −5,471−2.1% | Reduced |
| Logan Stone Capital, LLC | 242,062 | $3.40M | 1.34% | −18,710−7.2% | Reduced |
| Corrado Advisors, LLC | 186,864 | $2.62M | 1.74% | +5,178+2.8% | Added |
| Baird Financial Group, Inc. | 143,502 | $2.01M | 0.00% | +143,502 | New |
| U.S. Capital Wealth Advisors, LLC | 119,467 | $1.68M | 0.08% | −1,950−1.6% | Reduced |
| National Asset Management, Inc. | 84,666 | $1.19M | 0.03% | +20,542+32.0% | Added |
| Oppenheimer & Co Inc | 77,300 | $1.09M | 0.02% | +7,500+10.7% | Added |
| 1607 Capital Partners, LLC | 44,417 | $623.6K | 0.04% | 00.0% | Unchanged |
| HighTower Advisors, LLC | 38,151 | $532.0K | 0.00% | +38,151 | New |
| Advisors Asset Management, Inc. | 36,637 | $514.4K | 0.01% | +36,424+17,100.5% | Added |
| Atlas Wealth LLC | 29,940 | $420.4K | 0.08% | −3,489−10.4% | Reduced |
| J.W. Cole Advisors, Inc. | 27,887 | $391.5K | 0.03% | +9,161+48.9% | Added |
| Raymond James & Associates | 25,825 | $362.6K | 0.00% | +25,825 | New |
| Davenport & Co LLC | 22,371 | $314.1K | 0.00% | +737+3.4% | Added |
| Arete Wealth Advisors, LLC | 21,163 | $297.0K | 0.02% | +10,643+101.2% | Added |
| Royal Bank of Canada | 21,096 | $296.0K | 0.00% | +4,894+30.2% | Added |
| Stifel Financial Corp | 18,297 | $256.9K | 0.00% | +5,396+41.8% | Added |
| IFG Advisory, LLC | 15,000 | $210.6K | 0.02% | 00.0% | Unchanged |
| Envestnet Asset Management Inc | 13,580 | $190.7K | 0.00% | +13,580 | New |
| Journey Strategic Wealth LLC | 13,439 | $188.7K | 0.02% | +185+1.4% | Added |
| Raymond James Financial Services Advisors, Inc. | 12,992 | $182.4K | 0.00% | +12,992 | New |
| UBS Group AG | 11,254 | $158.0K | 0.00% | −426−3.6% | Reduced |
| Kingsview Wealth Management, LLC | 10,545 | $148.1K | 0.01% | +10,545 | New |
| Advisor Group Holdings, Inc. | 6,350 | $89.2K | 0.00% | +3,450+119.0% | Added |
| Harbour Investments, Inc. | 1,500 | $21.1K | 0.00% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 1,500 | $21.1K | 0.00% | 00.0% | Unchanged |
| Bessemer Group Inc | 794 | $11.0K | 0.00% | +794 | New |
| Weiss Asset Management LP | 0 | $0 | 0.00% | −45,315−100.0% | Sold out |
| Millennium Management LLC | 0 | $0 | 0.00% | −10,904−100.0% | Sold out |
| LPL Financial LLC | 0 | $0 | 0.00% | −10,600−100.0% | Sold out |
| Rockefeller Capital Management L.P. | 0 | $0 | 0.00% | −7,500−100.0% | Sold out |
| Cary Street Partner Investment Advisory LLC | 0 | $0 | 0.00% | −250−100.0% | Sold out |