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 2023
Institutional positions in Guggenheim Active Allocation Fund as of Sep 30, 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
- 41
- +4 vs. Q2 2023
- Shares held
- 8.42M
- −104.5K (−1.2%) vs. Q2 2023
- Total value
- $113.7M
- −$8.70M (−7.1%) vs. Q2 2023
- New holders
- 7
- 20 more added
- Sold out
- 3
- 8 more reduced
Compare with Q2 2023: 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 2023
Shares, value and share of portfolio for each institution holding Guggenheim Active Allocation Fund; share changes are against Q2 2023.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Bessemer Group Inc | 729 | $10.0K | 0.00% | −337−31.6% | Reduced |
| IFP Advisors, Inc | 1,250 | $16.9K | 0.00% | 00.0% | Unchanged |
| Harbour Investments, Inc. | 1,500 | $20.3K | 0.00% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 1,500 | $20.3K | 0.00% | 00.0% | Unchanged |
| UBS Group AG | 7,671 | $103.6K | 0.00% | −2,021−20.9% | Reduced |
| Comerica Bank | 11,200 | $151.2K | 0.00% | +11,200 | New |
| Wedbush Securities Inc | 12,007 | $162.0K | 0.01% | +12,007 | New |
| Raymond James Financial Services Advisors, Inc. | 17,707 | $239.0K | 0.00% | +3,250+22.5% | Added |
| Kingsview Wealth Management, LLC | 17,906 | $241.7K | 0.01% | +2,081+13.2% | Added |
| Advisor Partners II, LLC | 18,516 | $250.0K | 0.01% | +18,516 | New |
| Arete Wealth Advisors, LLC | 20,899 | $282.1K | 0.05% | +315+1.5% | Added |
| Pinebridge Investments, L.P. | 21,838 | $294.8K | 0.00% | +21,838 | New |
| J.W. Cole Advisors, Inc. | 22,360 | $301.9K | 0.02% | −5,398−19.4% | Reduced |
| Aviance Capital Partners, LLC | 24,866 | $335.7K | 0.08% | +24,866 | New |
| Davenport & Co LLC | 24,880 | $335.9K | 0.00% | +50.0% | Added |
| Stifel Financial Corp | 26,236 | $354.2K | 0.00% | +6,421+32.4% | Added |
| Atlas Wealth LLC | 27,228 | $367.6K | 0.07% | 00.0% | Unchanged |
| Logan Stone Capital, LLC | 27,239 | $367.7K | 0.10% | −99,981−78.6% | Reduced |
| HighTower Advisors, LLC | 30,035 | $407.0K | 0.00% | −19,296−39.1% | Reduced |
| Journey Strategic Wealth LLC | 33,792 | $456.2K | 0.02% | +2,000+6.3% | Added |
| Nordwand Advisors, LLC | 36,142 | $487.9K | 0.10% | −579,771−94.1% | Reduced |
| Raymond James & Associates | 51,410 | $694.0K | 0.00% | +7,474+17.0% | Added |
| 1607 Capital Partners, LLC | 55,017 | $742.7K | 0.06% | 00.0% | Unchanged |
| Advisors Asset Management, Inc. | 76,113 | $1.03M | 0.02% | +32,108+73.0% | Added |
| Boothbay Fund Management, LLC | 77,153 | $1.04M | 0.04% | +77,153 | New |
| Oppenheimer & Co Inc | 77,406 | $1.04M | 0.02% | +14,555+23.2% | Added |
| Royal Bank of Canada | 82,766 | $1.12M | 0.00% | +36,754+79.9% | Added |
| Meteora Capital, LLC | 100,000 | $1.35M | 0.23% | +100,000 | New |
| National Asset Management, Inc. | 105,330 | $1.42M | 0.04% | +16,779+18.9% | Added |
| U.S. Capital Wealth Advisors, LLC | 125,667 | $1.70M | 0.08% | 00.0% | Unchanged |
| Advisor Group Holdings, Inc. | 133,338 | $1.80M | 0.00% | +77,831+140.2% | Added |
| Corrado Advisors, LLC | 193,471 | $2.61M | 1.80% | +2,352+1.2% | Added |
| Baird Financial Group, Inc. | 206,576 | $2.79M | 0.01% | +5,030+2.5% | Added |
| Relative Value Partners Group, LLC | 214,521 | $2.90M | 0.19% | −35,197−14.1% | Reduced |
| Wells Fargo & Company | 259,849 | $3.51M | 0.00% | +1,721+0.7% | Added |
| Penserra Capital Management LLC | 290,954 | $3.93M | 0.08% | −19,073−6.2% | Reduced |
| Cohen & Steers, Inc. | 926,251 | $12.5M | 0.03% | +36,075+4.1% | Added |
| Guggenheim Capital LLC | 950,000 | $12.8M | 0.11% | +315,167+49.6% | Added |
| Bank of America Corp | 985,508 | $13.3M | 0.00% | +68,378+7.5% | Added |
| Saba Capital Management, L.P. | 988,879 | $13.3M | 0.42% | +235,309+31.2% | Added |
| Morgan Stanley | 2,135,716 | $28.8M | 0.00% | +30,552+1.5% | Added |
| Rivernorth Capital Management, LLC | 0 | $0 | 0.00% | −487,592−100.0% | Sold out |
| Azimuth Capital Investment Management LLC | 0 | $0 | 0.00% | −15,000−100.0% | Sold out |
| Northwestern Mutual Wealth Management Co | 0 | $0 | 0.00% | −600−100.0% | Sold out |