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 2023
Institutional positions in Guggenheim Active Allocation Fund as of Dec 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
- 44
- +4 vs. Q3 2023
- Shares held
- 9.79M
- +1.38M (+16.5%) vs. Q3 2023
- Total value
- $143.5M
- +$30.0M (+26.5%) vs. Q3 2023
- New holders
- 8
- 16 more added
- Sold out
- 4
- 14 more reduced
1 institution that held it in Q3 2023 haven't filed for Q4 2023 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q3 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, Q4 2023
Shares, value and share of portfolio for each institution holding Guggenheim Active Allocation Fund; share changes are against Q3 2023.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Bessemer Group Inc | 754 | $11.0K | 0.00% | +25+3.4% | Added |
| IFP Advisors, Inc | 1,250 | $18.3K | 0.00% | 00.0% | Unchanged |
| Harbour Investments, Inc. | 1,500 | $22.0K | 0.00% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 1,500 | $22.0K | 0.00% | 00.0% | Unchanged |
| Comerica Bank | 4,200 | $61.6K | 0.00% | −7,000−62.5% | Reduced |
| Blue Bell Private Wealth Management, LLC | 4,200 | $61.6K | 0.01% | +4,200 | New |
| UBS Group AG | 5,818 | $85.3K | 0.00% | −1,853−24.2% | Reduced |
| LM Advisors LLC | 9,800 | $143.7K | 0.03% | +9,800 | New |
| Bank of New York Mellon Corp | 10,402 | $152.5K | 0.00% | +10,402 | New |
| Nomura Holdings Inc | 16,843 | $246.9K | 0.00% | +16,843 | New |
| Kingsview Wealth Management, LLC | 18,101 | $265.4K | 0.01% | +195+1.1% | Added |
| Commonwealth Equity Services, LLC | 18,214 | $267.0K | 0.00% | +18,214 | New |
| BancFirst Trust & Investment Management | 19,377 | $285.0K | 0.13% | +19,377 | New |
| Arete Wealth Advisors, LLC | 20,826 | $305.3K | 0.02% | −73−0.3% | Reduced |
| Boothbay Fund Management, LLC | 20,836 | $305.5K | 0.01% | −56,317−73.0% | Reduced |
| Aviance Capital Partners, LLC | 23,089 | $338.5K | 0.07% | −1,777−7.1% | Reduced |
| Davenport & Co LLC | 24,700 | $362.1K | 0.00% | −180−0.7% | Reduced |
| Meteora Capital, LLC | 28,999 | $425.1K | 0.07% | −71,001−71.0% | Reduced |
| HighTower Advisors, LLC | 29,409 | $427.0K | 0.00% | −626−2.1% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 33,537 | $491.7K | 0.00% | +15,830+89.4% | Added |
| Nordwand Advisors, LLC | 36,142 | $529.8K | 0.14% | 00.0% | Unchanged |
| Stifel Financial Corp | 36,267 | $531.7K | 0.00% | +10,031+38.2% | Added |
| J.W. Cole Advisors, Inc. | 38,101 | $558.6K | 0.03% | +15,741+70.4% | Added |
| Journey Strategic Wealth LLC | 38,792 | $568.7K | 0.03% | +5,000+14.8% | Added |
| Raymond James & Associates | 51,808 | $759.5K | 0.00% | +398+0.8% | Added |
| Advisor Group Holdings, Inc. | 66,587 | $976.1K | 0.00% | −66,751−50.1% | Reduced |
| 1607 Capital Partners, LLC | 74,845 | $1.10M | 0.08% | +19,828+36.0% | Added |
| Oppenheimer & Co Inc | 87,075 | $1.28M | 0.02% | +9,669+12.5% | Added |
| AE Wealth Management LLC | 96,348 | $1.41M | 0.01% | +96,348 | New |
| National Asset Management, Inc. | 102,203 | $1.50M | 0.04% | −3,127−3.0% | Reduced |
| U.S. Capital Wealth Advisors, LLC | 122,067 | $1.79M | 0.07% | −3,600−2.9% | Reduced |
| Pathstone Holdings, LLC | 148,513 | $2.18M | 0.01% | +148,513 | New |
| Advisors Asset Management, Inc. | 169,008 | $2.48M | 0.05% | +92,895+122.0% | Added |
| Corrado Advisors, LLC | 188,927 | $2.77M | 2.27% | −4,544−2.3% | Reduced |
| Relative Value Partners Group, LLC | 245,733 | $3.60M | 0.22% | +31,212+14.5% | Added |
| Wells Fargo & Company | 263,750 | $3.87M | 0.00% | +3,901+1.5% | Added |
| Penserra Capital Management LLC | 312,587 | $4.58M | 0.09% | +21,633+7.4% | Added |
| Baird Financial Group, Inc. | 413,797 | $6.07M | 0.01% | +207,221+100.3% | Added |
| Bank of America Corp | 802,178 | $11.8M | 0.00% | −183,330−18.6% | Reduced |
| Cohen & Steers, Inc. | 926,251 | $13.6M | 0.03% | 00.0% | Unchanged |
| Guggenheim Capital LLC | 950,000 | $13.9M | 0.11% | 00.0% | Unchanged |
| Saba Capital Management, L.P. | 1,178,262 | $17.3M | 0.42% | +189,383+19.2% | Added |
| Royal Bank of Canada | 1,324,730 | $19.4M | 0.00% | +1,241,964+1,500.6% | Added |
| Morgan Stanley | 1,819,515 | $26.7M | 0.00% | −316,201−14.8% | Reduced |
| Logan Stone Capital, LLC | 0 | $0 | 0.00% | −27,239−100.0% | Sold out |
| Atlas Wealth LLC | 0 | $0 | 0.00% | −27,228−100.0% | Sold out |
| Pinebridge Investments, L.P. | 0 | $0 | 0.00% | −21,838−100.0% | Sold out |
| Wedbush Securities Inc | 0 | $0 | 0.00% | −12,007−100.0% | Sold out |
| Advisor Partners II, LLC | – | – | – | – | Not filed |