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 2024
Institutional positions in Guggenheim Active Allocation Fund as of Mar 31, 2024. 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
- 50
- +6 vs. Q4 2023
- Shares held
- 8.26M
- −1.52M (−15.6%) vs. Q4 2023
- Total value
- $121.3M
- −$22.2M (−15.4%) vs. Q4 2023
- New holders
- 14
- 18 more added
- Sold out
- 8
- 12 more reduced
Compare with Q4 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, Q1 2024
Shares, value and share of portfolio for each institution holding Guggenheim Active Allocation Fund; share changes are against Q4 2023.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Morgan Stanley | 1,957,415 | $28.8M | 0.00% | +137,900+7.6% | Added |
| Guggenheim Capital LLC | 950,000 | $14.0M | 0.10% | 00.0% | Unchanged |
| Cohen & Steers, Inc. | 936,251 | $13.8M | 0.03% | +10,000+1.1% | Added |
| Bank of America Corp | 886,128 | $13.0M | 0.00% | +83,950+10.5% | Added |
| Baird Financial Group, Inc. | 543,260 | $7.99M | 0.02% | +129,463+31.3% | Added |
| Royal Bank of Canada | 495,000 | $7.28M | 0.00% | −829,730−62.6% | Reduced |
| Advisors Asset Management, Inc. | 271,627 | $4.00M | 0.08% | +102,619+60.7% | Added |
| Wells Fargo & Company | 262,905 | $3.87M | 0.00% | −845−0.3% | Reduced |
| Relative Value Partners Group, LLC | 239,438 | $3.44M | 0.21% | −6,295−2.6% | Reduced |
| Pathstone Holdings, LLC | 197,311 | $2.90M | 0.01% | +48,798+32.9% | Added |
| Corrado Advisors, LLC | 178,839 | $2.63M | 1.73% | −10,088−5.3% | Reduced |
| Raymond James & Associates | 149,486 | $2.20M | 0.00% | +97,678+188.5% | Added |
| Saba Capital Management, L.P. | 135,269 | $1.99M | 0.04% | −1,042,993−88.5% | Reduced |
| National Asset Management, Inc. | 105,330 | $1.42M | 0.04% | +3,127+3.1% | Added |
| U.S. Capital Wealth Advisors, LLC | 94,460 | $1.39M | 0.05% | −27,607−22.6% | Reduced |
| 1607 Capital Partners, LLC | 90,442 | $1.33M | 0.11% | +15,597+20.8% | Added |
| Oppenheimer & Co Inc | 86,575 | $1.27M | 0.02% | −500−0.6% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 85,508 | $1.26M | 0.00% | +51,971+155.0% | Added |
| Landscape Capital Management, L.L.C. | 82,164 | $1.21M | 0.11% | +82,164 | New |
| Advisor Group Holdings, Inc. | 64,686 | $951.5K | 0.00% | −1,901−2.9% | Reduced |
| Stifel Financial Corp | 43,955 | $646.6K | 0.00% | +7,688+21.2% | Added |
| Journey Strategic Wealth LLC | 43,292 | $636.8K | 0.03% | +4,500+11.6% | Added |
| J.W. Cole Advisors, Inc. | 40,495 | $594.7K | 0.03% | +2,394+6.3% | Added |
| HighTower Advisors, LLC | 36,289 | $530.0K | 0.00% | +6,880+23.4% | Added |
| Envestnet Asset Management Inc | 26,791 | $394.1K | 0.00% | +26,791 | New |
| CI Private Wealth, LLC | 24,484 | $353.3K | 0.00% | +24,484 | New |
| Davenport & Co LLC | 23,700 | $348.6K | 0.00% | −1,000−4.0% | Reduced |
| Aviance Capital Partners, LLC | 22,690 | $333.8K | 0.05% | −399−1.7% | Reduced |
| Arete Wealth Advisors, LLC | 21,016 | $309.1K | 0.03% | +190+0.9% | Added |
| Cetera Investment Advisers | 20,455 | $300.9K | 0.00% | +20,455 | New |
| Kingsview Wealth Management, LLC | 18,101 | $266.3K | 0.01% | 00.0% | Unchanged |
| Nordwand Advisors, LLC | 16,500 | $242.7K | 0.09% | −19,642−54.3% | Reduced |
| Wedbush Securities Inc | 16,077 | $236.0K | 0.01% | +16,077 | New |
| Concurrent Investment Advisors, LLC | 14,702 | $216.3K | 0.01% | +14,702 | New |
| US Bancorp | 12,485 | $183.7K | 0.00% | +12,485 | New |
| Equitable Holdings, Inc. | 12,370 | $182.0K | 0.00% | +12,370 | New |
| Wetherby Asset Management Inc | 11,232 | $165.2K | 0.01% | +11,232 | New |
| Raymond James Trust N.A. | 10,816 | $159.1K | 0.00% | +10,816 | New |
| Commonwealth Equity Services, LLC | 10,489 | $154.0K | 0.00% | −7,725−42.4% | Reduced |
| UBS Group AG | 5,838 | $85.9K | 0.00% | +20+0.3% | Added |
| Blue Bell Private Wealth Management, LLC | 4,202 | $61.8K | 0.01% | +20.0% | Added |
| Comerica Bank | 4,200 | $61.8K | 0.00% | 00.0% | Unchanged |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 2,208 | $32.5K | 0.00% | +2,208 | New |
| Harbour Investments, Inc. | 1,500 | $22.1K | 0.00% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 1,500 | $22.1K | 0.00% | 00.0% | Unchanged |
| IFP Advisors, Inc | 1,250 | $18.4K | 0.00% | 00.0% | Unchanged |
| Signaturefd, LLC | 1,006 | $14.8K | 0.00% | +1,006 | New |
| Bessemer Group Inc | 977 | $14.0K | 0.00% | +223+29.6% | Added |
| Steward Partners Investment Advisory, LLC | 864 | $12.7K | 0.00% | +864 | New |
| FNY Investment Advisers, LLC | 400 | $5.00K | 0.00% | +400 | New |
| Penserra Capital Management LLC | 0 | $0 | 0.00% | −312,587−100.0% | Sold out |
| AE Wealth Management LLC | 0 | $0 | 0.00% | −96,348−100.0% | Sold out |
| Meteora Capital, LLC | 0 | $0 | 0.00% | −28,999−100.0% | Sold out |
| Boothbay Fund Management, LLC | 0 | $0 | 0.00% | −20,836−100.0% | Sold out |
| BancFirst Trust & Investment Management | 0 | $0 | 0.00% | −19,377−100.0% | Sold out |
| Nomura Holdings Inc | 0 | $0 | 0.00% | −16,843−100.0% | Sold out |
| Bank of New York Mellon Corp | 0 | $0 | 0.00% | −10,402−100.0% | Sold out |
| LM Advisors LLC | 0 | $0 | 0.00% | −9,800−100.0% | Sold out |