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