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 2024
Institutional positions in Guggenheim Active Allocation Fund as of Sep 30, 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
- 49
- −2 vs. Q2 2024
- Shares held
- 8.40M
- −35.5K (−0.4%) vs. Q2 2024
- Total value
- $138.1M
- +$12.2M (+9.7%) vs. Q2 2024
- New holders
- 8
- 17 more added
- Sold out
- 10
- 14 more reduced
Compare with Q2 2024: 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 2024
Shares, value and share of portfolio for each institution holding Guggenheim Active Allocation Fund; share changes are against Q2 2024.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Morgan Stanley | 2,036,254 | $33.7M | 0.00% | −34,212−1.7% | Reduced |
| Guggenheim Capital LLC | 950,000 | $15.7M | 0.11% | 00.0% | Unchanged |
| Cohen & Steers, Inc. | 944,251 | $15.6M | 0.03% | 00.0% | Unchanged |
| Baird Financial Group, Inc. | 694,920 | $11.5M | 0.02% | +30,252+4.6% | Added |
| Bank of America Corp | 599,821 | $9.93M | 0.00% | −71,026−10.6% | Reduced |
| Royal Bank of Canada | 520,629 | $8.62M | 0.00% | +19,376+3.9% | Added |
| Advisors Asset Management, Inc. | 487,873 | $8.07M | 0.15% | +104,264+27.2% | Added |
| Penserra Capital Management LLC | 299,198 | $4.95M | 0.11% | +299,198 | New |
| Wells Fargo & Company | 252,938 | $4.19M | 0.00% | −23,442−8.5% | Reduced |
| Raymond James & Associates | 249,825 | $4.13M | 0.00% | +81,042+48.0% | Added |
| Pathstone Holdings, LLC | 220,358 | $3.65M | 0.02% | −38,698−14.9% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 178,877 | $2.96M | 0.00% | +50,422+39.3% | Added |
| Corrado Advisors, LLC | 171,743 | $2.84M | 1.78% | −3,700−2.1% | Reduced |
| Oppenheimer & Co Inc | 73,325 | $1.21M | 0.02% | −13,250−15.3% | Reduced |
| Kovitz Investment Group Partners, LLC | 69,419 | $1.13M | 0.01% | +69,419 | New |
| Advisor Group Holdings, Inc. | 60,230 | $996.8K | 0.00% | −3,549−5.6% | Reduced |
| Stifel Financial Corp | 54,793 | $906.8K | 0.00% | +7,896+16.8% | Added |
| Journey Strategic Wealth LLC | 45,992 | $761.2K | 0.03% | −22,100−32.5% | Reduced |
| J.W. Cole Advisors, Inc. | 39,853 | $659.6K | 0.03% | −3,165−7.4% | Reduced |
| Rockefeller Capital Management L.P. | 32,559 | $538.9K | 0.00% | +32,559 | New |
| PFG Investments, LLC | 31,850 | $527.1K | 0.03% | 00.0% | Unchanged |
| U.S. Capital Wealth Advisors, LLC | 26,802 | $443.6K | 0.02% | −45,900−63.1% | Reduced |
| Davenport & Co LLC | 26,200 | $433.6K | 0.00% | +2,500+10.5% | Added |
| Envestnet Asset Management Inc | 24,442 | $404.5K | 0.00% | +1,780+7.9% | Added |
| Concurrent Investment Advisors, LLC | 23,381 | $387.0K | 0.01% | +8,004+52.1% | Added |
| Kingsview Wealth Management, LLC | 19,860 | $328.7K | 0.01% | +649+3.4% | Added |
| National Asset Management, Inc. | 18,377 | $302.8K | 0.01% | −92,346−83.4% | Reduced |
| Raymond James Trust N.A. | 17,830 | $295.1K | 0.01% | 00.0% | Unchanged |
| Aviance Capital Partners, LLC | 17,760 | $293.9K | 0.04% | −5,202−22.7% | Reduced |
| Nordwand Advisors, LLC | 16,500 | $273.1K | 0.07% | 00.0% | Unchanged |
| Cetera Investment Advisers | 15,774 | $261.1K | 0.00% | +280+1.8% | Added |
| Arete Wealth Advisors, LLC | 15,220 | $252.0K | 0.02% | −6,648−30.4% | Reduced |
| Wedbush Securities Inc | 14,858 | $246.0K | 0.01% | −253−1.7% | Reduced |
| UBS Group AG | 13,124 | $217.2K | 0.00% | +6,211+89.8% | Added |
| Equitable Holdings, Inc. | 12,420 | $205.6K | 0.00% | +21+0.2% | Added |
| Savant Capital, LLC | 11,510 | $190.5K | 0.00% | +11,510 | New |
| Wetherby Asset Management Inc | 11,232 | $185.9K | 0.01% | 00.0% | Unchanged |
| MGB Wealth Management, LLC | 11,264 | $184.7K | 0.07% | 00.0% | Unchanged |
| Commonwealth Equity Services, LLC | 11,077 | $183.0K | 0.00% | +244+2.3% | Added |
| Annis Gardner Whiting Capital Advisors, LLC | 7,500 | $124.1K | 0.03% | +7,500 | New |
| Steward Partners Investment Advisory, LLC | 4,964 | $82.2K | 0.00% | +4,100+474.5% | Added |
| JPMorgan Chase & Co | 3,800 | $62.9K | 0.00% | +3,800 | New |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 3,566 | $59.0K | 0.00% | +415+13.2% | Added |
| Comerica Bank | 2,200 | $36.4K | 0.00% | 00.0% | Unchanged |
| Harbour Investments, Inc. | 1,500 | $24.8K | 0.00% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 1,500 | $24.8K | 0.00% | 00.0% | Unchanged |
| Provenance Wealth Advisors, LLC | 361 | $5.97K | 0.00% | +361 | New |
| FMR LLC | 2 | $33 | 0.00% | +2 | New |
| International Assets Investment Management, LLC | 49,650 | – | – | +46,650+1,555.0% | Added |
| Blue Bell Private Wealth Management, LLC | 0 | $0 | 0.00% | −602−100.0% | Sold out |
| Atlas Wealth LLC | 0 | $0 | 0.00% | −291,278−100.0% | Sold out |
| 1607 Capital Partners, LLC | 0 | $0 | 0.00% | −80,004−100.0% | Sold out |
| HighTower Advisors, LLC | 0 | $0 | 0.00% | −36,004−100.0% | Sold out |
| CI Private Wealth, LLC | 0 | $0 | 0.00% | −26,514−100.0% | Sold out |
| Two Sigma Securities, LLC | 0 | $0 | 0.00% | −11,574−100.0% | Sold out |
| LPL Financial LLC | 0 | $0 | 0.00% | −11,088−100.0% | Sold out |
| GWM Advisors LLC | 0 | $0 | 0.00% | −2,113−100.0% | Sold out |
| Bessemer Group Inc | 0 | $0 | 0.00% | −1,016−100.0% | Sold out |
| Castleview Partners, LLC | 0 | $0 | 0.00% | −298−100.0% | Sold out |