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 |
|---|---|---|---|---|---|
| FMR LLC | 2 | $33 | 0.00% | +2 | New |
| Provenance Wealth Advisors, LLC | 361 | $5.97K | 0.00% | +361 | New |
| 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 |
| Comerica Bank | 2,200 | $36.4K | 0.00% | 00.0% | Unchanged |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 3,566 | $59.0K | 0.00% | +415+13.2% | Added |
| JPMorgan Chase & Co | 3,800 | $62.9K | 0.00% | +3,800 | New |
| Steward Partners Investment Advisory, LLC | 4,964 | $82.2K | 0.00% | +4,100+474.5% | Added |
| Annis Gardner Whiting Capital Advisors, LLC | 7,500 | $124.1K | 0.03% | +7,500 | New |
| Commonwealth Equity Services, LLC | 11,077 | $183.0K | 0.00% | +244+2.3% | Added |
| MGB Wealth Management, LLC | 11,264 | $184.7K | 0.07% | 00.0% | Unchanged |
| Wetherby Asset Management Inc | 11,232 | $185.9K | 0.01% | 00.0% | Unchanged |
| Savant Capital, LLC | 11,510 | $190.5K | 0.00% | +11,510 | New |
| Equitable Holdings, Inc. | 12,420 | $205.6K | 0.00% | +21+0.2% | Added |
| UBS Group AG | 13,124 | $217.2K | 0.00% | +6,211+89.8% | Added |
| Wedbush Securities Inc | 14,858 | $246.0K | 0.01% | −253−1.7% | Reduced |
| Arete Wealth Advisors, LLC | 15,220 | $252.0K | 0.02% | −6,648−30.4% | Reduced |
| Cetera Investment Advisers | 15,774 | $261.1K | 0.00% | +280+1.8% | Added |
| Nordwand Advisors, LLC | 16,500 | $273.1K | 0.07% | 00.0% | Unchanged |
| Aviance Capital Partners, LLC | 17,760 | $293.9K | 0.04% | −5,202−22.7% | Reduced |
| Raymond James Trust N.A. | 17,830 | $295.1K | 0.01% | 00.0% | Unchanged |
| National Asset Management, Inc. | 18,377 | $302.8K | 0.01% | −92,346−83.4% | Reduced |
| Kingsview Wealth Management, LLC | 19,860 | $328.7K | 0.01% | +649+3.4% | Added |
| Concurrent Investment Advisors, LLC | 23,381 | $387.0K | 0.01% | +8,004+52.1% | Added |
| Envestnet Asset Management Inc | 24,442 | $404.5K | 0.00% | +1,780+7.9% | Added |
| Davenport & Co LLC | 26,200 | $433.6K | 0.00% | +2,500+10.5% | Added |
| U.S. Capital Wealth Advisors, LLC | 26,802 | $443.6K | 0.02% | −45,900−63.1% | Reduced |
| PFG Investments, LLC | 31,850 | $527.1K | 0.03% | 00.0% | Unchanged |
| Rockefeller Capital Management L.P. | 32,559 | $538.9K | 0.00% | +32,559 | New |
| J.W. Cole Advisors, Inc. | 39,853 | $659.6K | 0.03% | −3,165−7.4% | Reduced |
| Journey Strategic Wealth LLC | 45,992 | $761.2K | 0.03% | −22,100−32.5% | Reduced |
| Stifel Financial Corp | 54,793 | $906.8K | 0.00% | +7,896+16.8% | Added |
| Advisor Group Holdings, Inc. | 60,230 | $996.8K | 0.00% | −3,549−5.6% | Reduced |
| Kovitz Investment Group Partners, LLC | 69,419 | $1.13M | 0.01% | +69,419 | New |
| Oppenheimer & Co Inc | 73,325 | $1.21M | 0.02% | −13,250−15.3% | Reduced |
| Corrado Advisors, LLC | 171,743 | $2.84M | 1.78% | −3,700−2.1% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 178,877 | $2.96M | 0.00% | +50,422+39.3% | Added |
| Pathstone Holdings, LLC | 220,358 | $3.65M | 0.02% | −38,698−14.9% | Reduced |
| Raymond James & Associates | 249,825 | $4.13M | 0.00% | +81,042+48.0% | Added |
| Wells Fargo & Company | 252,938 | $4.19M | 0.00% | −23,442−8.5% | Reduced |
| Penserra Capital Management LLC | 299,198 | $4.95M | 0.11% | +299,198 | New |
| Advisors Asset Management, Inc. | 487,873 | $8.07M | 0.15% | +104,264+27.2% | Added |
| Royal Bank of Canada | 520,629 | $8.62M | 0.00% | +19,376+3.9% | Added |
| Bank of America Corp | 599,821 | $9.93M | 0.00% | −71,026−10.6% | Reduced |
| Baird Financial Group, Inc. | 694,920 | $11.5M | 0.02% | +30,252+4.6% | Added |
| Cohen & Steers, Inc. | 944,251 | $15.6M | 0.03% | 00.0% | Unchanged |
| Guggenheim Capital LLC | 950,000 | $15.7M | 0.11% | 00.0% | Unchanged |
| Morgan Stanley | 2,036,254 | $33.7M | 0.00% | −34,212−1.7% | Reduced |
| 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 |