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 2024
Institutional positions in Guggenheim Active Allocation Fund as of Dec 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
- 57
- +11 vs. Q3 2024
- Shares held
- 9.19M
- +1.23M (+15.5%) vs. Q3 2024
- Total value
- $136.6M
- +$5.84M (+4.5%) vs. Q3 2024
- New holders
- 14
- 22 more added
- Sold out
- 3
- 12 more reduced
3 institutions that held it in Q3 2024 haven't filed for Q4 2024 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q3 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, Q4 2024
Shares, value and share of portfolio for each institution holding Guggenheim Active Allocation Fund; share changes are against Q3 2024.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Morgan Stanley | 2,410,013 | $35.8M | 0.00% | +373,759+18.4% | Added |
| Guggenheim Capital LLC | 950,000 | $14.1M | 0.12% | 00.0% | Unchanged |
| Cohen & Steers, Inc. | 786,149 | $11.7M | 0.02% | −158,102−16.7% | Reduced |
| Baird Financial Group, Inc. | 735,643 | $10.9M | 0.02% | +40,723+5.9% | Added |
| Advisors Asset Management, Inc. | 595,917 | $8.86M | 0.16% | +108,044+22.1% | Added |
| Bank of America Corp | 576,436 | $8.57M | 0.00% | −23,385−3.9% | Reduced |
| Raymond James Financial Inc | 506,700 | $7.53M | 0.00% | +506,700 | New |
| Royal Bank of Canada | 462,272 | $6.87M | 0.00% | −58,357−11.2% | Reduced |
| Pathstone Holdings, LLC | 328,473 | $4.89M | 0.02% | +108,115+49.1% | Added |
| Penserra Capital Management LLC | 320,814 | $4.77M | 0.09% | +21,616+7.2% | Added |
| Wells Fargo & Company | 251,604 | $3.74M | 0.00% | −1,334−0.5% | Reduced |
| Corrado Advisors, LLC | 160,829 | $2.39M | 1.56% | −10,914−6.4% | Reduced |
| Kovitz Investment Group Partners, LLC | 157,875 | $2.35M | 0.01% | +88,456+127.4% | Added |
| Kestra Advisory Services, LLC | 96,110 | $1.43M | 0.01% | +96,110 | New |
| Oppenheimer & Co Inc | 83,775 | $1.25M | 0.02% | +10,450+14.3% | Added |
| Stifel Financial Corp | 55,192 | $820.7K | 0.00% | +399+0.7% | Added |
| Advisor Group Holdings, Inc. | 54,682 | $813.1K | 0.00% | −5,548−9.2% | Reduced |
| UBS Group AG | 49,047 | $729.3K | 0.00% | +35,923+273.7% | Added |
| J.W. Cole Advisors, Inc. | 43,607 | $648.4K | 0.03% | +3,754+9.4% | Added |
| Journey Strategic Wealth LLC | 37,142 | $552.3K | 0.02% | −8,850−19.2% | Reduced |
| Walleye Capital LLC | 33,815 | $502.8K | 0.00% | +33,815 | New |
| HighTower Advisors, LLC | 32,336 | $480.8K | 0.00% | +32,336 | New |
| Marex Group plc | 31,739 | $472.0K | 0.01% | +31,739 | New |
| U.S. Capital Wealth Advisors, LLC | 26,802 | $398.5K | 0.01% | 00.0% | Unchanged |
| Concurrent Investment Advisors, LLC | 26,550 | $394.8K | 0.01% | +3,169+13.6% | Added |
| Envestnet Asset Management Inc | 26,271 | $390.6K | 0.00% | +1,829+7.5% | Added |
| Davenport & Co LLC | 25,200 | $374.7K | 0.00% | −1,000−3.8% | Reduced |
| Rockefeller Capital Management L.P. | 23,366 | $347.5K | 0.00% | −9,193−28.2% | Reduced |
| Wedbush Securities Inc | 22,658 | $337.0K | 0.01% | +7,800+52.5% | Added |
| LPL Financial LLC | 20,047 | $298.1K | 0.00% | +20,047 | New |
| Kingsview Wealth Management, LLC | 19,605 | $291.5K | 0.01% | −255−1.3% | Reduced |
| Aviance Capital Partners, LLC | 19,424 | $288.8K | 0.04% | +1,664+9.4% | Added |
| PFG Investments, LLC | 18,850 | $280.3K | 0.02% | −13,000−40.8% | Reduced |
| Cetera Investment Advisers | 17,733 | $263.7K | 0.00% | +1,959+12.4% | Added |
| National Asset Management, Inc. | 16,563 | $246.3K | 0.01% | −1,814−9.9% | Reduced |
| Nordwand Advisors, LLC | 16,500 | $245.4K | 0.10% | 00.0% | Unchanged |
| Independent Advisor Alliance | 16,103 | $239.5K | 0.00% | +16,103 | New |
| Arete Wealth Advisors, LLC | 15,529 | $231.0K | 0.02% | +309+2.0% | Added |
| Invesco Ltd. | 13,247 | $197.0K | 0.00% | +13,247 | New |
| MGB Wealth Management, LLC | 12,011 | $179.1K | 0.06% | +747+6.6% | Added |
| Landscape Capital Management, L.L.C. | 11,839 | $176.0K | 0.02% | +11,839 | New |
| Commonwealth Equity Services, LLC | 11,336 | $169.0K | 0.00% | +259+2.3% | Added |
| Wetherby Asset Management Inc | 11,232 | $167.0K | 0.01% | 00.0% | Unchanged |
| Susquehanna International Group, LLP | 10,366 | $154.1K | 0.00% | +10,366 | New |
| Steward Partners Investment Advisory, LLC | 9,664 | $143.7K | 0.00% | +4,700+94.7% | Added |
| South State Corp. | 8,425 | $125.3K | 0.01% | +8,425 | New |
| Annis Gardner Whiting Capital Advisors, LLC | 7,500 | $111.5K | 0.03% | 00.0% | Unchanged |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 5,479 | $81.5K | 0.00% | +1,913+53.6% | Added |
| JPMorgan Chase & Co | 4,350 | $64.7K | 0.00% | +550+14.5% | Added |
| Comerica Bank | 2,200 | $32.7K | 0.00% | 00.0% | Unchanged |
| Harbour Investments, Inc. | 1,500 | $22.3K | 0.00% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 1,500 | $22.3K | 0.00% | 00.0% | Unchanged |
| Bessemer Group Inc | 1,106 | $16.0K | 0.00% | +1,106 | New |
| Northwestern Mutual Wealth Management Co | 750 | $11.2K | 0.00% | +750 | New |
| Noble Wealth Management PBC | 700 | $10.4K | 0.01% | +700 | New |
| Provenance Wealth Advisors, LLC | 361 | $5.37K | 0.00% | 00.0% | Unchanged |
| FMR LLC | 167 | $2.48K | 0.00% | +165+8,250.0% | Added |
| Equitable Holdings, Inc. | 0 | $0 | 0.00% | −12,420−100.0% | Sold out |
| Savant Capital, LLC | 0 | $0 | 0.00% | −11,510−100.0% | Sold out |
| International Assets Investment Management, LLC | 0 | $0 | 0.00% | −49,650−100.0% | Sold out |
| Raymond James & Associates | – | – | – | – | Not filed |
| Raymond James Financial Services Advisors, Inc. | – | – | – | – | Not filed |
| Raymond James Trust N.A. | – | – | – | – | Not filed |