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 |
|---|---|---|---|---|---|
| FMR LLC | 167 | $2.48K | 0.00% | +165+8,250.0% | Added |
| Provenance Wealth Advisors, LLC | 361 | $5.37K | 0.00% | 00.0% | Unchanged |
| Noble Wealth Management PBC | 700 | $10.4K | 0.01% | +700 | New |
| Northwestern Mutual Wealth Management Co | 750 | $11.2K | 0.00% | +750 | New |
| Bessemer Group Inc | 1,106 | $16.0K | 0.00% | +1,106 | New |
| 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 |
| Comerica Bank | 2,200 | $32.7K | 0.00% | 00.0% | Unchanged |
| JPMorgan Chase & Co | 4,350 | $64.7K | 0.00% | +550+14.5% | Added |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 5,479 | $81.5K | 0.00% | +1,913+53.6% | Added |
| Annis Gardner Whiting Capital Advisors, LLC | 7,500 | $111.5K | 0.03% | 00.0% | Unchanged |
| South State Corp. | 8,425 | $125.3K | 0.01% | +8,425 | New |
| Steward Partners Investment Advisory, LLC | 9,664 | $143.7K | 0.00% | +4,700+94.7% | Added |
| Susquehanna International Group, LLP | 10,366 | $154.1K | 0.00% | +10,366 | New |
| Wetherby Asset Management Inc | 11,232 | $167.0K | 0.01% | 00.0% | Unchanged |
| Commonwealth Equity Services, LLC | 11,336 | $169.0K | 0.00% | +259+2.3% | Added |
| Landscape Capital Management, L.L.C. | 11,839 | $176.0K | 0.02% | +11,839 | New |
| MGB Wealth Management, LLC | 12,011 | $179.1K | 0.06% | +747+6.6% | Added |
| Invesco Ltd. | 13,247 | $197.0K | 0.00% | +13,247 | New |
| Arete Wealth Advisors, LLC | 15,529 | $231.0K | 0.02% | +309+2.0% | Added |
| Independent Advisor Alliance | 16,103 | $239.5K | 0.00% | +16,103 | New |
| Nordwand Advisors, LLC | 16,500 | $245.4K | 0.10% | 00.0% | Unchanged |
| National Asset Management, Inc. | 16,563 | $246.3K | 0.01% | −1,814−9.9% | Reduced |
| Cetera Investment Advisers | 17,733 | $263.7K | 0.00% | +1,959+12.4% | Added |
| PFG Investments, LLC | 18,850 | $280.3K | 0.02% | −13,000−40.8% | Reduced |
| Aviance Capital Partners, LLC | 19,424 | $288.8K | 0.04% | +1,664+9.4% | Added |
| Kingsview Wealth Management, LLC | 19,605 | $291.5K | 0.01% | −255−1.3% | Reduced |
| LPL Financial LLC | 20,047 | $298.1K | 0.00% | +20,047 | New |
| Wedbush Securities Inc | 22,658 | $337.0K | 0.01% | +7,800+52.5% | Added |
| Rockefeller Capital Management L.P. | 23,366 | $347.5K | 0.00% | −9,193−28.2% | Reduced |
| Davenport & Co LLC | 25,200 | $374.7K | 0.00% | −1,000−3.8% | Reduced |
| Envestnet Asset Management Inc | 26,271 | $390.6K | 0.00% | +1,829+7.5% | Added |
| Concurrent Investment Advisors, LLC | 26,550 | $394.8K | 0.01% | +3,169+13.6% | Added |
| U.S. Capital Wealth Advisors, LLC | 26,802 | $398.5K | 0.01% | 00.0% | Unchanged |
| Marex Group plc | 31,739 | $472.0K | 0.01% | +31,739 | New |
| HighTower Advisors, LLC | 32,336 | $480.8K | 0.00% | +32,336 | New |
| Walleye Capital LLC | 33,815 | $502.8K | 0.00% | +33,815 | New |
| Journey Strategic Wealth LLC | 37,142 | $552.3K | 0.02% | −8,850−19.2% | Reduced |
| J.W. Cole Advisors, Inc. | 43,607 | $648.4K | 0.03% | +3,754+9.4% | Added |
| UBS Group AG | 49,047 | $729.3K | 0.00% | +35,923+273.7% | Added |
| Advisor Group Holdings, Inc. | 54,682 | $813.1K | 0.00% | −5,548−9.2% | Reduced |
| Stifel Financial Corp | 55,192 | $820.7K | 0.00% | +399+0.7% | Added |
| Oppenheimer & Co Inc | 83,775 | $1.25M | 0.02% | +10,450+14.3% | Added |
| Kestra Advisory Services, LLC | 96,110 | $1.43M | 0.01% | +96,110 | New |
| Kovitz Investment Group Partners, LLC | 157,875 | $2.35M | 0.01% | +88,456+127.4% | Added |
| Corrado Advisors, LLC | 160,829 | $2.39M | 1.56% | −10,914−6.4% | Reduced |
| Wells Fargo & Company | 251,604 | $3.74M | 0.00% | −1,334−0.5% | Reduced |
| Penserra Capital Management LLC | 320,814 | $4.77M | 0.09% | +21,616+7.2% | Added |
| Pathstone Holdings, LLC | 328,473 | $4.89M | 0.02% | +108,115+49.1% | Added |
| Royal Bank of Canada | 462,272 | $6.87M | 0.00% | −58,357−11.2% | Reduced |
| Raymond James Financial Inc | 506,700 | $7.53M | 0.00% | +506,700 | New |
| Bank of America Corp | 576,436 | $8.57M | 0.00% | −23,385−3.9% | Reduced |
| Advisors Asset Management, Inc. | 595,917 | $8.86M | 0.16% | +108,044+22.1% | Added |
| Baird Financial Group, Inc. | 735,643 | $10.9M | 0.02% | +40,723+5.9% | Added |
| Cohen & Steers, Inc. | 786,149 | $11.7M | 0.02% | −158,102−16.7% | Reduced |
| Guggenheim Capital LLC | 950,000 | $14.1M | 0.12% | 00.0% | Unchanged |
| Morgan Stanley | 2,410,013 | $35.8M | 0.00% | +373,759+18.4% | 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 |