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 2025
Institutional positions in Guggenheim Active Allocation Fund as of Mar 31, 2025. 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
- 51
- −5 vs. Q4 2024
- Shares held
- 9.53M
- +353.3K (+3.9%) vs. Q4 2024
- Total value
- $143.6M
- +$7.20M (+5.3%) vs. Q4 2024
- New holders
- 6
- 23 more added
- Sold out
- 11
- 14 more reduced
1 institution that held it in Q4 2024 haven't filed for Q1 2025 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q4 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, Q1 2025
Shares, value and share of portfolio for each institution holding Guggenheim Active Allocation Fund; share changes are against Q4 2024.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Morgan Stanley | 2,471,797 | $37.2M | 0.00% | +61,784+2.6% | Added |
| Guggenheim Capital LLC | 950,000 | $14.3M | 0.13% | 00.0% | Unchanged |
| Baird Financial Group, Inc. | 766,124 | $11.5M | 0.02% | +30,481+4.1% | Added |
| Cohen & Steers, Inc. | 736,149 | $11.1M | 0.02% | −50,000−6.4% | Reduced |
| Advisors Asset Management, Inc. | 709,795 | $10.7M | 0.20% | +113,878+19.1% | Added |
| Pathstone Holdings, LLC | 658,169 | $9.97M | 0.04% | +329,696+100.4% | Added |
| Bank of America Corp | 615,034 | $9.27M | 0.00% | +38,598+6.7% | Added |
| Raymond James Financial Inc | 592,568 | $8.93M | 0.00% | +85,868+16.9% | Added |
| Royal Bank of Canada | 517,900 | $7.80M | 0.00% | +55,628+12.0% | Added |
| Wells Fargo & Company | 250,898 | $3.78M | 0.00% | −706−0.3% | Reduced |
| Kovitz Investment Group Partners, LLC | 195,786 | $2.95M | 0.01% | +37,911+24.0% | Added |
| Corrado Advisors, LLC | 162,224 | $2.44M | 1.63% | +1,395+0.9% | Added |
| Kestra Advisory Services, LLC | 96,149 | $1.45M | 0.01% | +390.0% | Added |
| Oppenheimer & Co Inc | 88,120 | $1.33M | 0.02% | +4,345+5.2% | Added |
| Stifel Financial Corp | 60,767 | $915.8K | 0.00% | +5,575+10.1% | Added |
| Advisor Group Holdings, Inc. | 52,272 | $787.7K | 0.00% | −2,410−4.4% | Reduced |
| Invesco Ltd. | 47,517 | $716.1K | 0.00% | +34,270+258.7% | Added |
| UBS Group AG | 46,421 | $699.6K | 0.00% | −2,626−5.4% | Reduced |
| Walleye Capital LLC | 32,932 | $496.3K | 0.01% | −883−2.6% | Reduced |
| Steward Partners Investment Advisory, LLC | 30,689 | $462.5K | 0.00% | +21,025+217.6% | Added |
| Journey Strategic Wealth LLC | 29,539 | $445.2K | 0.02% | −7,603−20.5% | Reduced |
| Envestnet Asset Management Inc | 28,601 | $431.0K | 0.00% | +2,330+8.9% | Added |
| J.W. Cole Advisors, Inc. | 26,891 | $405.3K | 0.01% | −16,716−38.3% | Reduced |
| U.S. Capital Wealth Advisors, LLC | 26,802 | $403.9K | 0.01% | 00.0% | Unchanged |
| Concurrent Investment Advisors, LLC | 26,609 | $401.0K | 0.01% | +59+0.2% | Added |
| LPL Financial LLC | 24,581 | $370.4K | 0.00% | +4,534+22.6% | Added |
| Aviance Capital Partners, LLC | 24,434 | $368.2K | 0.05% | +5,010+25.8% | Added |
| HighTower Advisors, LLC | 24,098 | $363.2K | 0.00% | −8,238−25.5% | Reduced |
| Davenport & Co LLC | 24,006 | $361.8K | 0.00% | −1,194−4.7% | Reduced |
| MGB Wealth Management, LLC | 24,019 | $360.8K | 0.13% | +12,008+100.0% | Added |
| Rockefeller Capital Management L.P. | 21,147 | $318.7K | 0.00% | −2,219−9.5% | Reduced |
| Kingsview Wealth Management, LLC | 19,605 | $295.4K | 0.01% | 00.0% | Unchanged |
| Cetera Investment Advisers | 19,436 | $292.9K | 0.00% | +1,703+9.6% | Added |
| Wedbush Securities Inc | 15,074 | $227.0K | 0.01% | −7,584−33.5% | Reduced |
| Millennium Management LLC | 14,602 | $220.1K | 0.00% | +14,602 | New |
| PFG Investments, LLC | 12,550 | $189.1K | 0.01% | −6,300−33.4% | Reduced |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 11,670 | $175.9K | 0.01% | +6,191+113.0% | Added |
| Commonwealth Equity Services, LLC | 11,600 | $175.0K | 0.00% | +264+2.3% | Added |
| Nordwand Advisors, LLC | 11,500 | $173.3K | 0.07% | −5,000−30.3% | Reduced |
| Truist Financial Corp | 10,853 | $163.6K | 0.00% | +10,853 | New |
| Susquehanna International Group, LLP | 10,776 | $162.4K | 0.00% | +410+4.0% | Added |
| South State Corp. | 8,425 | $127.0K | 0.01% | 00.0% | Unchanged |
| Annis Gardner Whiting Capital Advisors, LLC | 7,500 | $113.0K | 0.05% | 00.0% | Unchanged |
| Elequin Capital LP | 4,408 | $66.4K | 0.01% | +4,408 | New |
| TSFG, LLC | 1,734 | $26.0K | 0.01% | +1,734 | New |
| Harbour Investments, Inc. | 1,500 | $22.6K | 0.00% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 1,500 | $22.6K | 0.00% | 00.0% | Unchanged |
| Allworth Financial LP | 1,000 | $14.9K | 0.00% | +1,000 | New |
| Noble Wealth Management PBC | 700 | $10.5K | 0.01% | 00.0% | Unchanged |
| JPMorgan Chase & Co | 550 | $8.29K | 0.00% | −3,800−87.4% | Reduced |
| CWM, LLC | 124 | $2.00K | 0.00% | +124 | New |
| Penserra Capital Management LLC | 0 | $0 | 0.00% | −320,814−100.0% | Sold out |
| Marex Group plc | 0 | $0 | 0.00% | −31,739−100.0% | Sold out |
| National Asset Management, Inc. | 0 | $0 | 0.00% | −16,563−100.0% | Sold out |
| Independent Advisor Alliance | 0 | $0 | 0.00% | −16,103−100.0% | Sold out |
| Arete Wealth Advisors, LLC | 0 | $0 | 0.00% | −15,529−100.0% | Sold out |
| Landscape Capital Management, L.L.C. | 0 | $0 | 0.00% | −11,839−100.0% | Sold out |
| Comerica Bank | 0 | $0 | 0.00% | −2,200−100.0% | Sold out |
| Bessemer Group Inc | 0 | $0 | 0.00% | −1,106−100.0% | Sold out |
| Northwestern Mutual Wealth Management Co | 0 | $0 | 0.00% | −750−100.0% | Sold out |
| Provenance Wealth Advisors, LLC | 0 | $0 | 0.00% | −361−100.0% | Sold out |
| FMR LLC | 0 | $0 | 0.00% | −167−100.0% | Sold out |
| Wetherby Asset Management Inc | – | – | – | – | Not filed |