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 |
|---|---|---|---|---|---|
| CWM, LLC | 124 | $2.00K | 0.00% | +124 | New |
| JPMorgan Chase & Co | 550 | $8.29K | 0.00% | −3,800−87.4% | Reduced |
| Noble Wealth Management PBC | 700 | $10.5K | 0.01% | 00.0% | Unchanged |
| Allworth Financial LP | 1,000 | $14.9K | 0.00% | +1,000 | 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 |
| TSFG, LLC | 1,734 | $26.0K | 0.01% | +1,734 | New |
| Elequin Capital LP | 4,408 | $66.4K | 0.01% | +4,408 | New |
| Annis Gardner Whiting Capital Advisors, LLC | 7,500 | $113.0K | 0.05% | 00.0% | Unchanged |
| South State Corp. | 8,425 | $127.0K | 0.01% | 00.0% | Unchanged |
| Susquehanna International Group, LLP | 10,776 | $162.4K | 0.00% | +410+4.0% | Added |
| Truist Financial Corp | 10,853 | $163.6K | 0.00% | +10,853 | New |
| Nordwand Advisors, LLC | 11,500 | $173.3K | 0.07% | −5,000−30.3% | Reduced |
| Commonwealth Equity Services, LLC | 11,600 | $175.0K | 0.00% | +264+2.3% | Added |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 11,670 | $175.9K | 0.01% | +6,191+113.0% | Added |
| PFG Investments, LLC | 12,550 | $189.1K | 0.01% | −6,300−33.4% | Reduced |
| Millennium Management LLC | 14,602 | $220.1K | 0.00% | +14,602 | New |
| Wedbush Securities Inc | 15,074 | $227.0K | 0.01% | −7,584−33.5% | Reduced |
| Cetera Investment Advisers | 19,436 | $292.9K | 0.00% | +1,703+9.6% | Added |
| Kingsview Wealth Management, LLC | 19,605 | $295.4K | 0.01% | 00.0% | Unchanged |
| Rockefeller Capital Management L.P. | 21,147 | $318.7K | 0.00% | −2,219−9.5% | Reduced |
| MGB Wealth Management, LLC | 24,019 | $360.8K | 0.13% | +12,008+100.0% | Added |
| Davenport & Co LLC | 24,006 | $361.8K | 0.00% | −1,194−4.7% | Reduced |
| HighTower Advisors, LLC | 24,098 | $363.2K | 0.00% | −8,238−25.5% | Reduced |
| Aviance Capital Partners, LLC | 24,434 | $368.2K | 0.05% | +5,010+25.8% | Added |
| LPL Financial LLC | 24,581 | $370.4K | 0.00% | +4,534+22.6% | Added |
| Concurrent Investment Advisors, LLC | 26,609 | $401.0K | 0.01% | +59+0.2% | Added |
| U.S. Capital Wealth Advisors, LLC | 26,802 | $403.9K | 0.01% | 00.0% | Unchanged |
| J.W. Cole Advisors, Inc. | 26,891 | $405.3K | 0.01% | −16,716−38.3% | Reduced |
| Envestnet Asset Management Inc | 28,601 | $431.0K | 0.00% | +2,330+8.9% | Added |
| Journey Strategic Wealth LLC | 29,539 | $445.2K | 0.02% | −7,603−20.5% | Reduced |
| Steward Partners Investment Advisory, LLC | 30,689 | $462.5K | 0.00% | +21,025+217.6% | Added |
| Walleye Capital LLC | 32,932 | $496.3K | 0.01% | −883−2.6% | Reduced |
| UBS Group AG | 46,421 | $699.6K | 0.00% | −2,626−5.4% | Reduced |
| Invesco Ltd. | 47,517 | $716.1K | 0.00% | +34,270+258.7% | Added |
| Advisor Group Holdings, Inc. | 52,272 | $787.7K | 0.00% | −2,410−4.4% | Reduced |
| Stifel Financial Corp | 60,767 | $915.8K | 0.00% | +5,575+10.1% | Added |
| Oppenheimer & Co Inc | 88,120 | $1.33M | 0.02% | +4,345+5.2% | Added |
| Kestra Advisory Services, LLC | 96,149 | $1.45M | 0.01% | +390.0% | Added |
| Corrado Advisors, LLC | 162,224 | $2.44M | 1.63% | +1,395+0.9% | Added |
| Kovitz Investment Group Partners, LLC | 195,786 | $2.95M | 0.01% | +37,911+24.0% | Added |
| Wells Fargo & Company | 250,898 | $3.78M | 0.00% | −706−0.3% | Reduced |
| Royal Bank of Canada | 517,900 | $7.80M | 0.00% | +55,628+12.0% | Added |
| Raymond James Financial Inc | 592,568 | $8.93M | 0.00% | +85,868+16.9% | Added |
| Bank of America Corp | 615,034 | $9.27M | 0.00% | +38,598+6.7% | Added |
| Pathstone Holdings, LLC | 658,169 | $9.97M | 0.04% | +329,696+100.4% | Added |
| Advisors Asset Management, Inc. | 709,795 | $10.7M | 0.20% | +113,878+19.1% | Added |
| Cohen & Steers, Inc. | 736,149 | $11.1M | 0.02% | −50,000−6.4% | Reduced |
| Baird Financial Group, Inc. | 766,124 | $11.5M | 0.02% | +30,481+4.1% | Added |
| Guggenheim Capital LLC | 950,000 | $14.3M | 0.13% | 00.0% | Unchanged |
| Morgan Stanley | 2,471,797 | $37.2M | 0.00% | +61,784+2.6% | Added |
| 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 |