Skip to main content
Livermore
Livermore
ZHEN

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 2025

Institutional positions in Guggenheim Active Allocation Fund as of Sep 30, 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
+2 vs. Q2 2025
Shares held
10.5M
+142.0K (+1.4%) vs. Q2 2025
Total value
$163.1M
+$1.81M (+1.1%) vs. Q2 2025
New holders
5
20 more added
Sold out
3
16 more reduced

Compare with Q2 2025: 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.

Institutional holdersQ3 2025: 51 institutions
Q1 2021: 0 institutionsQ2 2021: 0 institutionsQ3 2021: 0 institutionsQ4 2021: 5 institutionsQ1 2022: 14 institutionsQ2 2022: 22 institutionsQ3 2022: 30 institutionsQ4 2022: 34 institutionsQ1 2023: 36 institutionsQ2 2023: 37 institutionsQ3 2023: 41 institutionsQ4 2023: 44 institutionsQ1 2024: 50 institutionsQ2 2024: 51 institutionsQ3 2024: 49 institutionsQ4 2024: 57 institutionsQ1 2025: 51 institutionsQ2 2025: 49 institutionsQ3 2025: 51 institutionsQ4 2025: 53 institutionsQ1 2026: 44 institutionsQ2 2026: 46 institutions
Value heldQ3 2025: $163.1M
Q1 2021: $0Q2 2021: $0Q3 2021: $0Q4 2021: $24.5MQ1 2022: $57.7MQ2 2022: $70.0MQ3 2022: $71.5MQ4 2022: $107.3MQ1 2023: $116.3MQ2 2023: $122.4MQ3 2023: $113.7MQ4 2023: $143.5MQ1 2024: $121.3MQ2 2024: $126.0MQ3 2024: $138.1MQ4 2024: $136.6MQ1 2025: $143.6MQ2 2025: $161.3MQ3 2025: $163.1MQ4 2025: $165.2MQ1 2026: $160.8MQ2 2026: $182.6M
Institutions holding GUG and their total value by quarter
QuarterHoldersValue
Q2 202646$182.6M
Q1 202644$160.8M
Q4 202553$165.2M
Q3 202551$163.1M
Q2 202549$161.3M
Q1 202551$143.6M
Q4 202457$136.6M
Q3 202449$138.1M
Q2 202451$126.0M
Q1 202450$121.3M
Q4 202344$143.5M
Q3 202341$113.7M
Q2 202337$122.4M
Q1 202336$116.3M
Q4 202234$107.3M
Q3 202230$71.5M
Q2 202222$70.0M
Q1 202214$57.7M
Q4 20215$24.5M
Q3 20210$0
Q2 20210$0
Q1 20210$0

Institutions, Q3 2025

Shares, value and share of portfolio for each institution holding Guggenheim Active Allocation Fund; share changes are against Q2 2025.

Institutions holding GUG in Q3 2025
InstitutionSharesValue% of portfolioChange in sharesAction
GWM Advisors LLC150$2.34K0.00%+150New
Blue Bell Private Wealth Management, LLC200$3.12K0.00%00.0%Unchanged
Morse Asset Management, Inc1,310$20.4K0.00%+1,310New
Harbour Investments, Inc.1,500$23.4K0.00%00.0%Unchanged
TSFG, LLC1,734$27.0K0.00%00.0%Unchanged
JPMorgan Chase & Co2,199$34.3K0.00%−3,000−57.7%Reduced
Noble Wealth Management PBC2,700$42.1K0.02%+2,700New
Larson Financial Group LLC3,000$46.8K0.00%00.0%Unchanged
Geneos Wealth Management Inc.3,000$46.8K0.00%00.0%Unchanged
Annis Gardner Whiting Capital Advisors, LLC7,500$117.0K0.02%00.0%Unchanged
South State Corp.8,425$131.4K0.01%00.0%Unchanged
Brinker Capital Investments, LLC10,925$170.4K0.00%−525−4.6%Reduced
Wetherby Asset Management Inc11,232$175.2K0.01%−12,358−52.4%Reduced
Walleye Capital LLC11,497$179.4K0.00%−4,723−29.1%Reduced
Nordwand Advisors, LLC11,500$179.4K0.03%00.0%Unchanged
Commonwealth Equity Services, LLC11,705$183.0K0.00%−359−3.0%Reduced
Wedbush Securities Inc13,585$212.0K0.01%−1,557−10.3%Reduced
Creative Planning13,900$216.8K0.00%+13,900New
U.S. Capital Wealth Advisors, LLC14,402$224.7K0.01%−12,400−46.3%Reduced
MGB Wealth Management, LLC15,908$248.1K0.07%+4,987+45.7%Added
Kingsview Wealth Management, LLC17,330$270.3K0.00%−1,725−9.1%Reduced
UBS Group AG18,568$289.7K0.00%−40,187−68.4%Reduced
Rockefeller Capital Management L.P.22,143$345.4K0.00%+498+2.3%Added
Cetera Investment Advisers23,075$360.0K0.00%+1,329+6.1%Added
Davenport & Co LLC24,327$379.5K0.00%+321+1.3%Added
LPL Financial LLC27,130$423.2K0.00%+2,310+9.3%Added
Journey Strategic Wealth LLC27,539$429.6K0.01%00.0%Unchanged
Envestnet Asset Management Inc28,483$444.3K0.00%−4,018−12.4%Reduced
Pensionmark Financial Group, LLC30,156$470.4K0.01%+30,156New
Aviance Capital Partners, LLC30,452$475.1K0.06%+1,659+5.8%Added
Concurrent Investment Advisors, LLC36,307$566.4K0.01%+8,365+29.9%Added
J.W. Cole Advisors, Inc.39,399$614.6K0.01%+993+2.6%Added
Golden State Equity Partners45,330$707.1K0.12%+5,606+14.1%Added
Stifel Financial Corp49,474$771.8K0.00%−16,106−24.6%Reduced
Advisor Group Holdings, Inc.50,280$793.1K0.00%−2,000−3.8%Reduced
Invesco Ltd.74,097$1.16M0.00%+13,708+22.7%Added
Oppenheimer & Co Inc89,495$1.40M0.02%−1,460−1.6%Reduced
Kestra Advisory Services, LLC98,455$1.54M0.01%+2,247+2.3%Added
Steward Partners Investment Advisory, LLC120,933$1.89M0.01%+45,098+59.5%Added
Kovitz Investment Group Partners, LLC160,263$2.50M0.01%−24,928−13.5%Reduced
Corrado Advisors, LLC172,335$2.69M1.44%+5,152+3.1%Added
Wells Fargo & Company275,772$4.30M0.00%+19,851+7.8%Added
Royal Bank of Canada531,688$8.29M0.00%+16,318+3.2%Added
Raymond James Financial Inc676,297$10.6M0.00%+26,295+4.0%Added
Bank of America Corp678,199$10.6M0.00%−242,512−26.3%Reduced
Baird Financial Group, Inc.692,164$10.8M0.02%−88,979−11.4%Reduced
Cohen & Steers, Inc.748,149$11.7M0.02%+7,000+0.9%Added
Advisors Asset Management, Inc.895,873$14.0M0.24%+95,952+12.0%Added
Pathstone Holdings, LLC897,526$14.0M0.05%+126,657+16.4%Added
Guggenheim Capital LLC950,000$14.8M0.11%00.0%Unchanged
Morgan Stanley2,778,263$43.3M0.00%+197,258+7.6%Added
HighTower Advisors, LLC0$00.00%−28,645−100.0%Sold out
Northwestern Mutual Wealth Management Co0$00.00%−1,518−100.0%Sold out
Elequin Capital LP0$00.00%−808−100.0%Sold out