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 2025
Institutional positions in Guggenheim Active Allocation Fund as of Dec 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
- 53
- +3 vs. Q3 2025
- Shares held
- 10.8M
- +351.0K (+3.4%) vs. Q3 2025
- Total value
- $165.2M
- +$2.29M (+1.4%) vs. Q3 2025
- New holders
- 9
- 22 more added
- Sold out
- 6
- 13 more reduced
1 institution that held it in Q3 2025 haven't filed for Q4 2025 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q3 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.
| 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 2025
Shares, value and share of portfolio for each institution holding Guggenheim Active Allocation Fund; share changes are against Q3 2025.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Morgan Stanley | 2,782,293 | $42.7M | 0.00% | +4,030+0.1% | Added |
| Pathstone Holdings, LLC | 975,927 | $15.0M | 0.06% | +78,401+8.7% | Added |
| Guggenheim Capital LLC | 950,000 | $14.6M | 0.11% | 00.0% | Unchanged |
| Bank of America Corp | 885,035 | $13.6M | 0.00% | +206,836+30.5% | Added |
| Advisors Asset Management, Inc. | 836,829 | $12.8M | 0.22% | −59,044−6.6% | Reduced |
| Cohen & Steers, Inc. | 748,149 | $11.5M | 0.02% | 00.0% | Unchanged |
| Baird Financial Group, Inc. | 708,042 | $10.9M | 0.02% | +15,878+2.3% | Added |
| Raymond James Financial Inc | 648,132 | $9.94M | 0.00% | −28,165−4.2% | Reduced |
| Royal Bank of Canada | 484,718 | $7.43M | 0.00% | −46,970−8.8% | Reduced |
| Wells Fargo & Company | 276,495 | $4.24M | 0.00% | +723+0.3% | Added |
| Corrado Advisors, LLC | 180,342 | $2.76M | 1.39% | +8,007+4.6% | Added |
| Colony Group, LLC | 142,693 | $2.19M | 0.00% | +142,693 | New |
| Steward Partners Investment Advisory, LLC | 137,379 | $2.11M | 0.01% | +16,446+13.6% | Added |
| Closed-End Fund Advisors, Inc. | 110,396 | $1.69M | 1.00% | +110,396 | New |
| Kestra Advisory Services, LLC | 104,026 | $1.59M | 0.01% | +5,571+5.7% | Added |
| Invesco Ltd. | 78,358 | $1.20M | 0.00% | +4,261+5.8% | Added |
| Oppenheimer & Co Inc | 71,031 | $1.09M | 0.02% | −18,464−20.6% | Reduced |
| Stifel Financial Corp | 48,281 | $740.2K | 0.00% | −1,193−2.4% | Reduced |
| Golden State Equity Partners | 47,694 | $731.1K | 0.12% | +2,364+5.2% | Added |
| Advisor Group Holdings, Inc. | 45,540 | $698.1K | 0.00% | −4,740−9.4% | Reduced |
| Concurrent Investment Advisors, LLC | 36,477 | $559.2K | 0.01% | +170+0.5% | Added |
| Aviance Capital Partners, LLC | 31,620 | $484.7K | 0.06% | +1,168+3.8% | Added |
| Envestnet Asset Management Inc | 31,484 | $482.7K | 0.00% | +3,001+10.5% | Added |
| Pensionmark Financial Group, LLC | 30,967 | $474.7K | 0.01% | +811+2.7% | Added |
| Rockefeller Capital Management L.P. | 30,004 | $460.0K | 0.00% | +7,861+35.5% | Added |
| Journey Strategic Wealth LLC | 27,939 | $428.3K | 0.01% | +400+1.5% | Added |
| Marex Group plc | 27,847 | $426.9K | 0.00% | +27,847 | New |
| Cetera Investment Advisers | 27,333 | $419.0K | 0.00% | +4,258+18.5% | Added |
| LPL Financial LLC | 26,563 | $407.2K | 0.00% | −567−2.1% | Reduced |
| Davenport & Co LLC | 24,363 | $373.5K | 0.00% | +36+0.1% | Added |
| J.W. Cole Advisors, Inc. | 39,015 | $333.4K | 0.01% | −384−1.0% | Reduced |
| Jane Street Group, LLC | 19,880 | $304.8K | 0.00% | +19,880 | New |
| UBS Group AG | 19,175 | $294.0K | 0.00% | +607+3.3% | Added |
| Brinker Capital Investments, LLC | 15,212 | $233.2K | 0.00% | +4,287+39.2% | Added |
| Commonwealth Equity Services, LLC | 15,133 | $232.0K | 0.00% | +3,428+29.3% | Added |
| Cambridge Investment Research Advisors, Inc. | 15,027 | $230.0K | 0.00% | +15,027 | New |
| Kingsview Wealth Management, LLC | 14,830 | $227.3K | 0.00% | −2,500−14.4% | Reduced |
| MGB Wealth Management, LLC | 14,146 | $216.9K | 0.06% | −1,762−11.1% | Reduced |
| 1607 Capital Partners, LLC | 12,600 | $193.2K | 0.01% | +12,600 | New |
| High Net Worth Advisory Group LLC | 12,373 | $189.7K | 0.04% | +12,373 | New |
| U.S. Capital Wealth Advisors, LLC | 11,802 | $180.9K | 0.00% | −2,600−18.1% | Reduced |
| XTX Topco Ltd | 10,861 | $166.5K | 0.00% | +10,861 | New |
| Wedbush Securities Inc | 10,758 | $165.0K | 0.00% | −2,827−20.8% | Reduced |
| South State Corp. | 8,425 | $129.2K | 0.01% | 00.0% | Unchanged |
| Annis Gardner Whiting Capital Advisors, LLC | 7,500 | $115.0K | 0.02% | 00.0% | Unchanged |
| Larson Financial Group LLC | 3,000 | $46.0K | 0.00% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 3,000 | $46.0K | 0.00% | 00.0% | Unchanged |
| Noble Wealth Management PBC | 2,700 | $41.4K | 0.02% | 00.0% | Unchanged |
| TSFG, LLC | 1,734 | $27.0K | 0.00% | 00.0% | Unchanged |
| Harbour Investments, Inc. | 1,500 | $23.0K | 0.00% | 00.0% | Unchanged |
| JPMorgan Chase & Co | 550 | $8.43K | 0.00% | −1,649−75.0% | Reduced |
| Blue Bell Private Wealth Management, LLC | 500 | $7.67K | 0.00% | +300+150.0% | Added |
| Central Trust Co | 1 | $16 | 0.00% | +1 | New |
| Kovitz Investment Group Partners, LLC | 0 | $0 | 0.00% | −160,263−100.0% | Sold out |
| Creative Planning | 0 | $0 | 0.00% | −13,900−100.0% | Sold out |
| Nordwand Advisors, LLC | 0 | $0 | 0.00% | −11,500−100.0% | Sold out |
| Walleye Capital LLC | 0 | $0 | 0.00% | −11,497−100.0% | Sold out |
| Morse Asset Management, Inc | 0 | $0 | 0.00% | −1,310−100.0% | Sold out |
| GWM Advisors LLC | 0 | $0 | 0.00% | −150−100.0% | Sold out |
| Wetherby Asset Management Inc | – | – | – | – | Not filed |