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 |
|---|---|---|---|---|---|
| Central Trust Co | 1 | $16 | 0.00% | +1 | New |
| Blue Bell Private Wealth Management, LLC | 500 | $7.67K | 0.00% | +300+150.0% | Added |
| JPMorgan Chase & Co | 550 | $8.43K | 0.00% | −1,649−75.0% | Reduced |
| Harbour Investments, Inc. | 1,500 | $23.0K | 0.00% | 00.0% | Unchanged |
| TSFG, LLC | 1,734 | $27.0K | 0.00% | 00.0% | Unchanged |
| Noble Wealth Management PBC | 2,700 | $41.4K | 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 |
| Annis Gardner Whiting Capital Advisors, LLC | 7,500 | $115.0K | 0.02% | 00.0% | Unchanged |
| South State Corp. | 8,425 | $129.2K | 0.01% | 00.0% | Unchanged |
| Wedbush Securities Inc | 10,758 | $165.0K | 0.00% | −2,827−20.8% | Reduced |
| XTX Topco Ltd | 10,861 | $166.5K | 0.00% | +10,861 | New |
| U.S. Capital Wealth Advisors, LLC | 11,802 | $180.9K | 0.00% | −2,600−18.1% | Reduced |
| High Net Worth Advisory Group LLC | 12,373 | $189.7K | 0.04% | +12,373 | New |
| 1607 Capital Partners, LLC | 12,600 | $193.2K | 0.01% | +12,600 | New |
| MGB Wealth Management, LLC | 14,146 | $216.9K | 0.06% | −1,762−11.1% | Reduced |
| Kingsview Wealth Management, LLC | 14,830 | $227.3K | 0.00% | −2,500−14.4% | Reduced |
| Cambridge Investment Research Advisors, Inc. | 15,027 | $230.0K | 0.00% | +15,027 | New |
| Commonwealth Equity Services, LLC | 15,133 | $232.0K | 0.00% | +3,428+29.3% | Added |
| Brinker Capital Investments, LLC | 15,212 | $233.2K | 0.00% | +4,287+39.2% | Added |
| UBS Group AG | 19,175 | $294.0K | 0.00% | +607+3.3% | Added |
| Jane Street Group, LLC | 19,880 | $304.8K | 0.00% | +19,880 | New |
| J.W. Cole Advisors, Inc. | 39,015 | $333.4K | 0.01% | −384−1.0% | Reduced |
| Davenport & Co LLC | 24,363 | $373.5K | 0.00% | +36+0.1% | Added |
| LPL Financial LLC | 26,563 | $407.2K | 0.00% | −567−2.1% | Reduced |
| Cetera Investment Advisers | 27,333 | $419.0K | 0.00% | +4,258+18.5% | Added |
| Marex Group plc | 27,847 | $426.9K | 0.00% | +27,847 | New |
| Journey Strategic Wealth LLC | 27,939 | $428.3K | 0.01% | +400+1.5% | Added |
| Rockefeller Capital Management L.P. | 30,004 | $460.0K | 0.00% | +7,861+35.5% | Added |
| Pensionmark Financial Group, LLC | 30,967 | $474.7K | 0.01% | +811+2.7% | Added |
| Envestnet Asset Management Inc | 31,484 | $482.7K | 0.00% | +3,001+10.5% | Added |
| Aviance Capital Partners, LLC | 31,620 | $484.7K | 0.06% | +1,168+3.8% | Added |
| Concurrent Investment Advisors, LLC | 36,477 | $559.2K | 0.01% | +170+0.5% | Added |
| Advisor Group Holdings, Inc. | 45,540 | $698.1K | 0.00% | −4,740−9.4% | Reduced |
| Golden State Equity Partners | 47,694 | $731.1K | 0.12% | +2,364+5.2% | Added |
| Stifel Financial Corp | 48,281 | $740.2K | 0.00% | −1,193−2.4% | Reduced |
| Oppenheimer & Co Inc | 71,031 | $1.09M | 0.02% | −18,464−20.6% | Reduced |
| Invesco Ltd. | 78,358 | $1.20M | 0.00% | +4,261+5.8% | Added |
| Kestra Advisory Services, LLC | 104,026 | $1.59M | 0.01% | +5,571+5.7% | Added |
| Closed-End Fund Advisors, Inc. | 110,396 | $1.69M | 1.00% | +110,396 | New |
| Steward Partners Investment Advisory, LLC | 137,379 | $2.11M | 0.01% | +16,446+13.6% | Added |
| Colony Group, LLC | 142,693 | $2.19M | 0.00% | +142,693 | New |
| Corrado Advisors, LLC | 180,342 | $2.76M | 1.39% | +8,007+4.6% | Added |
| Wells Fargo & Company | 276,495 | $4.24M | 0.00% | +723+0.3% | Added |
| Royal Bank of Canada | 484,718 | $7.43M | 0.00% | −46,970−8.8% | Reduced |
| Raymond James Financial Inc | 648,132 | $9.94M | 0.00% | −28,165−4.2% | Reduced |
| Baird Financial Group, Inc. | 708,042 | $10.9M | 0.02% | +15,878+2.3% | Added |
| Cohen & Steers, Inc. | 748,149 | $11.5M | 0.02% | 00.0% | Unchanged |
| Advisors Asset Management, Inc. | 836,829 | $12.8M | 0.22% | −59,044−6.6% | Reduced |
| Bank of America Corp | 885,035 | $13.6M | 0.00% | +206,836+30.5% | Added |
| Guggenheim Capital LLC | 950,000 | $14.6M | 0.11% | 00.0% | Unchanged |
| Pathstone Holdings, LLC | 975,927 | $15.0M | 0.06% | +78,401+8.7% | Added |
| Morgan Stanley | 2,782,293 | $42.7M | 0.00% | +4,030+0.1% | Added |
| 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 |