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 2026
Institutional positions in Guggenheim Active Allocation Fund as of Mar 31, 2026. 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
- 44
- −8 vs. Q4 2025
- Shares held
- 10.6M
- −215.8K (−2.0%) vs. Q4 2025
- Total value
- $160.8M
- −$4.20M (−2.5%) vs. Q4 2025
- New holders
- 4
- 20 more added
- Sold out
- 12
- 12 more reduced
1 institution that held it in Q4 2025 haven't filed for Q1 2026 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q4 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, Q1 2026
Shares, value and share of portfolio for each institution holding Guggenheim Active Allocation Fund; share changes are against Q4 2025.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Highline Wealth Partners LLC | 187 | $2.85K | 0.00% | +187 | New |
| Farther Finance Advisors, LLC | 357 | $5.47K | 0.00% | +357 | New |
| JPMorgan Chase & Co | 550 | $8.23K | 0.00% | 00.0% | Unchanged |
| Harbour Investments, Inc. | 1,500 | $22.8K | 0.00% | 00.0% | Unchanged |
| TSFG, LLC | 1,734 | $26.0K | 0.00% | 00.0% | Unchanged |
| Noble Wealth Management PBC | 2,700 | $41.1K | 0.02% | 00.0% | Unchanged |
| Larson Financial Group LLC | 3,000 | $45.7K | 0.00% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 3,000 | $45.7K | 0.00% | 00.0% | Unchanged |
| Annis Gardner Whiting Capital Advisors, LLC | 7,500 | $114.2K | 0.02% | 00.0% | Unchanged |
| Wedbush Securities Inc | 10,815 | $165.0K | 0.00% | +57+0.5% | Added |
| Kingsview Wealth Management, LLC | 12,395 | $188.7K | 0.00% | −2,435−16.4% | Reduced |
| High Net Worth Advisory Group LLC | 12,555 | $191.1K | 0.04% | +182+1.5% | Added |
| Cambridge Investment Research Advisors, Inc. | 15,018 | $229.0K | 0.00% | −9−0.1% | Reduced |
| J.W. Cole Advisors, Inc. | 17,270 | $262.8K | 0.01% | −21,745−55.7% | Reduced |
| UBS Group AG | 18,543 | $282.2K | 0.00% | −632−3.3% | Reduced |
| Independent Advisor Alliance | 18,590 | $282.9K | 0.00% | +18,590 | New |
| Davenport & Co LLC | 19,498 | $296.8K | 0.00% | −4,865−20.0% | Reduced |
| Citadel Advisors LLC | 30,181 | $459.4K | 0.00% | +30,181 | New |
| Rockefeller Capital Management L.P. | 30,630 | $466.2K | 0.00% | +626+2.1% | Added |
| Aviance Capital Partners, LLC | 31,667 | $482.0K | 0.06% | +47+0.1% | Added |
| Journey Strategic Wealth LLC | 31,939 | $486.1K | 0.01% | +4,000+14.3% | Added |
| Pensionmark Financial Group, LLC | 32,529 | $495.1K | 0.01% | +1,562+5.0% | Added |
| Concurrent Investment Advisors, LLC | 38,421 | $584.8K | 0.01% | +1,944+5.3% | Added |
| LPL Financial LLC | 38,907 | $592.2K | 0.00% | +12,344+46.5% | Added |
| Advisor Group Holdings, Inc. | 39,722 | $604.6K | 0.00% | −5,818−12.8% | Reduced |
| Envestnet Asset Management Inc | 40,772 | $620.5K | 0.00% | +9,288+29.5% | Added |
| Cetera Investment Advisers | 43,694 | $665.0K | 0.00% | +16,361+59.9% | Added |
| Stifel Financial Corp | 48,126 | $732.5K | 0.00% | −155−0.3% | Reduced |
| Golden State Equity Partners | 48,577 | $739.3K | 0.06% | +883+1.9% | Added |
| Oppenheimer & Co Inc | 66,963 | $1.02M | 0.01% | −4,068−5.7% | Reduced |
| Colony Group, LLC | 75,699 | $1.15M | 0.00% | −66,994−46.9% | Reduced |
| Invesco Ltd. | 84,958 | $1.29M | 0.00% | +6,600+8.4% | Added |
| Closed-End Fund Advisors, Inc. | 106,688 | $1.62M | 1.65% | −3,708−3.4% | Reduced |
| Steward Partners Investment Advisory, LLC | 150,120 | $2.28M | 0.01% | +12,741+9.3% | Added |
| Wells Fargo & Company | 296,593 | $4.51M | 0.00% | +20,098+7.3% | Added |
| Royal Bank of Canada | 500,014 | $7.61M | 0.00% | +15,296+3.2% | Added |
| Raymond James Financial Inc | 708,954 | $10.8M | 0.00% | +60,822+9.4% | Added |
| Baird Financial Group, Inc. | 730,304 | $11.1M | 0.02% | +22,262+3.1% | Added |
| Advisors Asset Management, Inc. | 804,347 | $12.2M | 0.20% | −32,482−3.9% | Reduced |
| Cohen & Steers, Inc. | 848,149 | $12.9M | 0.02% | +100,000+13.4% | Added |
| Pathstone Holdings, LLC | 888,872 | $13.5M | 0.05% | −87,055−8.9% | Reduced |
| Bank of America Corp | 914,964 | $13.9M | 0.00% | +29,929+3.4% | Added |
| Guggenheim Capital LLC | 950,000 | $14.5M | 0.12% | 00.0% | Unchanged |
| Morgan Stanley | 2,838,748 | $43.2M | 0.00% | +56,455+2.0% | Added |
| Corrado Advisors, LLC | 0 | $0 | 0.00% | −180,342−100.0% | Sold out |
| Kestra Advisory Services, LLC | 0 | $0 | 0.00% | −104,026−100.0% | Sold out |
| Marex Group plc | 0 | $0 | 0.00% | −27,847−100.0% | Sold out |
| Jane Street Group, LLC | 0 | $0 | 0.00% | −19,880−100.0% | Sold out |
| Brinker Capital Investments, LLC | 0 | $0 | 0.00% | −15,212−100.0% | Sold out |
| Commonwealth Equity Services, LLC | 0 | $0 | 0.00% | −15,133−100.0% | Sold out |
| 1607 Capital Partners, LLC | 0 | $0 | 0.00% | −12,600−100.0% | Sold out |
| U.S. Capital Wealth Advisors, LLC | 0 | $0 | 0.00% | −11,802−100.0% | Sold out |
| XTX Topco Ltd | 0 | $0 | 0.00% | −10,861−100.0% | Sold out |
| South State Corp. | 0 | $0 | 0.00% | −8,425−100.0% | Sold out |
| Blue Bell Private Wealth Management, LLC | 0 | $0 | 0.00% | −500−100.0% | Sold out |
| Central Trust Co | 0 | $0 | 0.00% | −1−100.0% | Sold out |
| MGB Wealth Management, LLC | – | – | – | – | Not filed |