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Guggenheim Active Allocation Fund (GUG) Institutional Ownership

Guggenheim Active Allocation Fund logo
$15.53 +0.04 (+0.28%)
Closing price 03:59 PM Eastern
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$15.54 +0.01 (+0.05%)
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Institutional Ownership Changes (13F Filings) for Guggenheim Active Allocation Fund (NYSE:GUG)

Number of
Institutional Buyers
(last 12 months)
36
Total
Institutional Inflows
(last 12 months)
$39.64M
Number of
Institutional Sellers
(last 12 months)
17
Total
Institutional Outflows
(last 12 months)
$6.58M
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GUG Institutional Buying and Selling by Quarter

Guggenheim Active Allocation Fund Major Shareholders & Ownership History

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Reporting DateMajor Shareholder NameShares HeldMarket Value% of PortfolioQuarterly Change in SharesOwnership in CompanyDetails
7/14/2025Golden State Equity Partners39,724$621K0.1%N/A0.000%
5/16/2025Advisors Asset Management Inc.708,910$10.68M0.2%+19.1%0.000%
5/15/2025Royal Bank of Canada517,900$7.81M0.0%+12.0%0.000%
5/15/2025Baird Financial Group Inc.766,124$11.55M0.0%+4.1%0.000%
5/14/2025Walleye Capital LLC32,932$496K0.0%-2.6%0.000%
5/13/2025Elequin Capital LP4,408$66K0.0%N/A0.000%
5/13/2025Raymond James Financial Inc.592,568$8.93M0.0%+16.9%0.000%
5/13/2025Kovitz Investment Group Partners LLC195,786$2.95M0.0%+24.0%0.000%
5/13/2025HighTower Advisors LLC24,098$363K0.0%-25.5%0.000%
5/12/2025Invesco Ltd.47,517$716K0.0%+258.7%0.000%
5/9/2025MGB Wealth Management LLC24,019$361K0.1%+100.0%0.000%
5/6/2025Cetera Investment Advisers19,436$293K0.0%+9.6%0.000%
5/6/2025Journey Strategic Wealth LLC29,539$445K0.0%-20.5%0.000%
5/6/2025Wedbush Securities Inc.15,074$227K0.0%-33.5%0.000%
5/1/2025Corrado Advisors LLC162,224$2.45M1.6%+0.9%0.000%
4/29/2025Envestnet Asset Management Inc.28,601$431K0.0%+8.9%0.000%
4/29/2025Aviance Capital Partners LLC24,434$368K0.1%+25.8%0.000%
4/28/2025DAVENPORT & Co LLC24,006$362K0.0%-4.7%0.000%
4/24/2025Tsfg LLC1,734$26K0.0%N/A0.000%
4/23/2025Oppenheimer & Co. Inc.88,120$1.33M0.0%+5.2%0.000%
4/22/2025PFG Investments LLC12,550$189K0.0%-33.4%0.000%
4/21/2025Avior Wealth Management LLC11,670$176K0.0%+113.0%0.000%
2/25/2025B. Riley Wealth Advisors Inc.16,563$246K0.0%-9.9%0.000%
2/17/2025Cetera Investment Advisers17,733$264K0.0%+12.4%0.000%
2/17/2025Baird Financial Group Inc.735,643$10.94M0.0%+5.9%0.000%
2/17/2025Bank of America Corp DE576,436$8.57M0.0%-3.9%0.000%
2/14/2025Kovitz Investment Group Partners LLC157,875$2.35M0.0%+127.4%0.000%
2/13/2025Walleye Capital LLC33,815$503K0.0%N/A0.000%
2/13/2025Cohen & Steers Inc.786,149$11.69M0.0%-16.7%0.000%
2/13/2025Rockefeller Capital Management L.P.23,366$347K0.0%-28.2%0.000%
2/13/2025Raymond James Financial Inc.506,700$7.54M0.0%N/A0.000%
2/13/2025Invesco Ltd.13,247$197K0.0%N/A0.000%
2/13/2025Envestnet Asset Management Inc.26,271$391K0.0%+7.5%0.000%
2/13/2025Wedbush Securities Inc.22,658$337K0.0%+52.5%0.000%
2/13/2025Wells Fargo & Company MN251,604$3.74M0.0%-0.5%0.000%
2/12/2025Landscape Capital Management L.L.C.11,839$176K0.0%N/A0.000%
2/11/2025LPL Financial LLC20,047$298K0.0%N/A0.000%
2/10/2025Advisors Asset Management Inc.595,115$8.85M0.2%+22.2%0.000%
2/10/2025SouthState Corp8,425$125K0.0%N/A0.000%
2/7/2025HighTower Advisors LLC32,336$481K0.0%N/A0.000%
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2/7/2025Independent Advisor Alliance16,103$239K0.0%N/A0.000%
2/7/2025Aviance Capital Partners LLC19,424$289K0.0%+9.4%0.000%
2/6/2025Raymond James Financial Inc.506,700$7.54M0.0%N/A0.000%
2/6/2025Steward Partners Investment Advisory LLC9,664$144K0.0%+94.7%0.000%
2/5/2025Oppenheimer & Co. Inc.83,775$1.25M0.0%+14.3%0.000%
2/5/2025Corrado Advisors LLC160,829$2.39M1.6%-6.4%0.000%
2/3/2025Concurrent Investment Advisors LLC26,550$395K0.0%+13.6%0.000%
1/31/2025J.W. Cole Advisors Inc.43,607$648K0.0%+9.4%0.000%
1/29/2025MGB Wealth Management LLC12,011$179K0.1%+6.6%0.000%
1/24/2025Journey Strategic Wealth LLC37,142$552K0.0%-19.2%0.000%
1/24/2025DAVENPORT & Co LLC25,200$375K0.0%-3.8%0.000%
1/22/2025PFG Investments LLC18,850$280K0.0%-40.8%0.000%
1/17/2025Avior Wealth Management LLC5,479$81K0.0%+53.6%0.000%
12/26/2024JPMorgan Chase & Co.3,800$63K0.0%N/A0.000%
12/13/2024B. Riley Wealth Advisors Inc.18,377$303K0.0%-83.4%0.000%
11/15/2024Kovitz Investment Group Partners LLC69,419$1.13M0.0%N/A0.000%
11/15/2024Stifel Financial Corp54,793$907K0.0%+16.8%0.000%
11/14/2024Arete Wealth Advisors LLC15,220$252K0.0%-30.4%0.000%
11/14/2024Rockefeller Capital Management L.P.32,559$539K0.0%N/A0.000%
11/12/2024Penserra Capital Management LLC299,198$4.95M0.1%N/A0.000%
11/12/2024Kingsview Wealth Management LLC19,860$329K0.0%+3.4%0.000%
11/8/2024Advisors Asset Management Inc.487,071$8.06M0.1%+27.2%0.000%
11/7/2024Pathstone Holdings LLC220,358$3.65M0.0%-14.9%0.000%
11/7/2024Aviance Capital Partners LLC17,760$294K0.0%-22.7%0.000%
11/6/2024Oppenheimer & Co. Inc.73,325$1.21M0.0%-15.3%0.000%
11/1/2024Corrado Advisors LLC171,743$2.84M1.8%-2.1%0.000%
10/31/2024Concurrent Investment Advisors LLC23,381$387K0.0%+52.1%0.000%
10/24/2024J.W. Cole Advisors Inc.39,853$660K0.0%-7.4%0.000%
10/22/2024International Assets Investment Management LLC49,650$8.22M0.0%+1,555.0%0.000%
10/18/2024Raymond James & Associates249,825$4.14M0.0%+48.0%0.000%
8/19/2024B. Riley Wealth Advisors Inc.110,723$1.65M0.0%+5.1%0.000%
8/8/2024J.W. Cole Advisors Inc.43,018$642K0.0%+6.2%0.000%
8/7/2024Wedbush Securities Inc.15,111$226K0.0%-6.0%0.000%
8/7/2024PFG Investments LLC31,850$476K0.0%N/A0.000%
7/31/2024Concurrent Investment Advisors LLC15,377$230K0.0%+4.6%0.000%
7/30/2024International Assets Investment Management LLC3,000$45K0.0%N/A0.000%
7/25/2024Raymond James Trust N.A.17,830$266K0.0%+64.8%0.000%
7/19/2024Raymond James & Associates168,783$2.52M0.0%+12.9%0.000%
7/11/2024U.S. Capital Wealth Advisors LLC72,702$1.09M0.0%-23.0%0.000%
5/16/2024B. Riley Wealth Advisors Inc.105,330$1.42M0.0%+3.1%0.000%
5/14/2024Advisors Asset Management Inc.270,825$3.98M0.1%+60.2%0.000%
5/9/2024Corrado Advisors LLC178,839$2.63M1.7%-5.3%0.000%
5/7/2024Concurrent Investment Advisors LLC14,702$216K0.0%N/A0.000%
4/30/2024J.W. Cole Advisors Inc.40,495$595K0.0%+6.3%0.000%
4/23/2024Raymond James Financial Services Advisors Inc.85,508$1.26M0.0%+155.0%0.000%
3/27/2024Nomura Holdings Inc.16,843$247K0.0%N/A0.000%
3/15/2024B. Riley Wealth Advisors Inc.102,203$1.50M0.0%-3.0%0.000%
2/13/2024Oppenheimer & Co. Inc.87,075$1.28M0.0%+12.5%0.000%
2/13/20241607 Capital Partners LLC74,845$1.10M0.1%+36.0%0.000%
2/12/2024Relative Value Partners Group LLC245,733$3.60M0.2%+14.5%0.000%
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2/9/2024Journey Strategic Wealth LLC38,792$569K0.0%+14.8%0.000%
2/6/2024Aviance Capital Partners LLC23,089$338K0.1%-7.1%0.000%
2/6/2024U.S. Capital Wealth Advisors LLC122,067$1.79M0.1%-2.9%0.000%
2/1/2024Corrado Advisors LLC188,927$2.77M2.3%-2.3%0.000%
1/31/2024J.W. Cole Advisors Inc.38,101$559K0.0%+70.4%0.000%
1/25/2024International Assets Investment Management LLC43,980$645K0.0%N/A0.000%
1/25/2024Blue Bell Private Wealth Management LLC4,200$62K0.0%N/A0.000%
1/24/2024International Assets Investment Management LLC43,980$645K0.0%N/A0.000%
1/16/2024Raymond James Financial Services Advisors Inc.33,537$492K0.0%+89.4%0.000%
1/5/2024 BancFirst Trust & Investment Management19,377$285K0.1%N/A0.000%
(Data available from 1/1/2016 forward)

GUG Institutional Ownership - Frequently Asked Questions

Who are the largest shareholders of GUG shares?

During the previous two years, 50 institutional investors and hedge funds held shares of Guggenheim Active Allocation Fund. The most heavily invested institutionals were Cohen & Steers Inc. ($11.69M), Baird Financial Group Inc. ($11.55M), Advisors Asset Management Inc. ($10.68M), Raymond James Financial Inc. ($8.93M), Bank of America Corp DE ($8.57M), International Assets Investment Management LLC ($8.22M), and Royal Bank of Canada ($7.81M).Learn more on Guggenheim Active Allocation Fund's institutional investors.

Which institutional investors have been buying Guggenheim Active Allocation Fund's stock?

Of the 43 institutional investors that purchased Guggenheim Active Allocation Fund's stock in the last 24 months, the following investors and hedge funds have bought the highest volume of shares: Raymond James Financial Inc. ($1.10M), Advisors Asset Management Inc. ($427.92K), Penserra Capital Management LLC ($299.20K), Kovitz Investment Group Partners LLC ($195.79K), International Assets Investment Management LLC ($137.61K), Raymond James & Associates ($100.34K), and Baird Financial Group Inc. ($71.20K).

How much institutional buying is happening at Guggenheim Active Allocation Fund?

Institutional investors have bought a total of 2,584,454 shares in the last 24 months. This purchase volume represents approximately $39.64M in transactions.

Which of Guggenheim Active Allocation Fund's major shareholders have been selling company stock?

Of the 17 institutional investors that sold Guggenheim Active Allocation Fund's stock in the last 24 months, the following investors and hedge funds have sold the highest volume of shares: Cohen & Steers Inc. ($158.10K), B. Riley Wealth Advisors Inc. ($94.16K), Pathstone Holdings LLC ($38.70K), Bank of America Corp DE ($23.39K), PFG Investments LLC ($19.30K), Journey Strategic Wealth LLC ($16.45K), and Corrado Advisors LLC ($14.61K).

How much institutional selling is happening at Guggenheim Active Allocation Fund?

Institutional investors have sold a total of 423,369 shares in the last 24 months. This volume of shares sold represents approximately $6.58M in transactions.


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This page (NYSE:GUG) was last updated on 7/14/2025 by MarketBeat.com Staff
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