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Guggenheim Active Allocation Fund (GUG) Institutional Ownership

Guggenheim Active Allocation Fund logo
$15.85 +0.05 (+0.32%)
Closing price 09/3/2025 03:59 PM Eastern
Extended Trading
$15.86 +0.01 (+0.03%)
As of 09/3/2025 04:10 PM Eastern
Extended trading is trading that happens on electronic markets outside of regular trading hours. This is a fair market value extended hours price provided by Polygon.io. Learn more.
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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)
$47.70M
Number of
Institutional Sellers
(last 12 months)
18
Total
Institutional Outflows
(last 12 months)
$7.06M
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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
8/27/2025 Orion Porfolio Solutions LLC11,450$179K0.0%N/A0.000%
8/18/2025 Geneos Wealth Management Inc.3,000$47K0.0%+100.0%0.000%
8/15/2025 Orion Porfolio Solutions LLC11,450$179K0.0%N/A0.000%
8/15/2025 Bank of America Corp DE920,711$14.40M0.0%+49.7%0.000%
8/14/2025 MGB Wealth Management LLC10,921$171K0.1%-54.5%0.000%
8/14/2025 Raymond James Financial Inc.650,002$10.17M0.0%+9.7%0.000%
8/13/2025 Walleye Capital LLC16,220$254K0.0%-50.7%0.000%
8/13/2025 Baird Financial Group Inc.781,143$12.22M0.0%+2.0%0.000%
8/13/2025 Invesco Ltd.60,389$944K0.0%+27.1%0.000%
8/12/2025 J.W. Cole Advisors Inc.38,406$601K0.0%+42.8%0.000%
8/12/2025 Advisors Asset Management Inc.799,036$12.50M0.2%+12.7%0.000%
8/12/2025 Steward Partners Investment Advisory LLC75,835$1.19M0.0%+147.1%0.000%
8/12/2025 Journey Strategic Wealth LLC27,539$431K0.0%-6.8%0.000%
8/12/2025 JPMorgan Chase & Co.5,199$81K0.0%+845.3%0.000%
8/8/2025 Cetera Investment Advisers21,746$340K0.0%+11.9%0.000%
8/5/2025 Aviance Capital Partners LLC28,793$450K0.1%+17.8%0.000%
8/1/2025 Corrado Advisors LLC167,183$2.62M1.6%+3.1%0.000%
8/1/2025 Envestnet Asset Management Inc.32,501$508K0.0%+13.6%0.000%
7/25/2025 Concurrent Investment Advisors LLC27,942$437K0.0%+5.0%0.000%
7/14/2025 Golden State Equity Partners39,724$621K0.1%N/A0.000%
5/16/2025 Advisors Asset Management Inc.708,910$10.68M0.2%+19.1%0.000%
5/15/2025 Royal Bank of Canada517,900$7.81M0.0%+12.0%0.000%
5/15/2025 Baird Financial Group Inc.766,124$11.55M0.0%+4.1%0.000%
5/14/2025 Walleye Capital LLC32,932$496K0.0%-2.6%0.000%
5/13/2025 Elequin Capital LP4,408$66K0.0%N/A0.000%
5/13/2025 Raymond James Financial Inc.592,568$8.93M0.0%+16.9%0.000%
5/13/2025 Kovitz Investment Group Partners LLC195,786$2.95M0.0%+24.0%0.000%
5/13/2025 HighTower Advisors LLC24,098$363K0.0%-25.5%0.000%
5/12/2025 Invesco Ltd.47,517$716K0.0%+258.7%0.000%
5/9/2025 MGB Wealth Management LLC24,019$361K0.1%+100.0%0.000%
5/6/2025 Cetera Investment Advisers19,436$293K0.0%+9.6%0.000%
5/6/2025 Journey Strategic Wealth LLC29,539$445K0.0%-20.5%0.000%
5/6/2025 Wedbush Securities Inc.15,074$227K0.0%-33.5%0.000%
5/1/2025 Corrado Advisors LLC162,224$2.45M1.6%+0.9%0.000%
4/29/2025 Envestnet Asset Management Inc.28,601$431K0.0%+8.9%0.000%
4/29/2025 Aviance Capital Partners LLC24,434$368K0.1%+25.8%0.000%
4/28/2025 DAVENPORT & Co LLC24,006$362K0.0%-4.7%0.000%
4/24/2025 Tsfg LLC1,734$26K0.0%N/A0.000%
4/23/2025 Oppenheimer & Co. Inc.88,120$1.33M0.0%+5.2%0.000%
4/22/2025 PFG Investments LLC12,550$189K0.0%-33.4%0.000%
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4/21/2025 Avior Wealth Management LLC11,670$176K0.0%+113.0%0.000%
2/25/2025 B. Riley Wealth Advisors Inc.16,563$246K0.0%-9.9%0.000%
2/17/2025 Cetera Investment Advisers17,733$264K0.0%+12.4%0.000%
2/17/2025 Baird Financial Group Inc.735,643$10.94M0.0%+5.9%0.000%
2/17/2025 Bank of America Corp DE576,436$8.57M0.0%-3.9%0.000%
2/14/2025 Kovitz Investment Group Partners LLC157,875$2.35M0.0%+127.4%0.000%
2/13/2025 Walleye Capital LLC33,815$503K0.0%N/A0.000%
2/13/2025 Cohen & Steers Inc.786,149$11.69M0.0%-16.7%0.000%
2/13/2025 Rockefeller Capital Management L.P.23,366$347K0.0%-28.2%0.000%
2/13/2025 Raymond James Financial Inc.506,700$7.54M0.0%N/A0.000%
2/13/2025 Invesco Ltd.13,247$197K0.0%N/A0.000%
2/13/2025 Envestnet Asset Management Inc.26,271$391K0.0%+7.5%0.000%
2/13/2025 Wedbush Securities Inc.22,658$337K0.0%+52.5%0.000%
2/13/2025 Wells Fargo & Company MN251,604$3.74M0.0%-0.5%0.000%
2/12/2025 Landscape Capital Management L.L.C.11,839$176K0.0%N/A0.000%
2/11/2025 LPL Financial LLC20,047$298K0.0%N/A0.000%
2/10/2025 Advisors Asset Management Inc.595,115$8.85M0.2%+22.2%0.000%
2/10/2025 SouthState Corp8,425$125K0.0%N/A0.000%
2/7/2025 HighTower Advisors LLC32,336$481K0.0%N/A0.000%
2/7/2025 Independent Advisor Alliance16,103$239K0.0%N/A0.000%
2/7/2025 Aviance Capital Partners LLC19,424$289K0.0%+9.4%0.000%
2/6/2025 Raymond James Financial Inc.506,700$7.54M0.0%N/A0.000%
2/6/2025 Steward Partners Investment Advisory LLC9,664$144K0.0%+94.7%0.000%
2/5/2025 Oppenheimer & Co. Inc.83,775$1.25M0.0%+14.3%0.000%
2/5/2025 Corrado Advisors LLC160,829$2.39M1.6%-6.4%0.000%
2/3/2025 Concurrent Investment Advisors LLC26,550$395K0.0%+13.6%0.000%
1/31/2025 J.W. Cole Advisors Inc.43,607$648K0.0%+9.4%0.000%
1/29/2025 MGB Wealth Management LLC12,011$179K0.1%+6.6%0.000%
1/24/2025 Journey Strategic Wealth LLC37,142$552K0.0%-19.2%0.000%
1/24/2025 DAVENPORT & Co LLC25,200$375K0.0%-3.8%0.000%
1/22/2025 PFG Investments LLC18,850$280K0.0%-40.8%0.000%
1/17/2025 Avior Wealth Management LLC5,479$81K0.0%+53.6%0.000%
12/26/2024 JPMorgan Chase & Co.3,800$63K0.0%N/A0.000%
12/13/2024 B. Riley Wealth Advisors Inc.18,377$303K0.0%-83.4%0.000%
11/15/2024 Kovitz Investment Group Partners LLC69,419$1.13M0.0%N/A0.000%
11/15/2024 Stifel Financial Corp54,793$907K0.0%+16.8%0.000%
11/14/2024 Arete Wealth Advisors LLC15,220$252K0.0%-30.4%0.000%
11/14/2024 Rockefeller Capital Management L.P.32,559$539K0.0%N/A0.000%
11/12/2024 Penserra Capital Management LLC299,198$4.95M0.1%N/A0.000%
11/12/2024 Kingsview Wealth Management LLC19,860$329K0.0%+3.4%0.000%
11/8/2024 Advisors Asset Management Inc.487,071$8.06M0.1%+27.2%0.000%
11/7/2024 Pathstone Holdings LLC220,358$3.65M0.0%-14.9%0.000%
11/7/2024 Aviance Capital Partners LLC17,760$294K0.0%-22.7%0.000%
11/6/2024 Oppenheimer & Co. Inc.73,325$1.21M0.0%-15.3%0.000%
11/1/2024 Corrado Advisors LLC171,743$2.84M1.8%-2.1%0.000%
10/31/2024 Concurrent Investment Advisors LLC23,381$387K0.0%+52.1%0.000%
10/24/2024 J.W. Cole Advisors Inc.39,853$660K0.0%-7.4%0.000%
10/22/2024 International 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%
8/19/2024 B. Riley Wealth Advisors Inc.110,723$1.65M0.0%+5.1%0.000%
Musk Warns. Trump Acts. Your Retirement May Depend on It (Ad)

With Donald Trump back in the White House, many believe an economic revival could be underway — but it also brings new risks for retirement savers. Traditional 401(k)s and IRAs may leave investors more exposed than they realize. That’s why a Trump-backed IRS strategy is gaining attention. It allows everyday Americans to reposition their retirement savings into real assets like gold and silver — offering both protection and potential upside. A new 2025 Wealth Protection Guide explains exactly how it works.tc pixel

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8/8/2024 J.W. Cole Advisors Inc.43,018$642K0.0%+6.2%0.000%
8/7/2024 Wedbush Securities Inc.15,111$226K0.0%-6.0%0.000%
8/7/2024 PFG Investments LLC31,850$476K0.0%N/A0.000%
7/31/2024 Concurrent Investment Advisors LLC15,377$230K0.0%+4.6%0.000%
7/30/2024 International 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%
7/11/2024 U.S. Capital Wealth Advisors LLC72,702$1.09M0.0%-23.0%0.000%
5/16/2024 B. Riley Wealth Advisors Inc.105,330$1.42M0.0%+3.1%0.000%
5/14/2024 Advisors Asset Management Inc.270,825$3.98M0.1%+60.2%0.000%
(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, 52 institutional investors and hedge funds held shares of Guggenheim Active Allocation Fund. The most heavily invested institutionals were Bank of America Corp DE ($14.40M), Advisors Asset Management Inc. ($12.50M), Baird Financial Group Inc. ($12.22M), Cohen & Steers Inc. ($11.69M), Raymond James Financial Inc. ($10.17M), 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 46 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. ($1.16M), Advisors Asset Management Inc. ($518.05K), Bank of America Corp DE ($305.68K), Penserra Capital Management LLC ($299.20K), Kovitz Investment Group Partners LLC ($195.79K), International Assets Investment Management LLC ($137.61K), and Raymond James & Associates ($100.34K).

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

Institutional investors have bought a total of 3,098,401 shares in the last 24 months. This purchase volume represents approximately $47.70M in transactions.

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

Of the 18 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 ($18.45K), and Walleye Capital LLC ($17.60K).

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

Institutional investors have sold a total of 454,213 shares in the last 24 months. This volume of shares sold represents approximately $7.06M in transactions.


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This page (NYSE:GUG) was last updated on 9/4/2025 by MarketBeat.com Staff
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