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Guggenheim Active Allocation Fund (GUG) Institutional Ownership

Guggenheim Active Allocation Fund logo
$15.44 -0.06 (-0.36%)
As of 03:56 PM Eastern
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Institutional Ownership Changes (13F Filings) for Guggenheim Active Allocation Fund (NYSE:GUG)

Number of
Institutional Buyers
(last 12 months)
32
Total
Institutional Inflows
(last 12 months)
$20.86M
Number of
Institutional Sellers
(last 12 months)
15
Total
Institutional Outflows
(last 12 months)
$7.01M
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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
5/19/2026Bank of America Corp DE914,964$13.93M0.0%+3.4%0.000%
5/18/2026Royal Bank of Canada500,014$7.61M0.0%+3.2%0.000%
5/13/2026Cetera Investment Advisers43,694$665K0.0%+59.9%0.000%
4/28/2026 Ascentis Independent Advisors48,577$739K0.1%+1.9%0.000%
4/27/2026World Investment Advisors32,529$495K0.0%+5.0%0.000%
3/17/2026Rockefeller Capital Management L.P.30,004$460K0.0%+35.5%0.000%
3/13/2026World Investment Advisors30,967$475K0.0%+2.7%0.000%
2/19/2026Invesco Ltd.78,358$1.20M0.0%+5.8%0.000%
2/18/2026XTX Topco Ltd10,861$166K0.0%N/A0.000%
2/18/20261607 Capital Partners LLC12,600$193K0.0%N/A0.000%
2/17/2026Cetera Investment Advisers27,333$419K0.0%+18.5%0.000%
2/17/2026Osaic Holdings Inc.45,540$698K0.0%-9.4%0.000%
2/17/2026Royal Bank of Canada484,718$7.43M0.0%-8.8%0.000%
2/16/2026Focus Partners Wealth142,693$2.19M0.0%N/A0.000%
2/13/2026 Kestra Advisory Services LLC104,026$1.60M0.0%+5.7%0.000%
2/13/2026Stifel Financial Corp48,281$740K0.0%-2.4%0.000%
2/13/2026Wells Fargo & Company MN276,495$4.24M0.0%+0.3%0.000%
2/12/2026Advisors Asset Management Inc.835,944$12.82M0.2%-6.6%0.000%
2/12/2026Jane Street Group LLC19,880$305K0.0%N/A0.000%
2/12/2026Orion Porfolio Solutions LLC15,212$233K0.0%+39.2%0.000%
2/12/2026 Commonwealth Equity Services LLC15,133$232K0.0%+29.3%0.000%
2/12/2026Marex Group plc27,847$427K0.0%N/A0.000%
2/12/2026Steward Partners Investment Advisory LLC137,379$2.11M0.0%+13.6%0.000%
2/12/2026 Wedbush Securities Inc.10,758$165K0.0%-20.8%0.000%
2/11/2026 Closed End Fund Advisors Inc.110,396$1.69M1.0%N/A0.000%
2/10/2026 Corrado Advisors LLC180,342$2.77M1.4%+4.6%0.000%
2/9/2026Kingsview Wealth Management LLC14,830$227K0.0%-14.4%0.000%
2/6/2026 Aviance Capital Partners LLC31,620$485K0.1%+3.8%0.000%
2/4/2026World Investment Advisors30,967$475K0.0%+2.7%0.000%
2/2/2026 Oppenheimer & Co. Inc.71,031$1.09M0.0%-20.6%0.000%
1/29/2026 Golden State Equity Partners47,694$731K0.1%+5.2%0.000%
1/23/2026 High Net Worth Advisory Group LLC12,373$190K0.0%N/A0.000%
1/23/2026U.S. Capital Wealth Advisors LLC11,802$181K0.0%-18.1%0.000%
1/1/2026JPMorgan Chase & Co.2,199$34K0.0%-57.7%0.000%
11/17/2025Laird Norton Wetherby Wealth Management LLC11,232$175K0.0%-52.4%0.000%
11/17/2025Bank of America Corp DE678,199$10.58M0.0%-26.3%0.000%
11/14/2025Creative Planning13,900$217K0.0%N/A0.000%
11/14/2025Raymond James Financial Inc.676,297$10.55M0.0%+4.0%0.000%
11/13/2025Pathstone Holdings LLC897,526$14.00M0.1%+16.4%0.000%
11/12/2025Kingsview Wealth Management LLC17,330$270K0.0%-9.1%0.000%
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11/12/2025MGB Wealth Management LLC15,908$248K0.1%+45.7%0.000%
11/7/2025JPMorgan Chase & Co.2,199$34K0.0%-57.7%0.000%
11/6/2025 Wedbush Securities Inc.13,585$212K0.0%-10.3%0.000%
11/6/2025Advisors Asset Management Inc.894,988$13.96M0.2%+12.0%0.000%
11/6/2025 Oppenheimer & Co. Inc.89,495$1.40M0.0%-1.6%0.000%
11/5/2025 J.W. Cole Advisors Inc.39,399$615K0.0%+2.6%0.000%
11/5/2025 Envestnet Asset Management Inc.28,483$444K0.0%-12.4%0.000%
11/3/2025 Corrado Advisors LLC172,335$2.69M1.4%+3.1%0.000%
10/29/2025 Aviance Capital Partners LLC30,452$475K0.1%+5.8%0.000%
10/27/2025 Concurrent Investment Advisors LLC36,307$566K0.0%+29.9%0.000%
10/21/2025 Golden State Equity Partners45,330$707K0.1%+14.1%0.000%
10/15/2025World Investment Advisors30,156$470K0.0%N/A0.000%
10/9/2025U.S. Capital Wealth Advisors LLC14,402$225K0.0%-46.3%0.000%
8/27/2025Orion Porfolio Solutions LLC11,450$179K0.0%N/A0.000%
8/18/2025 Geneos Wealth Management Inc.3,000$47K0.0%+100.0%0.000%
8/15/2025Orion Porfolio Solutions LLC11,450$179K0.0%N/A0.000%
8/15/2025Bank of America Corp DE920,711$14.40M0.0%+49.7%0.000%
8/14/2025MGB Wealth Management LLC10,921$171K0.1%-54.5%0.000%
8/14/2025Raymond 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%
8/13/2025Baird Financial Group Inc.781,143$12.22M0.0%+2.0%0.000%
8/13/2025Invesco 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%
8/12/2025Advisors Asset Management Inc.799,036$12.50M0.2%+12.7%0.000%
8/12/2025Steward Partners Investment Advisory LLC75,835$1.19M0.0%+147.1%0.000%
8/12/2025Journey Strategic Wealth LLC27,539$431K0.0%-6.8%0.000%
8/12/2025JPMorgan Chase & Co.5,199$81K0.0%+845.3%0.000%
8/8/2025Cetera 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%
5/16/2025Advisors 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%
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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%


GUG Institutional Ownership - Frequently Asked Questions

During the previous two years, 59 institutional investors and hedge funds held shares of Guggenheim Active Allocation Fund. The most heavily invested institutionals were Pathstone Holdings LLC ($14.00M), Bank of America Corp DE ($13.93M), Advisors Asset Management Inc. ($12.82M), Baird Financial Group Inc. ($12.22M), Cohen & Steers Inc. ($11.69M), Raymond James Financial Inc. ($10.55M), and International Assets Investment Management LLC ($8.22M).Learn more on Guggenheim Active Allocation Fund's institutional investors.

Of the 51 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. ($1.18M), Advisors Asset Management Inc. ($512.18K), Bank of America Corp DE ($335.61K), Penserra Capital Management LLC ($299.20K), Kovitz Investment Group Partners LLC ($195.79K), Focus Partners Wealth ($142.69K), and Pathstone Holdings LLC ($126.66K).

Institutional investors have bought a total of 1,347,237 shares in the last 24 months. This purchase volume represents approximately $20.86M in transactions.

Of the 15 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: Bank of America Corp DE ($242.51K), Advisors Asset Management Inc. ($59.04K), Royal Bank of Canada ($46.97K), Oppenheimer & Co. Inc. ($19.92K), Walleye Capital LLC ($16.71K), U.S. Capital Wealth Advisors LLC ($15K), and MGB Wealth Management LLC ($13.10K).

Institutional investors have sold a total of 452,178 shares in the last 24 months. This volume of shares sold represents approximately $7.01M in transactions.


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Institutional ownership data for NYSE:GUG is compiled from quarterly 13F filings submitted to the U.S. Securities and Exchange Commission (SEC), with the most recent received on 5/19/2026. New 13F filings are added each quarter as they're published.
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