Free Trial
→ Do NOT Buy SpaceX – Do This Instead (From Stansberry Research) (Ad)tc pixel Free GUG Stock Alerts

Guggenheim Active Allocation Fund (GUG) Institutional Ownership

Guggenheim Active Allocation Fund logo
$13.98 +0.11 (+0.76%)
Closing price 10/9/2026 03:57 PM Eastern
Extended Trading
$13.97 -0.01 (-0.04%)
As of 10/9/2026 07:30 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 Massive. Learn more.
Compare

Institutional Ownership Changes (13F Filings) for Guggenheim Active Allocation Fund (NYSE:GUG)

Number of
Institutional Buyers
(last 12 months)
30
Total
Institutional Inflows
(last 12 months)
$12.08M
Number of
Institutional Sellers
(last 12 months)
13
Total
Institutional Outflows
(last 12 months)
$7.17M
Get GUG Insider Trade Alerts

Want to know when executives and insiders are buying or selling Guggenheim Active Allocation Fund stock? Sign up for InsiderTrades.com's daily newsletter to get the latest insider transactions delivered to your inbox daily.

Subscribe Now
SMS is currently available in Australia, Belgium, Canada, France, Germany, Ireland, Italy, New Zealand, the Netherlands, Singapore, South Africa, Spain, Switzerland, the United Kingdom, and the United States. By entering your phone number and clicking the sign-up button, you agree to receive periodic text messages from MarketBeat at the phone number you submitted, including texts that may be sent using an automatic telephone dialing system. Message and data rates may apply. Message frequency will vary. Messages will consist of stock alerts, news stories, and partner advertisements/offers. Consent is not a condition of the purchase of any goods or services. Text HELP for help/customer support. Unsubscribe at any time by replying "STOP" to any text message that you receive from MarketBeat or by visiting our mailing preferences page. Read our full terms of service and privacy policy.
Skip Chart & View Institutional Buying and Selling Data

GUG Institutional Buying and Selling by Quarter

Guggenheim Active Allocation Fund Major Shareholders & Ownership History

Export
Reporting DateMajor Shareholder NameShares HeldMarket Value% of PortfolioQuarterly Change in SharesOwnership in CompanyDetails
9/9/2026Baird Financial Group Inc.676,913$10.82M0.0%-7.3%0.000%
8/22/2026Concurrent Investment Advisors LLC40,738$651K0.0%+6.0%0.000%
8/20/2026Wedbush Securities Inc.12,365$198K0.0%+14.3%0.000%
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%
4/28/2026Ascentis 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%
2/13/2026Kestra 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%
2/12/2026Commonwealth 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%
2/12/2026Wedbush Securities Inc.10,758$165K0.0%-20.8%0.000%
2/11/2026Closed End Fund Advisors Inc.110,396$1.69M1.0%N/A0.000%
2/10/2026Corrado Advisors LLC180,342$2.77M1.4%+4.6%0.000%
2/9/2026Kingsview Wealth Management LLC14,830$227K0.0%-14.4%0.000%
2/6/2026Aviance Capital Partners LLC31,620$485K0.1%+3.8%0.000%
2/4/2026World Investment Advisors30,967$475K0.0%+2.7%0.000%
2/2/2026Oppenheimer & Co. Inc.71,031$1.09M0.0%-20.6%0.000%
1/29/2026Golden State Equity Partners47,694$731K0.1%+5.2%0.000%
1/23/2026High 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%
ALERT: Drop these 5 stocks before the market opens tomorrow! (Ad)

The Wall Street Journal is already raising the alarm about a potential market crash, and Weiss Ratings research points to the first half of 2026 as a particularly rough stretch for certain holdings. Some of America's most popular stocks could take serious damage as a radical market shift plays out. Analysts at Weiss Ratings have identified five names you may want to remove from your portfolio before this unfolds. If any of these are in your portfolio, now is the time to review your positions.tc pixel

See the 5 stocks to avoid
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%
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%
11/6/2025Wedbush 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%
11/6/2025Oppenheimer & Co. Inc.89,495$1.40M0.0%-1.6%0.000%
11/5/2025J.W. Cole Advisors Inc.39,399$615K0.0%+2.6%0.000%
11/5/2025Envestnet Asset Management Inc.28,483$444K0.0%-12.4%0.000%
11/3/2025Corrado Advisors LLC172,335$2.69M1.4%+3.1%0.000%
10/29/2025Aviance Capital Partners LLC30,452$475K0.1%+5.8%0.000%
10/27/2025Concurrent Investment Advisors LLC36,307$566K0.0%+29.9%0.000%
10/21/2025Golden 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%
8/18/2025Geneos 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%
8/13/2025Walleye 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%
8/12/2025J.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%
8/5/2025Aviance Capital Partners LLC28,793$450K0.1%+17.8%0.000%
8/1/2025Corrado Advisors LLC167,183$2.62M1.6%+3.1%0.000%
8/1/2025Envestnet Asset Management Inc.32,501$508K0.0%+13.6%0.000%
7/25/2025Concurrent Investment Advisors LLC27,942$437K0.0%+5.0%0.000%
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%
They didn't warn anyone in 1971. This time someone is warning you. (Ad)

On August 15, 1971, Nixon interrupted prime-time television and ended the gold standard in 15 minutes - no debate, no vote, one executive order. Gold tripled within three years and climbed 20x over the following decade. Trump holds that same executive authority today, and his advisors are openly saying a reversal is on the table. There are two ways this plays out - both move gold in the same direction. A free briefing breaks down exactly what Nixon did, why Trump is positioned to act, and how to move your 401k into gold before any announcement - tax free.tc pixel

Request the free guide in 30 seconds and get positioned now
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%


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), Cohen & Steers Inc. ($11.69M), Baird Financial Group Inc. ($10.82M), 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 50 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 784,266 shares in the last 24 months. This purchase volume represents approximately $12.08M in transactions.

Of the 13 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), Baird Financial Group Inc. ($53.39K), Royal Bank of Canada ($46.97K), Oppenheimer & Co. Inc. ($19.92K), Laird Norton Wetherby Wealth Management LLC ($12.36K), and JPMorgan Chase & Co. ($6K).

Institutional investors have sold a total of 461,359 shares in the last 24 months. This volume of shares sold represents approximately $7.17M in transactions.


Related Companies

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 9/9/2026. New 13F filings are added each quarter as they're published.
From Our Partners
ALERT: Drop these 5 stocks before the market opens tomorrow!
The Wall Street Journal is already raising the alarm about a potential market crash, and Weiss Ratings researc...
Weiss Ratings | Sponsoredtc pixel
Trump's New Dollar
Porter Stansberry says President Trump has signed an executive order initiating what he calls a full U.S. doll...
Porter & Company | Sponsoredtc pixel
Small Colorado Company (Backed by Sam Altman) Could Save U.S. Power Grid
A small Colorado company has secured rights to technology that could prevent the U.S. public power grid from c...
Altimetry | Sponsoredtc pixel
Ready to give options a try? Your first trade (Ticker included) -INSIDE
Tired of trying tactic after tactic when it comes to options trades... only to be met with market noise and st...
Base Camp Trading | Sponsoredtc pixel
The end may be near for these iconic stocks
Marc Chaikin, founder of Chaikin Analytics, says two forces - AI disruption and fracturing global trade - are ...
Chaikin Analytics | Sponsoredtc pixel
Louis Navellier: My #1 AI stock for 2026 (name & ticker inside)
Louis Navellier's Stock Grader system helped him flag Nvidia before its 82,000% run and has identified the top...
InvestorPlace | Sponsoredtc pixel
Here’s the stock symbol I’ve promised
Whitney Tilson of Stansberry Research has long recommended Berkshire Hathaway as a core retirement holding - b...
Stansberry Research | Sponsoredtc pixel
Here’s Why Trump Won’t End The Iran War
Trump has called an Iran deal close 38 times since the war began, yet the fighting keeps flaring back up. O...
Banyan Hill Publishing | Sponsoredtc pixel