Guggenheim Active Allocation Fund - GUG
Detailed investor-level table based on 13F positions.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MORGAN STANLEY | History | No change | 2,865,899 | 45,797 | 0.0% | 0.0% | 1 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| BANK OF AMERICA CORP /DE/ | History | No change | 960,147 | 15,343 | 0.0% | 0.0% | 2 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| GUGGENHEIM CAPITAL LLC | History | No change | 950,000 | 15,181 | 0.1% | 0.1% | 3 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| COHEN & STEERS, INC. | History | No change | 863,149 | 13,793 | 0.02% | 0.02% | 4 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Atlas Wealth LLC | History | No change | 848,495 | 13,558 | 1.93% | 1.93% | 5 | 0 | 0.0% | Q2 2026 | Jul 28, 2026 |
| Advisors Asset Management, Inc. | History | No change | 801,539 | 12,808 | 0.2% | 0.2% | 6 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | No change | 781,046 | 12,481 | 0.0% | 0.0% | 7 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Baird Financial Group, Inc. | History | No change | 676,913 | 10,817 | 0.01% | 0.01% | 8 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| WELLS FARGO & COMPANY/MN | History | No change | 665,643 | 10,636 | 0.0% | 0.0% | 9 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| ROYAL BANK OF CANADA | History | No change | 498,064 | 7,959 | 0.0% | 0.0% | 10 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Pathstone Holdings, LLC | History | No change | 371,088 | 5,929 | 0.02% | 0.02% | 11 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Steward Partners Investment Advisory, LLC | History | No change | 174,918 | 2,795 | 0.01% | 0.01% | 12 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Sanctuary Advisors, LLC | History | No change | 109,996 | 1,757 | 0.01% | 0.01% | 13 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Kestra Advisory Services, LLC | History | No change | 100,518 | 1,606 | 0.01% | 0.01% | 14 | 0 | 0.0% | Q2 2026 | Jul 28, 2026 |
| Invesco Ltd. | History | No change | 84,145 | 1,344 | 0.0% | 0.0% | 15 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Closed-End Fund Advisors, Inc. | History | No change | 80,586 | 1,287 | 1.26% | 1.26% | 16 | 0 | 0.0% | Q2 2026 | Jul 27, 2026 |
| STIFEL FINANCIAL CORP | History | No change | 49,054 | 783 | 0.0% | 0.0% | 17 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| OPPENHEIMER & CO INC | History | No change | 43,824 | 700 | 0.01% | 0.01% | 18 | 0 | 0.0% | Q2 2026 | Aug 03, 2026 |
| Concurrent Investment Advisors, LLC | History | No change | 40,738 | 650 | 0.01% | 0.01% | 19 | 0 | 0.0% | Q2 2026 | Jul 27, 2026 |
| J.W. COLE ADVISORS, INC. | History | No change | 39,190 | 626 | 0.01% | 0.01% | 20 | 0 | 0.0% | Q2 2026 | Jul 21, 2026 |
| OSAIC HOLDINGS, INC. | History | No change | 38,286 | 611 | 0.0% | 0.0% | 21 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| LPL Financial LLC | History | No change | 34,227 | 546 | 0.0% | 0.0% | 22 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| Aviance Capital Partners, LLC | History | No change | 32,915 | 525 | 0.05% | 0.05% | 23 | 0 | 0.0% | Q2 2026 | Jul 30, 2026 |
| CITADEL ADVISORS LLC | History | No change | 32,181 | 514 | 0.0% | 0.0% | 24 | 0 | 0.0% | Q2 2026 | Sep 02, 2026 |
| HighTower Advisors, LLC | History | No change | 31,939 | 510 | 0.0% | 0.0% | 25 | 0 | 0.0% | Q2 2026 | Aug 05, 2026 |
| World Investment Advisors | History | No change | 32,529 | 495 | 0.01% | 0.01% | 26 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Rockefeller Capital Management L.P. | History | No change | 30,780 | 491 | 0.0% | 0.0% | 27 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Beacon Pointe Advisors, LLC | History | No change | 29,342 | 468 | 0.0% | 0.0% | 28 | 0 | 0.0% | Q2 2026 | Aug 18, 2026 |
| JANE STREET GROUP, LLC | History | No change | 21,882 | 349 | 0.0% | 0.0% | 29 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| DAVENPORT & Co LLC | History | No change | 19,234 | 307 | 0.0% | 0.0% | 30 | 0 | 0.0% | Q2 2026 | Jul 13, 2026 |
| UBS Group AG | History | No change | 18,100 | 289 | 0.0% | 0.0% | 31 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Cetera Investment Advisers | History | No change | 18,013 | 287 | 0.0% | 0.0% | 32 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Orion Porfolio Solutions, LLC | History | No change | 16,059 | 256 | 0.0% | 0.0% | 33 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | No change | 15,110 | 241 | 0.0% | 0.0% | 34 | 0 | 0.0% | Q2 2026 | Jul 27, 2026 |
| High Net Worth Advisory Group LLC | History | No change | 12,735 | 203 | 0.04% | 0.04% | 35 | 0 | 0.0% | Q2 2026 | Jul 29, 2026 |
| WEDBUSH SECURITIES INC | History | No change | 12,365 | 198 | 0.01% | 0.01% | 36 | 0 | 0.0% | Q2 2026 | Jul 28, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | No change | 10,778 | 172 | 0.0% | 0.0% | 37 | 0 | 0.0% | Q2 2026 | Sep 23, 2026 |
| Larson Financial Group LLC | History | No change | 3,000 | 47 | 0.0% | 0.0% | 38 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Geneos Wealth Management Inc. | History | No change | 3,000 | 47 | 0.0% | 0.0% | 39 | 0 | 0.0% | Q2 2026 | Aug 06, 2026 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | No change | 2,101 | 33 | 0.0% | 0.0% | 40 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| HARBOUR INVESTMENTS, INC. | History | No change | 1,500 | 23 | 0.0% | 0.0% | 41 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Noble Wealth Management PBC | History | Reduced | 1,600 | 22 | 0.01% | 0.02% | 42 | -1,100 | -40.74% | Q3 2026 | Oct 01, 2026 |
| Institute for Wealth Management, LLC. | History | No change | 995 | 15 | 0.0% | 0.0% | 43 | 0 | 0.0% | Q2 2026 | Jul 28, 2026 |
| JPMORGAN CHASE & CO | History | No change | 550 | 8 | 0.0% | 0.0% | 44 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Farther Finance Advisors, LLC | History | No change | 357 | 5 | 0.0% | 0.0% | 45 | 0 | 0.0% | Q2 2026 | Jul 17, 2026 |
| HIGHLINE WEALTH PARTNERS LLC | History | No change | 187 | 2 | 0.0% | 0.0% | 46 | 0 | 0.0% | Q2 2026 | Jul 15, 2026 |